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1. (b)
2.
Also,
First no. = 2
Second no. =
2
2 2 6
Third no. =
2
6 4 22
Fourth No. =
2
22 6 58
Fifth No. =
2
58 8 122
Sixth No. =
2
122 10 222
When two different things are sold at the same selling price getting a x% profit on one and x% loss on second, then overall loss in the transaction is (x/10) 2 %.
Here x = 15
Hence overall loss
(a)
N = 8P + 5
N = 12q + 9
N = 18r + 15
8 – 5 = 12 – 9 = 18 – 15 = 3
= LCM (8, 12, 18) – 3
=
3 2
2 3 72
N = 72 – 3 = 69
6. (a)
x = 4 Km/hr y = 3 Km/hr
Roots of 2 x 5x 9 0 are
IES MASTER Let the member be N Here difference between divisor (8, 12, 18) and remainder (5, 9, 15) is same. Hence required no. N is LCM of 8, 12 and 18 Hence required No. Let the cost price of mix = C 45 C 100 C = 20 C = 37.5 Rs./Kg Using Allegation, Let the speeds be x and y km/hr. In one hr, distance covered by them is x km and y km. So, 2 2 x y = 25 ....(i) Attar 1.5 hr. 1.5x 1.5y = 1.5 x y = 1 ...(ii) From (i) and (ii), 2 x 5 < 5x 14 2 x 5x 9 < 0
(c)
Ratio of A and B = 2.5 : 12.5 = 1 : 5
4. (a)
Let say pipe A be closed after 'n' hr. i.e. pipe A is operational for n hr and pipe B for all 2 hour.
x 6.4 x 1.4
< 0
–1.4 < x < 6.4
In order to go from one station to another and come back to starting point, we need 2 tickets.
No. of ways to select two stations
F-126, (Upper Basement), Katwaria Sarai, New Delhi-110016Phone : 011-41013406
3.
5.
7.
8.
(b)
(b)
(a)
No. of different tickets required
9. (b)
11. (d)
12. (a)
Synectics (meaning joining together of different things into unified connection) is a methodology for creativity based on reasoning by analogy. It assumes that the psychological components of the creative processes are more important in generating new and inventive ideas than intellectual process.
14. (c)
15. (b)
Treating all the vowles as one entity = A A O one
10. (c)
ABC = ACB
AB AC
Since
ABC
DBA
DBC
= 60° = 90°
= 90 – 60 = 30°
Since DCB = 90°
Life cycle target of product basically includes useful life and shelf life, cost of installation and its operation, maintenance schedule and location altogether.
16. (c)
19. (c)
20. (b)
Remaining = K L K T = 4 Hence total no. of ways = 5! 3! 2! 2! = 180 C D B 60° A ABC = ACB AB AC ABC = 60° Since DBA = 90° DBC = 90 – 60 = 30° Since DCB = 90° [Angle subtended by diameter on circle] BDC = 180 90 30 = 60° Life cycle target of product basically includes useful life and shelf life, cost of Story boarding : It is a variation of brainstorming. Here ideas are recorded and written on card. 16. (c) HaZOP s have the same weakness as FMEAs. Both does not consider human error into equation. HaZOP s primarily used for process industries (refinery, petrochemical etc.) Human error analysis is used to predict human error, not review what has occured. 19. (c) Silicon increase the fluidity of alloy of aluminium. In case of grey cast iron it imparts fludity, lubricating nature and machinability. 20. (b) Monel is an important alloy containing 68% Nickel. It has strength of steel and corrosion resistance of copper. It is stronger than mild steel even when annealed. It is used for high temperature application except in the SO 2 or oxidizing environments. It is difficult to cast due to blow holes. 24. (a)
In detail design product data management softwares provide the link between product design and manufacturing. Manufacturing process management bridge the gap between product design and production control.
Fidelity : Accuracy with which model of design represents the proposed final design in terms of material and construction.
The most commonly used photovoltaic cells are barrier-layer type like Iron-Sellanium cells or Cu-CuO 2 cells. In the Iron-Sellenium cells, Sellenium layer is placed on an iron disc then on extremely thin transparentlayer of gold or silver is formed on the selenium to act as a front electrode. The barrier layer is formed by Cathode-sputtering the semi transparent film on the Sellenium. When luminus flux radiant flux falls on the semi conductor, it ejects electron which travel from selenium to the front silver electrode
25. (b)
26. (b)
28. (d)
through barrier layer. The flow in opposite direction is not permitted by the barrier because it act as a rectifier. (For information only)
consultancy organizations to undertake turnkey responsibilities for projects even without having capabilities of supply and finance. On the othr hand, in a lumpsum turn-key contract a contractor offers the owner a complete plant for a single price.
Hetropolar bond is ionic bond in which two different pole is formed after the complete transfer of electrons.
29. (a)
Task Force Organization :
An alternative arrangement which clearly accords authority to the project manager and avoids disillusionment of either the project manager or the functional manager due to maloperation of the matrix is a task force. In this arrangement, the project manager is delegated the full authority to make decisions for the project, but he would be required to operate within the functional organization's policies and procedures. There is clearly no intervention from the various functional departments, no dual decision making and no dual reporting relationship for the working force; the project manager makes all the decisions but within the policies and procedures laid down for him.
Project Manager as a Staff Assistant to the Chief Executive :
A project manager may be positioned in many situations, and in each case the authority he can wield and consequently the end results he can produce will be different. Figure shows one arrangement in which the project manager virtually has no authority. He serves, at best, as a staff assistant to the chief executive. The project manager, in this position, does not make any decision for the project, nor does he provide any staff service to the functional departments who make all the decisions relating to the project. The project manager merely collects information – collects and communicates the same to the chief executive.
IES MASTER Superlattice alloys are alloys of platinum formed with iron or cobalt. Since Pt is of FCC type, Fe is BCC and Co is HCP. Therefore, the alloys formed by them of special character when heated for hardening and then cooled, they form superlattice of FCC and BCC or FCC and HCP configuration. Pyrolitic graphite is an artificial graphite whose strength at 2200°C is much higher than natural graphite. It is highly anisotropic and used in rocket nozzles and its insert. Ruby crystal is a crystal of aluminium oxide in which some aluminium atoms are replaced by chromium atom. Cr 3+ ions are active material in ruby rod which is an essential part in ruby laser. A ruby crystal containing about 0.5% chromium is of pink color. Magnetic Annealing is a heat treatment process which is performed to improve ductility, enhance machinability, refining the grains and softening the metals. It is performed in presence of magnetic field and in absence of it, it is known as mechanical annealing. The damagnetizing and magnetization force of ALNICO increases considerably on magnetic field. The Turn-Key Contract 31. (a)
In a turn-key project a single contractor has complete responsibility to supply the owner a plant which is complete and ready for the owner to operate by simply turning the key. Turn-key, thus, is an expression for the extent of responsibility that a contractor undertakes; it is not to be mixed up with the commercial and payment terms. Turn-key would not necessarily mean a fixed price contract, it is quite possible to enter into a turn-key reimbursible contract. This definition makes it possible for engineering
This arrangement may work for very small projects. It cannot work for large projects even if the project manager is provided with supporting staff since the real person, who in this arrangement wields authority and can, therefore, coordinate and expedite the project is the chief executive who, as stated earlier, may not have much time for the project.
33. (c)
Monitoring Contracts:
mathematical scheduling include the following facts :
Information capture and its processing to feed all levels of management is a speciality service. This requires knowledge of the project management process and information processing on the computer. The project manager for this purpose can either hire a specialist staff or engage a monitoring agency on contract.
* It provides optimal solutions.
* It can be formulated to include realistic factors influencing a project.
* Its formulation can be validated.
* It has proven solution methodologies.
41. (b)
34. (c)
35. (b)
Schedule optimization is often the major focus in project management. While heuristic scheduling is very simple to implement, it does have some limitations. The limitations of heuristic scheduling include subjectivity, arbitrariness, and simplistic assumptions. In addition, heuristic scheduling does not handle uncertainty very well. On the other hand, mathematical scheduling is difficult to apply to practical problems. However, the increasing access to low-cost high-speed computers has facilitated increased use of mathematical scheduling approaches that yield optimal project schedules. the advantages of
IES MASTER Triple C Model : The Triple C model is an effective project planning tool. The model states that project management can be enhanced by implementing it within the integrated functions of · Communication · Cooperation · Coordination The model facilitates a systematic approach to project planning, organizing, scheduling and control. The Triple C model is distinguished from the 3C approach commonly used in military operations. The military approach emphasizes personnel management in the hierarchy of command, control and communication. This places communication as the last function. The Triple C, by contrast, suggests communication as the first and foremost function. The Triple C model can be implemented for project plan. Project Modeling : EOQ = 0 C 2DC 2 9000 100 C 2 = 300 No. of orders = D 9000 30 EOQ 300 49 49 1 15 14 1 50 15 C C C C = 1 UCL = 3 400 3 0.08 X 40.12 10 n 4 46. (a) Deontological ethics or deontology is the normative ethical position that judges the morality of an action based on rules. It is sometimes described as "duty-" or "obligation-" or "rule-" based ethics, because rules "bind you to your duty". A categorical imperative, denotes an absolute, unconditional requirement that must be obeyed in all circumstances and is justified as an end in itself. It is best known in Kant's first formulation:
Act only according to that maxim whereby you can, at the same time, will that it should become a universal law.
48. (c)
A moral agent is "a being who is capable of acting with reference to right and wrong". Hence a moral agent is a competent and reasonably mature human being.
Ethics seeks to resolve questions of human morality by defining concepts such as good and evil, right and wrong, virtue and vice, justice and crime, duties etc.
42. (b)
45. (b)
47. (b)
49. (c)
51. (a)
52. (b)
53. (a)
54. (c)
55. (b)
56. (a)
57. (b)
Chikungunya is an infection caused by the Chikungunya virus. It features sudden onset
Natural obligation is one which in honor and conscience binds the person who has contracted it, but which cannot be enforced in a court of justice.
Pure obligation is an obligation which is not subjected to any condition and no specific date is mentioned.
fever usually lasting two to seven days, and joint pains typically lasting weeks or months but sometimes years. The virus is passed to humans by two species of mosquito of the genus Aedes: A. albopictus and A. aegypti. The strain of Chikungunya spreading to the US from the Caribbean is most easily spread by A. aegypti.
58. (d)
Preventive ethics deals with what as an engineer we must not do. The overall goal of preventive ethics is to improve quality by identifying, prioritizing, and addressing ethics quality gaps on a systems level.
"Afghan-India Friendship Dam is a multipurpose project planned for generating 42 MW of power, irrigating 75000 hectares of land, water supply and other benefits to the people of Afghanistan. Salma Dam is a landmark infrastructure project undertaken by Government of India on river Hari Rud, in Herat province of Afghanistan.
The project was executed and implemented by WAPCOS Ltd., a Government of India Undertaking under Ministry of Water Resources, River Development and Ganga Rejuvenation."
In 1999, National Agriculture Insurance Scheme was launched. This scheme was open to all farmers but was made compulsory for loaner farmers.
IES MASTER Enforcement is the process of ensuring compliance with laws, regulations, rules, standards, or social norms. By enforcing laws and regulations, governments attempt to effectuate successful implementation of policies. Communication that cuts across functions and levels in an organization is called as diagonal communication. Diagonal communication refers to communication between managers and workers located in different functional divisions. Our fundamental ethical duty is to treat other human beings as autonomous persons who may choose their own ends and purposes, not simply as means for the ends of others is Kant's categorical imperative. A categorical imperative denotes an absolute, unconditional requirement that must be obeyed in all circumstances.
A Cryogenic rocket stage is more efficient and provides more thrust for every kilogram of propellant it burns compared to solid and earth-storable liquid propellant rocket stages.
The combination of liquid hydrogen fuel and the liquid oxygen oxidizer is one of the most widely used.
Pradhan Mantri Fasal Bima Yojana (PMFBY) is the new crop damage insurance scheme that has been approved by the Union Cabinet in January 2016. It is open to all farmers but not mandatory to anyone. The farmers' premium has been kept at a maximum of 2 per cent for food grains and up to 5 per cent for annual commercial horticulture crops. This scheme provides full coverage of insurance. It also covers the localized risks such as hailstorm, landslide, inundation etc. Earlier schemes did not cover inundation. It provides post-harvest coverage.
The NAIS did not cover while the modified NAIS covered only coastal regions. Under PMFBY all farmers including sharecroppers and tenant farmers growing the notified crops in the notified areas are eligible for coverage.
Coverage of Crops under PMFBY are: 1) Food crops (Cereals, Millets and Pulses) 2) Oilseeds 3) Annual Commercial/Annual Horticultural crops
59. (c)
60. (d)
The primary objective of the PMGSY is to provide Connectivity, by way of an Allweather Road (with necessary culverts and cross-drainage structures, which is operable throughout the year), to the eligible unconnected Habitations in the rural areas, in such a way that all Unconnected Habitations with a population of 1000 persons and above and all Unconnected Habitations with a population of 500 persons and above are covered.
The Indira Gandhi Matritva Sahyog Yojana
Aim : To make quality health care affordable to every individual member of a family in the state.
64. (b)
In its simplest expression, a green economy can be thought of as one which is low carbon, resource efficient and socially inclusive.
Organic Farming involves the use of biofertilizers and hence reduces the usage of hydrocarbons used in fertilizer manufacturing (Naphtha and Natural Gas). Solar Energy, Nuclear energy and electric vehicles are part of Green economy.
It was governance-cum-social engineering measure which was enacted on November 8, 2016. The two largest denomination notes, Rs 500 and Rs 1000; together comprising 86 percent of all the cash in circulation-were "demonetized" with immediate effect, ceasing to be legal tender except for a few specialized purposes.
These notes were to be deposited in the banks by December 30, while restrictions were placed on cash withdrawals. In other words, restrictions were placed on the convertibility of domestic money and bank deposits.
The aim of the action was fourfold that is to curb corruption, counterfeiting, the use of high denomination notes for terrorist activities, and especially the accumulation of black money, generated by income that has not been declared to the tax authorities.
LEDs use significantly less energy than even CFLs, and do not contain mercury, phosphorous and sulphur. But LEDs contain lead, arsenic and a dozen other potentially dangerous substances like nickel. It also contains copper.
IES MASTER With respect to the Hill States (North-East, Sikkim, Himachal Pradesh, Jammu & Kashmir, Uttaranchal) and the Desert Areas (as identified in the Desert Development Programme) as well as the Tribal (Schedule V) areas, the objective would be to connect Habitations with a population of 250 persons and above. It is a conditional cash transfer scheme applicable to pregnant and lactating women of ages 19 and above for up to 2 living children. All women are eligible, unless they have already received paid leave and maternity benefits from their employers in the private or government sector. The scheme is aimed at arresting high maternal mortality rates by encouraging institutional delivery and ensuring proper nutrition for the mother and child. It's a health insurance scheme to provide coverage against several critical illnesses. 65. (c)
It will offer coverage against 437 illnesses in six disease groups, namely, cardiovascular, cancer, kidney, neo-natal, neurological conditions and burns.
Both Below Poverty Line (BPL) and Above Poverty Line (APL) families, with annual income below Rs 5 lakh, are eligible for the scheme.
A separate society will also be set up under the Department of Health and Family
Some of the worst offenders were lowintensity red LEDs, which were found to contain up to eight times the amount of lead, a known neurotoxin.
68. (d)
62. (d)
63. (c)
66. (a)
Welfare which will be responsible for administration of the scheme.
Researchers in India have found that mice and rats exposed to endosulphan suffer from DNA damage and genomic instability, and impaired DNA damage response.
70. (a)
72. (b)
73. (b)
75. (d)
Grassoline:
a. It is a sustainable energy resource, a biofuel derived from grass that could power aircraft.
Endosulfan is used as an insecticide on a variety of crops, including many food crops such as teas, grains, fruit, vegetables, and also on non-food crops such as tobacco and cotton. It is also used as a wood preservative.
Endosulfan is an off-patent organochlorine insecticide and acaricide that is being phased out globally. The Stockholm Convention's Persistent Organic Pollutants Review Committee (POPRC) in 2009 agreed that endosulfan is a persistent organic pollutant and that global action is warranted; setting the stage (but not legal ban) of a global ban but still use and manufactured country specifically.
b. The grass is pre-treated to improve its biodegradability and then bacteria are added which convert the sugars in the grass into lactic acid.
c. This lactic acid can serve as an intermediate chemical to produce other compounds such as biodegradable plastics (PLA) or fuels.
d. The lactic acid is then converted into caproic acid, which is further converted into Decane which can be used in aviation fuel.
77. (d)
78. (c)
3. Transportation
IES MASTER The Supreme Court of India banned manufacture, sale, and use of toxic pesticide endosulfan in India in 2011. Unlike the burning of coal, which releases sulphur and mercury, biomass burning does not release them. It however releases nitrogen contained within the biomass. Effects of Depletion of the Ozone Layer: With the depletion of ozone layer, more UV radiation filters into troposphere. UV radiations lead to ageing of skin, cataract, sunburn, skin cancer, killing of many phytoplankton, damage to fish productivity etc. It has also been reported that plant proteins get easily affected by UV radiations which leads to the harmful mutation of cells. It also increases evaporation of surface water through the stomata of the leaves and decreases the moisture content of the soil. Increase in UV radiations damage paints and fibres, causing them to fade faster. e. Right now the amount of biofuel that can be made from grass is still limited to a few drops. f. The current process is very expensive, and engines should be adapted to this new kind of fuel. It moves west to east in equatorial plane. It revolves at 22,236 miles (35,786 kilometers) above Earth's surface. Near Field Communications (NFC) is a short-range wireless connectivity technology that provides intuitive, simple and safe communication between electronic devices. Communication occurs when two NFCcompatible devices are brought within four centimeters of each other. Data transfer rates are slow as compared to conventional broadband internet. Benefits of NFC for Individuals: 1. Contactless Payments 2. Information Sharing
4. Health Care
BOD refers to the amount of oxygen that would be consumed if all the organic matter in one litre of water were oxidized by bacteria. Thus higher the BOD higher is the organic impurities in the water. Hence water is treated till the BOD is reduced.
5. Social Networking
79. (a)
Google is to roll out a comprehensive public Wi-Fi platform in India, as part of its bid to get more people using its services. Dubbed as Google Station, the service will see WiFi hotspots rolled out in stations, with plans to expand this to shopping malls and cafes at some point.
80. (b)
PSLV is a four-staged launch vehicle with first and third stage using solid rocket motors and second and fourth stages using liquid rocket engines.
85. (c)
ICANN:
It is a not-for-profit partnership of people from all over the world dedicated to keeping the Internet secure, stable and interoperable. It promotes competition and develops policy on the Internet's unique identifiers.
develops policy on the Internet's unique identifiers. It doesn't control content on the Internet. It cannot stop spam and it doesn't deal with access to the Internet. But through its coordination role of the Internet's naming system, it does have an important impact on the expansion and evolution of the Internet. Applications of GPS: Civilian Applications Navigation – Used by navigators for orientation and precise velocity measurements. Geotagging – Map overlays can be created by applying location coordinates to photographs and other kind of documents. Surveying – Surveyors create maps and verify the boundaries of the property. Map-making – Used by civilians and military cartographers. Tectonics – Detect the direct false motion measurement in earthquakes. Military Applications Navigation – Soldiers can find objectives in the dark and unknown regions with the help of GPS. Search and Rescue – Knowing the position of a downed pilot, its location can be traced out easily. 4 n n 1 4 = 2 n 4 1 1 n lim 1 4 1 n = 1 4 86. (d) a + b + c = 18 a a a b b 3 3 3 2 2 + c = 18 Now, A.M G.M 18 6 1 3 2 6 a b c 108 Hence, maximum value of a 3 b 2 c is 78732 87. (c) f(x, y, z) = x 2 y + 9xy 2 + 10z 2 f = 2 2 ˆ ˆ ˆ i j k 20z 2xy 9y x 18xy Given point is (1, – 2, – 1) f ˆ ˆ ˆ 32 i 36 j 20k at (1, – 2, –1) df ds = ˆ ˆ ˆ 2 i j 2k ˆ ˆ ˆ 32 i 36 j 20k 5 = 64 36 40 5 = 140 5
Reconnaissance – Patrol movement can be handled.
Target tracking – Military weapon systems use GPS to track air targets and potential ground before they are flagged as hostile.
88. (c)
Stream function is defined by
83. (a)
84. (d)
Missile and projectile guidance – Targets military weapons such as cruise missiles, precision – guided munitions.
89. (c)
90. (b)
It is exact
Differentiating (1) w.r.t. y and comparing to N, we get
93. (d)
94. (b)
96. (d)
97. (b)
by option matching, we get, answer to be 3 xy By cauchy's integral formula f(a) = f z 1 dz 2 i z a Also 2 lies inside |z| = 4 By comparison f(z = 2z 2 – z – 2 g(2) = 2 i f(2) = 2 i [8 – 2 – 2] = 8 i This problem can be solved by exact differential method. M = 3y 3 e 3xy – 1 My = 9y 2 e 3xy + 9xy 3 e 3xy N = 2y e 3xy + 3xy 2 e 3xy Mx = 9y 2 e 3xy + 9xy 3 e 3xy It is exact (x, y) = 3 3xy dx 3y e 1 = y 2 e 3xy – x + h(y) ...(1) Differentiating (1) w.r.t. y and comparing to 2 2 1 0 94. (b) Coin has 1/2 probability of getting heads, P(H) = 0.5 P(x = 3) = 4 C 3 (0.5) 3 (0.5) 1 = 1 4 [Binominal distribution] 96. (d) For successful safety program within an organization the safety responsibility does not rest only with the safety group alone but also with group such as production, personnel, R&D, plant engineering, purchasing, records, employee relations, legal, plant maintenance, medical and security. 97. (b) Platinum is used in thermometer due to following favourable features : It resistance increase uniformly with rise in temperature 200°C to 1200°C and because of this it offers a high accuracy in temperature measurement. Statement II tells about behaviour of it beyond 1200°C. 98. (b)
Therefore solution is,
Applying the given condition,
In sealant material, co-efficient of thermal and electrical expansion must be considered. Because of this Ferrous alloys containign 35 to 45% Ni with slight addition of Si, Oo, Mn is used. So, Statement I is correct but Statement II tells about the reason for using Si, Mo, Mn not about coefficient expansion. So, it is not correct explanation of I but it is true.
F-126, (Upper Basement), Katwaria Sarai, New Delhi-110016Phone : 011-41013406
100.(a)
TV transmission satellite is in a geostationary orbit. Geostationary orbits can only be accomplished with equatorial orbits, and since India is in the northern hemisphere this means the satellite will always be in south direction.
Very few communication satellites use polar orbits, or any orbit inclined out of the equatorial plane for that matter, to prevent the need for constant reaming of the receiver dish.
Regd. office :
Phone :
F-126, (Upper Basement), Katwaria Sarai, New Delhi-110016
011-41013406
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Maternal multiple micronutrient supplementation and other biomedical and socioenvironmental infl uences on children's cognition at age 9–12 years in Indonesia: follow-up of the SUMMIT randomised trial
Elizabeth L Prado, Susy K Sebayang, Mandri Apriatni, Siti R Adawiyah, Nina Hidayati, Ayuniarti Islamiyah, Sudirman Siddiq, Benyamin Harefa, Jarrad Lum, Katherine J Alcock, Michael T Ullman, Husni Muadz, Anuraj H Shankar
Summary
Background Brain and cognitive development during the fi rst 1000 days from conception are aff ected by multiple biomedical and socioenvironmental determinants including nutrition, health, nurturing, and stimulation. An improved understanding of the long-term infl uence of these factors is needed to prioritise public health investments to optimise human development.
Methods We did a follow-up study of the Supplementation with Multiple Micronutrients Intervention Trial (SUMMIT), a double-blind, cluster-randomised trial of maternal supplementation with multiple micronutrients (MMN) or iron and folic acid (IFA) in Indonesia. Of 27 356 live infants from birth to 3 months of age in 2001–04, we re-enrolled 19 274 (70%) children at age 9–12 years, and randomly selected 2879 from the 18 230 who were attending school at a known location. Of these, 574 children were oversampled from mothers who were anaemic or malnourished at SUMMIT enrolment. We assessed the eff ects of MMN and associations of biomedical (ie, maternal and child anthropometry and haemoglobin and preterm birth) and socioenvironmental determinants (ie, parental education, socioeconomic status, home environment, and maternal depression) on general intellectual ability, declarative memory, procedural memory, executive function, academic achievement, fi ne motor dexterity, and socioemotional health. The SUMMIT trial was registered, number ISRCTN34151616.
Findings Children of mothers given MMN had a mean score of 0·11 SD (95% CI 0·01–0·20, p=0·0319) higher in procedural memory than those given IFA, equivalent to the increase in scores with half a year of schooling. Children of anaemic mothers in the MMN group scored 0·18 SD (0·06–0·31, p=0·0047) higher in general intellectual ability, similar to the increase with 1 year of schooling. Overall, 18 of 21 tests showed a positive coeffi cient of MMN versus IFA (p=0·0431) with eff ect sizes from 0·00–0·18 SD. In multiple regression models, socioenvironmental determinants had coeffi cients of 0·00–0·43 SD and 22 of 35 tests were signifi cant at the 95% CI level, whereas biomedical coeffi cients were 0·00–0·10 SD and eight of 56 tests were signifi cant, indicating larger and more consistent impact of socioenvironmental factors (p<0·0001).
Interpretation Maternal MMN had long-term benefi ts for child cognitive development at 9–12 years of age, thereby supporting its role in early childhood development, and policy change toward MMN. The stronger association of socioenvironmental determinants with improved cognition suggests present reproductive, maternal, neonatal, and child health programmes focused on biomedical determinants might not suffi ciently enhance child cognition, and that programmes addressing socioenvironmental determinants are essential to achieve thriving populations.
Funding Grand Challenges Canada Saving Brains Program.
Copyright © The Author(s). Published by Elsevier Ltd. This is an Open Access article under the CC BY-NC-ND license.
Introduction
Determinants that infl uence brain and cognitive development during the fi rst 1000 days from conception to 2 years of age can have long-term eff ects on brain architecture and cognitive ability. 1 Studies in highincome countries have shown the long-term cognitive consequences of early life experiences, such as intrauterine growth restriction, 2 preterm birth, 3 adverse events, 4 and early educational experiences. 5 Children in low-income and middle-income countries (LMICs)
have a greater burden of risk factors for poor cognitive and behavioural development than those in highincome countries. 6 However, few studies in LMICs have assessed the association between early life experiences and later cognitive, motor, and socioemotional ability. Identifi cation of the biomedical and socioenvironmental determinants that most strongly predict cognitive, motor, and socioemotional function is needed for strategic design and integration of child development programmes with existing reproductive, www.thelancet.com/lancetgh
Vol 5 February 2017
Lancet Glob Health 2017; 5: e217–28
See Comment page e127
Summit Institute of Development, Mataram, Nusa Tenggara Barat, Indonesia (E L Prado PhD, S K Sebayang PhD*, M Apriatni MA, SR Adawiyah BS, N Hidayati BS, A Islamiyah BS, S Siddiq BS, B Harefa BS, H Muadz PhD, AH Shankar DSc); Department of Nutrition, University of California Davis, Davis, CA, USA (E L Prado); School of Psychology, Deakin University, Melbourne, VIC, Australia (J Lum PhD); Psychology Department, Lancaster University, Bailrigg, Lancaster, UK (K J Alcock DPhil); Department of Neuroscience, Georgetown University, Washington, DC, USA (MT Ullman PhD); Center for Research on Language and Culture, University of Mataram, Mataram, Nusa Tenggara Barat, Indonesia (H Muadz); and Department of Nutrition, Harvard TH Chan School of Public Health, Boston, MA, USA (A H Shankar DSc)
*Present affiliation is Faculty of Public Health, University of Airlangga, Banyuwangi Campus, Banyuwangi, Indonesia
Correspondence to: Dr Anuraj Shankar, Summit Institute of Development, Jl Bung Hatta No 28, Mataram, Nusa Tenggara Barat, Indonesia email@example.com
Research in context
Evidence before this study
The long-term eff ects of maternal nutrition and the interplay of early life biomedical and socioenvironmental determinants on child cognition are unclear. A better understanding is needed to prioritise public health investments to optimise human development. Of the 20 follow-up studies of randomised trials comparing maternal supplementation with three or more micronutrients to iron and folic acid (IFA), only four assessed child motor and cognitive development, and with equivocal results. These studies did not typically use a wide range of tests for multiple cognitive domains in school age children, nor detail the relative contributions of other biomedical and socioenvironmental determinants. Such evidence is important to inform policy makers of which types of interventions are likely to most eff ectively support children to achieve their developmental potential. We therefore examined citations in four systematic reviews of risk factors for poor child development in low-income and middle-income countries (LMICs). We identifi ed 56 studies that enrolled pregnant women or infants younger than 2 years in LMICs and later assessed cognitive, motor, or socioemotional ability at age 5 years or older. Only fi ve of these analysed biomedical and socioenvironmental determinants, and few included two crucial socioenvironmental determinants, maternal depression and stimulation from the home environment. Additionally, four studies assessed only general intellectual ability, while one reported on general intellectual ability, numeracy, knowledge, and achievement but did not probe specifi c cognitive domains. One study in Bangladesh included 2853 younger children aged 5 years, while the other four included less than 350 children maternal, neonatal, and child health (RMNCH) programmes.
Maternal micronutrient defi ciency during pregnancy is one important and preventable risk factor for poor child development and is prevalent among women of childbearing age in LMICs. 7 Present global policy 8 recommends iron and folic acid (IFA) supplementation during pregnancy. However, supplementation with additional micronutrients might also be needed, particularly for fetal brain development, which occurs rapidly during gestation. 9 Animal models have shown that micronutrients in addition to IFA, such as iodine, zinc, and vitamin B6, are necessary for neurodevelopment during this period. 10 In human beings, associations have been found between child development and indicators of maternal undernutrition, including anthropometric measures and micronutrient defi ciencies. 11 However, few randomised controlled trials of maternal multiple micronutrient (MMN) supplementation in LMICs have assessed long-term cognitive outcomes.
The Supplementation with Multiple Micronutrients Intervention Trial (SUMMIT) 12 was a double-blind, cluster-randomised trial of maternal supplementation with limited power to discern eff ects. As such, detailed analyses and quantifi cation of long term eff ects of MMN and other early life socioenvironmental and biomedical determinants on multiple defi ned domains in older children has not been previously reported.
Added value of this study
Our study is the fi rst, to our knowledge, to assess the long term eff ect of maternal MMN versus IFA on multiple cognitive, motor, and socioemotional domains in school-age children, and the fi rst, to our knowledge, to assess procedural memory. It is the only long-term longitudinal study in a LMIC with a sample of more than 2000 children to assess the relative association of biomedical and socioenvironmental determinants, including home environment and maternal depression, with multiple domains of child abilities. We report signifi cant eff ects of maternal MMN on procedural memory, on general intellectual ability in children of anaemic women, and positive shifts overall on cognitive, fi ne motor, and socioemotional ability.
Implications of all the available evidence
The benefi cial eff ects of maternal MMN supplementation on birth weight, small for gestational age, and stillbirths in recent meta-analyses, and on mortality in SUMMIT, especially in anaemic women, tend to support policy change from IFA to MMN for maternal supplementation. Our fi ndings suggest that to achieve thriving populations in multiple domains of children's abilities, current biomedical-centered programmes and interventions are not suffi cient, and that additional interventions addressing socioenvironmental determinants are required.
with MMN or IFA in Lombok, Indonesia from 2001–04, which enrolled 31 290 pregnant women who had 28 426 live births. Infant mortality at 3 months was reduced by 18%, fetal loss and neonatal deaths by 11%, and an association with a reduction in the proportion of low birth weight by 14% was noted in the group receiving MMN compared with those who received IFA, with greater and signifi cant eff ects in mothers who were anaemic at enrolment (38%, 29%, and 33% reductions, respectively). 13 In 487 children assessed at age 3·5 years, positive eff ects of MMN were recorded for cognitive ability in children of mothers who had been anaemic or undernourished at enrolment. 13 The aim of the present study was to follow-up SUMMIT children to assess the biomedical and socioenvironmental determinants of children's cognition at age 9–12 years.
Methods
Study design
The SUMMIT double-blind, cluster-randomised trial methods have been described in detail. 12 In brief, 262 government midwives throughout Lombok, Indonesia, were randomly assigned to distribute either www.thelancet.com/lancetgh
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IFA or MMN. Pregnant women were enrolled at prenatal care clinics held by midwives. Women who provided written informed consent received a monthly supply of MMN or IFA capsules to be taken daily throughout the duration of pregnancy and until 3 months post partum. SUMMIT research assistants collected data for biomedical and socioenvironmental determinants within 72 h of enrolment. These data included mid-upper arm circumference (MUAC) and haemoglobin concentration, which were used to classify mothers as undernourished or anaemic for selection of the follow-up sample. Research assistants collected data for health outcomes and community facilitators promoted use of government health services and assessed supplement consumption. The IFA capsule contained 30 mg iron as ferrous fumarate and 400 μg folic acid. The MMN capsule, in accordance with the UN International Multiple Micronutrient Preparation (UNIMMAP), 14 contained the same amounts of IFA, plus 800·0 μg retinol (retinyl acetate), 200·0 IU vitamin D (ergocalciferol), 10·0 mg vitamin E (alpha tocopherol acetate), 70·0 mg ascorbic acid, 1·4 mg vitamin B1 (thiamine mononitrate), 1·4 mg vitamin B2 (ribofl avin), 18·0 mg niacin (niacinanide), 1·9 mg vitamin B6 (pyridoxine), 1·6 μg vitamin B12 (cyanocobalamin), 15·0 mg zinc (zinc gluconate), 2·0 mg copper, 65·0 μg selenium and 150·0 μg iodine. The study was registered at http://isrctn.org, number ISRCTN34151616.
The protocol of the original study was approved by the National Institute of Health Research and Development of the Ministry of Health of Indonesia, the Provincial Planning Department of Nusa Tenggara Barat Province, and the Johns Hopkins Joint Committee on Clinical Investigation, Baltimore, USA. The protocol of the follow-up study was approved by the University of Mataram Ethical Research Committee as a certifi ed Institutional Review Board of the National Institute of Health Research and Development of the Ministry of Health of Indonesia. Additional approvals were provided by the Provincial Planning Department of Nusa Tenggara Barat Province, and the District Health Departments of East, West, Central, and North Lombok Districts.
Participants
In this follow-up study, the participant sample was the 31 290 pregnant women enrolled in 2001–04 comprising the main cohort for the primary trial outcomes (fi gure 1). 12 After exclusions from 31 290 participants (287 [1%] dropped out, 397 [1%] moved, six died [<1%], 1064 [3%] were lost to follow-up, 597 [2%] had abortions, and 513 [2%] had stillbirths), 27 356 infants were confi rmed from 2001–04 to be alive between birth and 12 weeks post partum, including 1128 who had been confi rmed live then lost to follow-up before the 12 week visit, with 26 228 reported alive at 3 months. The proportion lost to follow-up at 3 months post partum was not diff erent between the IFA and MMN groups. From 2012–14, we www.thelancet.com/lancetgh
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re-enrolled 19 274 (70%) of the 27 356 infants at 9–12 years of age. The follow-up sample included 688 children who had been confi rmed live between birth and 12 weeks, but had been lost to follow-up before the 12 week visit.
Randomisation and masking
We selected 3068 children for cognitive assessment. First, we randomly selected a representative sample of 840 children powered to detect an eff ect size of
IFA=iron and folic acid. MMN=multiple micronutrients.
See Online for appendix
0·3 standard deviations for a normally distributed outcome (power 90%, α=0·05). Second, we over-sampled 574 children of mothers who were undernourished (MUAC <23·5 cm) and anaemic (haemoglobin <110 g/L) at enrolment, to detect the same eff ect size in these subgroups because MMN positively aff ected cognition at preschool age in these groups. 13 We then added the 487 children previously randomly selected and tested for cognitive development at preschool age, 13 and 640 children of previously randomly selected mothers whose cognitive function had been assessed. 15 Finally, we randomly selected 282 additional companion children from the reenrolment cohort to accompany any child to the testing site when only one child was selected at a school. Selection of children was done by an automated algorithm prepared in SAS (version 9.3). In brief, the algorithm fi rst compiled the list of all re-enrolled children at a school and selected those previously assessed as preschoolers and whose mothers had been assessed for cognitive performance. The algorithm then randomly selected children proportional to the number of re-enrollees at the school, and with proportional oversampling of children whose mothers had been either anaemic or undernourished at SUMMIT enrolment. Each list was alphabetically sorted and parsed to blocks of eight, as this comprised a testing batch, and two additional randomly selected re-enrolees were added to each block to account for potential absences on the day of testing. One list was used for each test session per school. We included in the fi nal representative sample all children except those specifi cally selected for the maternal anaemia and undernutrition subgroups. We obtained cognitive data from 2879 children: 2305 in the representative sample, 305 additional children of anaemic mothers, and 269 additional children of undernourished mothers (appendix). The sample sizes provided 90% power to detect a diff erence of SD 0·16 in the representative sample and SD 0·22 in the children of undernourished and anaemic mothers for normally distributed outcomes. All SUMMIT scientists and personnel, government staff , and participants in the original study, and all participants and all data collectors in the follow-up study were unaware of the allocation of MMN and IFA.
Procedures
We assessed nurturing and stimulation from the environment using a locally adapted version of the Home Observation for the Measurement of the Environment (HOME) Inventory, 16 and maternal depression with the Center for Epidemiological Studies depression test. 17 The properties of these tests after adaptation are in the appendix.
Seven teams of eight people administered the cognition and motor tests at local schools where temporary facilities were set up consisting of eight stations. At two stations medical information was collected (eg, anthropometry and blood pressure). At six stations, one data collector administered 2–3 cognitive tests. Targeted children were called from their classrooms in the morning. The average duration of testing at each station was 15 min. A separate team of assessors visited the homes of participants to administer the HOME inventory and assess maternal depression and child socioemotional development. These visits were completed for 2728 (95%) of the 2879 children in the full cognitive sample.
All assessors had 3 year or 4 year post-secondary degrees. They were trained and required to be certifi ed by passing written and practical certifi cation exams for three positions: administration of tests at schools, implementation of home visits, and reviewing of forms and audio recordings. All verbal tests and interviews were audio recorded and reviewed for quality control as described in the appendix.
Outcomes
We selected a set of tests specifi cally designed to assess brain functions likely to be sensitive to nutritional infl uences, and important for school success and daily life. These tests were adapted to the local setting in Lombok by a panel consisting of international and local research scientists, local psychologists, and local teachers. In an iterative process, the panel's decisions were informed by formative interviews and focus groups with parents of school-age children, and a series of 12 pilot tests of 216 children aged 8–12 years (table 1; appendix). Adapted tests were evaluated for inter-rater agreement, test-retest reliability, internal reliability, and convergent validity (appendix). The inter-rater agreement ranged from 88% to 100%, test-retest reliability from r=0·30 to r=0·90, and internal reliability from Cronbach's alpha=0·65–0·87.
The fi rst objective was to follow up school-age children (9–12 years) whose mothers had participated in SUMMIT, and assess the long-term eff ect of maternal MMN supplementation on child motor, cognitive, and socioemotional development. The second was to assess, in the same context, the eff ect of biomedical and socioenvironmental determinants on these outcomes.
Statistical analyses
All analyses were prespecifi ed and done with SAS (version 9.4). We examined whether children whose mothers received MMN or IFA were similar on key baseline characteristics for continuous variables by mixed eff ects linear regression models with a random eff ect of midwife on the intercept and for categorical variables by generalised linear models with midwife as a repeated measure.
All cognitive, motor, and socioemotional scores for which a lower score indicated better performance (eg picture naming speed) were reversed, thereby facilitating interpretation with positive coeffi cients indicating better performance in the MMN group (table 1). We log-transformed the following scores to reduce skewness from more than 1 to less than 1: speeded picture naming, visual search, visual search dual task, and Stroop test. For each continuous score, we calculated z scores by child sex and by 6 month age bands, because www.thelancet.com/lancetgh
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both age and sex were strongly associated with most test scores. We excluded extreme outliers of more than 5 SD from the mean (0·05% of scores).
We calculated the average z score for each child in each of the seven domains listed in table 1: general intellectual ability (information, picture naming speed, and block design scores); declarative memory (list memory recall trial 1, recall trial 2, and recognition trial); procedural memory (serial reaction time score); executive function (visual search, visual search dual task, digit span forward and backward, Stroop numbers, and Dimensional Change Card Sort scores); academic achievement
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(literacy and arithmetic scores); motor ability (pegboard average and assembly score); and socioemotional ability (adapted child behaviour checklist score). All domain scores were normally distributed.
The eff ect of MMN on each domain score was identifi ed by mixed eff ects models with a fi xed eff ect of supplement group and a random eff ect of midwife. If one assessor administered all tests in any domain, we also included a random eff ect of assessor. Each model was estimated fi rst with the supplement group as the only fi xed eff ect (model 1), second, with fi xed eff ects of the supplement group and six baseline covariates from SUMMIT (model 2), and third, model 2 plus six covariates that were outcomes of SUMMIT (model 3). The six baseline covariates were maternal and paternal education, maternal MUAC, haemoglobin, and height, and wealth index. The outcome covariates from SUMMIT were preterm birth (<37 weeks gestation), small for gestational age calculated based on Oken and colleagues, 20 and four variables collected at the follow-up at 9–12 years of age: postnatal growth, which was calculated as the residual of small for gestational age predicting height-for-age z score (HAZ) at 9–12 years (with HAZ calculated based on WHO norms 21 ), child haemoglobin, HOME inventory score, and maternal depression score. As described above, child age and sex were already accommodated in the calculation of z scores.
The appendix shows the percent of data absent for each covariate, which ranged from 0% to 17%. Baseline maternal haemoglobin during SUMMIT had been intentionally collected in a subgroup of representative women, thus 37% of selected children did not have this covariate. To avoid dropping participants from adjusted analyses due to missing covariates, we used multiple imputation as described in the appendix. 22 We also estimated model 3 using complete case analysis, for comparison.
We estimated each model fi rst for the randomly selected representative sample of all children (n=2305), second, for children of undernourished mothers (n=1076), and third, for children of anaemic mothers (n=1009), both subgroups including those in the representative sample as well as those over-sampled for these characteristics. We used Fisher's exact test to assess whether the proportion of positive coeffi cients due to MMN was diff erent from chance, and to assess whether the proportion of signifi cant coeffi cients was diff erent between the biomedical and socioenvironmental groups of determinants.
Role of the funding source
The funders of the study had no role in the study design, data collection, data analysis, data interpretation, or writing of the report. All authors had full access to the data in the study and approved the decision to submit for publication.
Results
In the full cognitive follow-up sample (n=2879), children whose mothers had received IFA or MMN did not diff er signifi cantly in any characteristic (table 2). Likewise, in the randomly selected overall representative sample (n=2305), no signifi cant diff erences were found between groups. The characteristics of the representative sample were similar to the characteristics of the 31 290 participants in the main cohort (table 2).
Of the 2631 children from whom data was obtained on the serial reaction time task, 198 (8%) did not pass the practice items, therefore the test items were not administered. An additional 374 children (14%) scored less than 80% accuracy on the test items, and were also excluded from analysis of this task in accordance with previous studies. 18,19 The proportion of children excluded did not diff er between IFA (21%) and MMN (22%; p=0·49).
The estimates of the intention-to-treat eff ect of the intervention on each domain score adjusted for cluster randomisation and assessor (model 1) are shown in table 3. In the representative sample, children in the MMN group scored signifi cantly higher than children in the IFA group in procedural memory (B=0·11 [95% CI 0·01–0·20], p=0·0319). In children of anaemic mothers, the MMN group scored signifi cantly higher in general intellectual ability (B=0·18 [95% CI 0·06–0·31] where B is the unstandardised estimate of the regression coeffi cient, representing the change in z score of the outcome associated with a one-unit change in the independent variable, p=0·0047). In children of undernourished mothers, no signifi cant eff ects of MMN were noted for any domain score. Overall, 18 of 21 estimates were positive, indicating the MMN group scored consistently higher than the IFA group; this was signifi cantly greater than chance (p=0·0431).
When adjusting for baseline covariates (model 2; appendix), the same pattern was found in all three samples of children as in the model 1 intention-to-treat analysis, that is, signifi cant eff ects of maternal MMN supplementation on procedural memory in the representative sample (B=0·10, 95% CI 0·00–0·20, p=0·0464) and on general intellectual ability in children of anaemic mothers (B=0·18, 95% CI 0·06–0·29, p=0·0034). When adjusting for additional covariates collected after enrolment (model 3), the same pattern was found. The estimates adjusting for all covariates (model 3) are shown in fi gure 2 and in the appendix.
The regression coeffi cients for all variables in model 3 are shown in table 4 for the representative sample of children. The socioenvironmental determinants (socioeconomic status, maternal and paternal education, HOME score, and maternal depression) showed stronger and more consistent associations with school-age cognitive, motor, and socioemotional scores, as compared with the biomedical determinants. For the socioenvironmental determinants, coeffi cients ranged from 0·00–0·43, and 22 (63%) of 35 coeffi cients were signifi cant. For the biomedical determinants, coeffi cients ranged from 0·00–0·10 and eight (14%) of 56 coeffi cients were signifi cant, the diff erence in these proportions was signifi cant (p<0·0001).
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Table 2: Group characteristic comparisons
Children whose mothers received MMN supplements during pregnancy and post partum scored higher in procedural memory, maternal MUAC during pregnancy was signifi cantly positively associated with executive function, and maternal height was positively associated with declarative memory and fi ne motor dexterity (table 4). Maternal haemoglobin during pregnancy, preterm birth, and small for gestational age were not signifi cantly associated with any score. Child haemoglobin at cognitive testing was signifi cantly associated with fi ne motor dexterity (table 4). Post natal growth in height www.thelancet.com/lancetgh
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(the standardised residual of small for gestation age predicting HAZ at follow-up) was signifi cantly associated with three scores: general intellectual ability, academic achievement, and fi ne motor dexterity (table 4). By contrast, each of the socioenvironmental determinants was associated with three to fi ve outcome scores (table 4). Children in low socioeconomic status households scored lower in general intellectual ability, declarative memory, executive function, academic achievement, and fi ne motor dexterity compared with those in high socioeconomic status households (table 4). Both maternal and
A positive coeffi cient indicates that the multiple micronutrients group scored higher than iron and folic acid. *Adjusted for a random eff ect of midwife cluster. †Adjusted for random eff ects of midwife cluster and data collector.
Figure 2: Adjusted estimates of the eff ect of MMN versus IFA for each
domain score (model 3)
IFA=iron and folic acid. MMN=multiple micronutrients.
paternal education were signifi cantly associated with general intellectual ability, executive function, and academic achievement, while maternal education was also associated with declarative memory and fi ne motor dexterity (table 4). HOME inventory score was signifi cantly associated with general intellectual ability, declarative memory, executive function, academic achievement, and fi ne motor dexterity (table 4). Maternal depression was strongly associated with child socioemotional development, and was the only signifi cant predictor of this score. Maternal depression was also associated with general intellectual ability, declarative memory, and executive function.
In the fully adjusted models (model 3) with complete case analysis, rather than multiple imputation, the coeffi cients for all independent variables were similar to the coeffi cients with multiple imputation. The median diff erence between each pair of coeffi cients in the imputed versus non-imputed models was 0·03 (IQR 0·02–0·05).
Figure 3 shows the coeffi cient size of each risk factor on each cognitive, motor, and socioemotional score, with all continuous variables dichotomised so that eff ect sizes can be compared across risk factors. The results were similar to the results of the models with continuous variables, with the socioenvironmental risk factors showing stronger and more consistent associations with the domain scores than the biomedical factors.
Discussion
We examined three groups of children: a randomly selected representative sample, and samples from undernourished and anaemic mothers. In the representative sample, children in the MMN group scored mean 0·11 SD higher than the IFA group in procedural memory. Children of anaemic mothers in the MMN group scored 0·18 SD higher in general intellectual ability. Although these were the only two signifi cant eff ects of MMN, overall, 18 of 21 estimates (seven cognitive, motor, and socioemotional scores for three groups of children) were positive, indicating that the MMN group scored consistently higher than the IFA group. These non-signifi cant positive eff ect sizes, ranging from 0·00 to 0·13 SD, were smaller than the study was powered to detect (0·16 SD in the representative sample and 0·22 SD in the children of undernourished and anaemic mothers). However, the proportion of positive coeffi cients, indicating higher scores in the MMN group, was signifi cantly greater than chance.
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In our sample, from school year grade 2 through to grade 5, cognitive scores increased on average by 0·21 SD per academic year. Thus, the eff ect size of 0·11 SD on procedural memory was equivalent to the increase in scores with about half a year of school, while the eff ect size of 0·18 SD on general intellectual ability in children of anaemic mothers was equivalent to the increase in scores with almost a full year of school. Therefore, while these eff ect sizes are small based on Cohen's classifi cation, 23 they represent a substantial and meaningful develop men tal advance for children whose mothers received MMN, suggesting that provision of MMN during pregnancy is an eff ective way to pursue the UN's Sustainable Development Goal 4·2 to "ensure that all girls and boys have access to quality early childhood development so that they are ready for primary education."
In multiple regression models, socioenvironmental determin ants (eg, HOME score and maternal depression) showed stronger and more consistent signifi c ant associations with school-age cognitive, motor, and socioemotional scores, as compared with biomedical determinants (eg, maternal nutritional status and preterm birth). Socioenvironmental coeffi cients ranged from 0·00–0·43 SD, equivalent to the increase in scores with up to two years of school, while biomedical coeffi cients ranged from 0·00–0·10 SD, equivalent to up to a half a year of school. This fi nding suggests that present RMNCH programmes that are focused on biomedical determinants might not suffi ciently enhance child cognition, and that programmes addressing socioenvironmental determinants are essential to achieve thriving populations.
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This longitudinal study is the fi rst, to our knowledge, from pregnancy through to school age in a LMIC that assessed a large number of children on a comprehensive battery of cognitive, motor, and socioemotional tests and that examined stimulation from the home environment and maternal depression together with other socioenvironmental and biomedical factors measured perinatally. Strengths of the study were the double-blind, randomised design, the large number of children followed up, the assessment of multiple specifi c cognitive abilities, the high quality implementation of cognitive assessments, and adaptation and evaluation of assessments in the local context. One weakness was that only children attending school were selected for cognitive assessment. However, 18 230 (95%) of the 19 274 children in the full follow-up sample were attending school at the time of re-enrolment. Another challenge was that cognitive assessments were done in schools during regular school hours instead of in specialised testing rooms, which was not an optimum testing environment. However, any noise introduced due to this factor would tend to mask diff erences between MMN and IFA, and yet eff ects were indeed detected. A third challenge was heterogeneity between assessors. Despite high inter-rater agreement, signifi cant associations were found between the assessor who administered the test and its score, with the exception of the computerised tests (dimensional change card sort and serial reaction time). We mitigated this by controlling for assessor in the analyses of the eff ect of MMN.
meta-analyses including two additional large-scale trials allaying earlier concerns of adverse eff ects. However, eff ects on long-term cognitive ability remain equivocal or unknown. In our study, the specifi c positive eff ects, together with those mentioned above, 27 would support policy change from IFA to MMN. The fi nding that children of anaemic mothers showed positive eff ects of MMN on general intellectual ability is consistent with greater eff ects on preschool cognition 13 and infant mortality that have been found in this group. 12 This suggests that mothers who are anaemic during pregnancy have greater potential to benefi t from supplementation with MMN than those who are not anaemic, perhaps because anaemia might be associated with diet and other factors causing MMN defi ciency.
At least 16 randomised trials have compared maternal supplementation with UNIMMAP to IFA, 14 showing positive eff ects of MMN on birth weight and small for gestational age, 24–26 and still births, 27 with the most recent
In four previous follow-up studies of MMN versus IFA assessing developmental outcomes, and in 56 previous longitudinal studies in LMICs assessing cognition at school age, no study examined procedural memory. Our positive fi ndings suggest that this cognitive ability should be included in future studies. The procedural memory system underlies learning of new, and processing of established, perceptual, motor, and cognitive skills. Procedural memory might subserve a wide range of skilled activities that children and adults do automatically and are important for academic performance and daily life, such as driving, typing, arithmetic, reading, speaking, and understanding language, and learning sequences, rules, and categories. 28,29 The basal ganglia, including the caudate nucleus and the putamen (the dorsal striatum), together with connected areas of the frontal cortex are critical brain structures in procedural memory. 28,30 Dopamine has an important role in this www.thelancet.com/lancetgh
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system, perhaps in skill consoli dation. 31 The observed eff ect of MMN on procedural memory might be due to altered dopamine metabolism, because animal models of maternal defi ciency in specifi c micronutrients, including iron and vitamin B6, have shown altered dopamine metabolism and impaired dopamine-related behaviours in the off spring. 32,33
Meta-analyses of micronutrient interventions in school-age children 34 and nutrition interventions in infants younger than 2 years in LMICs, 35 have found pooled eff ects of about 0·1 SD. This result is consistent with the eff ect sizes that we reported of 0·11 SD on procedural memory in the representative sample and 0·18 SD on general intellectual ability in children of anaemic mothers. However, these eff ects are smaller than the eff ects of MMN that we noted for preschool cognition in children of undernourished and anaemic mothers, which were about 0·3–0·4 SD. 13 These fi ndings are consistent with previous reports of diminishing eff ects of early childhood education programmes throughout childhood and adolescence, 36 and underscores the need for early and ongoing intervention to promote sustainable gains and mitigate loss of investments in early childhood development. In this context, the persistent and discernible eff ects of maternal MMN supplementation are remarkable. 10 Ongoing intervention is in line with the UN's Sustainable Development Goals 4 and 5 to ensure inclusive and equitable quality education and promote lifelong learning opportunities for all and to achieve gender equality and empower all women and girls.
The signifi cant long-term eff ect of maternal MMN supplementation and the signifi cant association with other early life biomedical risk factors, suggest that to achieve thriving populations, coverage of existing RMNCH interventions to reduce these biomedical risks needs to be improved. However, even with improved coverage, additional interventions addressing socioenvironmental risk factors are essential. The larger and more consistent eff ects of socioenvironmental determinants on all domain scores suggests that correction of all maternal and child biomedical conditions would not fully optimise cognitive development without additionally addressing socio environmental determinants. Interventions designed to enhance psychosocial nurturing and stimulation have generally resulted in larger eff ects on child development than those found in nutrition interventions, with meta-analyses of studies in LMICs reporting pooled eff ect sizes of SD 0·42 in children younger than 2 years, 35 and SD 0·31 in children aged 3–5 years. 37 Our fi ndings indicate that investments focused on implementing interventions at scale to address socioenvironmental determinants are needed, including those to reduce maternal depression and improve educational levels of both girls and boys. This advancement would have a substantial transformational impact on the next generation.
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Contributors
The SUMMIT Study Group, including SKS, MA, SS, HM, and AHS designed and implemented the original SUMMIT study. EP, SKS, MA, BH, KJA, MTU, HM, and AHS designed the follow-up study. JL designed the serial reaction time task and provided statistical advice. EP, AHS, SKS, MA, SRA, NH, AI, SS, and BH implemented the follow-up study. EP and AHS completed the data preparation, statistical analysis and drafted the manuscript with inputs from the other authors. All individual authors critiqued the manuscript and approved the fi nal report. HM and AHS were the principal investigators of the follow-up study and AHS is the guarantor.
Declaration of interests
We declare no competing interests.
Acknowledgments
Support for the follow-up re-enrolment project was provided by a grant awarded to the Summit Institute of Development from the Grand Challenges Canada Saving Brains Program (grant #0067-03), with additional funding provided by the Summit Institute of Development. The SUMMIT study was supported by the Turner Foundation, UNICEF, the Centre for Health and Human Development, and the United States Agency for International Development-Indonesia (grant #497-G-00–01–00001–00). We thank the families and communities who participated in the study and the elementary schools in Lombok, which provided classrooms and other logistical support for cognitive assessment. We are grateful for continual support, guidance and cooperation from the Governor's Offi ce and all health and education staff of West Nusa Tenggara Province and Districts.
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13 Prado EL, Alcock KJ, Muadz H, Ullman MT, Shankar AH. Maternal multiple micronutrient supplements and child cognition: a randomized trial in Indonesia. Pediatrics 2012; 130: e536–46.
14 UNICEF, WHO, UN University. Composition of a multi-micronutrient supplement to be used in pilot programmes among pregnant women in developing countries: report of a United Nations Children's Fund (UNICEF), World Health Organization (WHO) and United Nations University workshop. New York: UNICEF, July 9, 1999.
15 Prado EL, Ullman MT, Muadz H, Alcock KJ, Shankar AH. The eff ect of maternal multiple micronutrient supplementation on cognition and mood during pregnancy and postpartum in Indonesia: a randomized trial. PLoS One 2012; 7: e32519.
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17 Radloff LS. The CES-D Scale: a self-report depression scale for research in the general population. Appl Psychol Meas 1977; 1: 385–401.
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19 Lum JA, Conti-Ramsden G, Page D, Ullman MT. Working, declarative and procedural memory in specifi c language impairment. Cortex 2012; 48: 1138–54.
20 Oken E, Kleinman KP, Rich-Edwards J, Gillman MW. A nearly continuous measure of birth weight for gestational age using a United States national reference. BMC Pediatr 2003; 3: 6.
21 WHO Multicentre Growth Reference Study Group. WHO Child Growth Standards: Length/height-for-age, weight-for-age, weight-for-length, weight-for-height and body mass index-for-age: methods and development. Geneva: World Health Organization, 2006.
22 Kenward MG, Carpenter JR. Multiple Imputation and Its Application. Chichester: Wiley, 2013.
23 Cohen J. Statistical power analysis for the behavioural sciences. 2nd edn. Hillsdale, NJ: Lawrence Erlbaum Associates, 1988.
24 Fall CHD, Fisher DJ, Osmond C, Margetts BM, the Maternal Micronutrient Supplementation Study Group (MMSSG). Multiple micronutrient supplementation duirng pregnancy in low-income countries: a meta-analysis of eff ects on birth size and length of gestation. Food Nutr Bull 2009; 30 (4 suppl): S533–S46.
25 Kawai K, Spiegelman D, Shankar AH, Fawzi WW. Maternal multiple micronutrient supplementation and pregnancy outcomes in developing countries: meta-analysis and meta-regression. Bull World Health Organ 2011; 89: 402–11B.
26 Ramakrishnan U, Grant FK, Goldenberg T, Bui V, Imdad A, Bhutta ZA. Eff ect of Multiple Micronutrient Supplementation on Pregnancy and Infant Outcomes: a systematic review. Paediatr Perinat Epidemiol 2012; 26: 153–67.
27 Haider BA, Bhutta ZA. Multiple-micronutrient supplementation for women during pregnancy. Cochrane Database Syst Rev 2015; 11: CD004905.
28 Ullman MT. Contributions of memory circuits to language: the declarative/procedural model. Cognition 2004; 92 (1–2): 231–70.
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By Michael Brazzel
CONFERENCE CONNECTION
Michael Brazzel is a presenter at the 2007 OD Network Annual Conference in Baltimore at the following session:
Deep Diversity, Social Justice, and OD
Monday, October 22 10:15 – 11:45 am
Diversity and Social Justice Practices for OD Practitioners
The words "diversity" and "social justice" are familiar enough to Organization Development (OD) practitioners that most of us know what they mean and how they work. Many of us would say they are part of our OD practice. Yet we can be uncomfortable with diversity issues when they come up in our OD practice and we seek ways to address organizational issues without having to directly take on diversity aspects.
This is true of the OD profession as a whole. A review of the content indexes of current OD textbooks yields few listings for diversity and social justice concepts and dynamics. Bob Marshak comments that, "Given the core values of OD and the increasingly diverse and multicultural organizational settings for its practice, it is clear that all professional practitioners need to fully understand and as appropriate address multicultural and diversity issues and dynamics…" (Marshak, 2006, p. 25.)
This article examines ten diversity and social justice practices that support addressing diversity and social justice issues and dynamics as an integral part of OD practice. They are listed in Exhibit 1.
1. Understand Diversity and Social Justice Dynamics
Diversity
Diversity includes human differences, aspects of human experience, and elements of culture. These diversity measures apply at individual, group, organization, community, nation, and world levels of human systems. Diversity also involves processes for addressing diversity at different levels of human systems: inclusion, pluralism, multiculturalism, and cultural competency. See Exhibit 2.
Diversity is often described in terms of human differences…race, gender, sexual orientation, physical and mental ability, ethnicity, nationality, age, spiritual practice,
Exhibit 1: Diversity and Social Justice Practices
1. Understand diversity and social justice dynamics
2. Integrate diversity and social justice into OD practice
3. Work from dominant and subordinated group identities
4. Work at multiple levels of system
5. Do our own diversity and social justice work
6. Claim and use all of ourselves
7. Partner with others
Diversity and social justice are interrelated. Fred Miller writes, "Social justice issues must be addressed in order to achieve the potential of diversity." (Miller, 1994, p. xxvi.)
8. Practice small acts of courage, irrepressible hope, and stubborn optimism
9. Stay alive
10. Create and use a guiding vision of social justice and inclusion
Diversity and Social Justice Practices for OD Practitioners
15
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Exhibit 2: Diversity Measures and Processes
Diversity Measures
Human differences: race, ethnicity, nationality, gender, sexual orientation, spiritual practice, ability, age, class, and other human differences. Human differences apply for multiple levels of human systems. »
Aspects of human experience: thinking, doing, feeling, physical sensations, values, and intuitive, spiritual and other knowing. Aspects of human experience apply for multiple levels of human systems. »
Elements of culture: authority, leadership, power, status, language, time, space, intimacy and sexuality, style, laws, regulations, rules, norms, standards, structure, values, beliefs, assumptions, ideology and ways of making meaning, individualism and collectivism, rewards and punishments, spirituality and religion, food, dress, humor, rites and rituals, and other elements of culture. Elements of culture apply for multiple levels of human systems. »
Diversity Processes
Inclusion: including people with many differences in the work of organizations. »
Pluralism: incorporating diverse groups of people in organizations, communities, and nations. »
Multiculturalism: incorporating the multiple interests, contributions, and values of diverse groups of people in the cultures of pluralistic organizations, communities, and nations. »
Cultural competency: individual ability for effective, interpersonal communication with people across cultural differences based in race, gender, sexual orientation, nationality, ethnicity, religion, age, class, and other human differences. »
OD PRACTITIONER Vol. 39 No. 3 2007
class, and other human differences. Diversity is also expressed in terms of human experience—Ideas, behaviors, physical sensations, feelings, values, and intuitive, spiritual, and other knowing. These aspects of human experience are forms of intelligence and experience which are used to acquire and process information, make meaning, and define reality. Cultural differences are a third way of defining diversity. Elements of culture can include, for example, authority, leadership, power, status, language, time, space, intimacy, laws, regulations, rules, norms, standards, structure, values, beliefs, assumptions, ideology and ways of making meaning, rewards and punishments, and spirituality.
communities, and nations. Cultural competency describes the ability of individuals for effective, cross-cultural communication with other individuals.
Social Justice
Diversity also includes processes of addressing diversity concepts in human systems. Inclusion, the process of including people with many differences, generally is used to describe organizations. Pluralism and multiculturalism are often used as characteristics of organizations,
Understanding and helping organizations provide for diversity and inclusion is not enough. Because organizations exist in a landscape of social identity groups, power differences among identity groups, and prejudice, social justice must also be addressed. Social justice is the elimination of oppression and development of cultures and systems that provide inclusion, equity, access, and opportunity for all people. Organizations have been unsuccessful in attempts to create a culture of inclusion without first addressing racism, sexism, and other forms of oppression and injustice. (Jackson, 2006, p. 143.) Social justice concepts and processes are listed in Exhibit 3.
We live in a world that is racialized,
Exhibit 3: Social Justice Concepts and Processes
Social justice: The elimination of oppression and development of cultures and systems that provide inclusion, equity, access, and opportunity for all people. »
Oppression: Systems of inequality, privilege, and actions, behaviors, and practices institutionalized in the cultures, policies and practices of groups, organizations, communities, and nations and internalized in individuals. Oppression is based in power and prejudice about human differences. It benefits dominant group members and harms subordinated group members. The "isms" are forms of oppression, that include racism, sexism, heterosexism, classism, xenophobic oppression, colonialism, and other isms. »
Social identity groups: A group of people with common characteristics who are defined and set apart by socially-constructed boundaries, such as race, gender, sexual orientation, age, class, spiritual practice, and ability. Individuals have multiple group memberships. Most individuals are members of both dominant and subordinated groups. The concept of dominant and subordinated groups relates to group identity and not individual identity. »
Dominant groups: Social identity groups with power in groups, organizations, communities, and nations to use resources and establish sanctions, rules, norms, style, laws, policies, values and expectations. Dominant group members see themselves as normal and often better than subordinated group members, whom they view as abnormal and less-than. Dominant group power, combined with prejudice toward subordinated groups, is used to confer privilege, power, recognition and opportunity to dominant group members and deny those benefits to subordinated group members. »
Subordinated groups: Social identity groups who do not hold power and are denied privilege and subjected to harm because of subordinated group identity. »
gendered, sexualized, and classed. White people, men, heterosexuals, upper- and middle-class people, and citizens of colonialist and white-settler nations receive benefits and are privileged as a result of their dominant group identities, separate from their accomplishments as individuals. People-of-color, women and transgender people, gays, lesbians and bisexual people, working class people, and citizens of nations-of-color, are disadvantaged and penalized for their group identities, in spite of their accomplishments as individuals. Human differences, dominant and subordinated groups and the forms of oppression that effect them are described in Table 1.
2. Integrate Diversity and Social Justice into OD Practice
For the most part, the theories and models that OD practitioners use do not consider the existence and implications for organizations of dominant and subordinated identity groups, power differences among groups, prejudice, and institutionalized racism, sexism, heterosexism, and other forms of oppression. The informal assumption in OD is that racism, sexism, heterosexism and other forms of oppression are not always present and they need to be
Table 1: Human Differences, Dominant and Subordinated Groups, and Forms of Oppression
| DOMINANT GROUPS White, Caucasian | SUBORDINATED GROUPS Asian descent, Black/ African descent, Latino/ Latina/ Hispanic descent, First Nation/ Native People. Bi- and Multi-Racial People |
|---|---|
| White, Western European Heritage | Arab, Filipino, Gypsy/Roma, Haitian, Indian, Jewish, Mexican, Puerto Rican, Turkish, and other ethnicities |
| US, Canada, UK, France, Germany, Austria, Russia, Australia, other European, white dominant and white settler nations | Panama, Afghanistan, Iraq, South Korea, Vietnam, Somalia, Malaysia, Philippines, Kenya, Zimbabwe, Guam, Granada, Puerto Rico, Bangladesh, other nations of color; refugee, legal immigrant/ alien, illegal immigrant/ ”alien,” stateless |
| Men | Women, Transgender |
| Heterosexual | Gay, Lesbian, Bisexual |
| Christian | Agnostic, Animist, Atheist, Bahá’í, Buddhist, Confucian, Hindu, Jain, Jewish, Muslim, Pantheist, Shintoist, Sikh, Taoist, Yoruba, Zoroastrian and other spiritual practices |
| Able-bodied | People with Disabilities |
| Adults | Children, Elders |
Diversity and Social Justice Practices for OD Practitioners
17
addressed only when oppression becomes an issue for the organization. The contrasting perspective is that dominant and subordinated group memberships, power differences, prejudice, and institutionalized oppression are part of the daily experience of organizations and must be attended as an integral part of OD practitioners' work.
Consider a twelve-month experiment: Assume that dominant and subordinated identity groups, power, prejudice, and racism, sexism, heterosexism and other forms of oppression are ever-present in the organizations in which you practice OD. Incorporate the existence of dominant and subordinated identity groups, power, and prejudice into the theories and models you use in your OD practice: change, resistance, and conflict theory, systems theory, action research, use of self, values and ethics, and supplementary and practice theories, such as appreciative inquiry and emotional intelligence. Contract with your organizational clients to support their health and effectiveness, their efforts at inclusion, and their work to mitigate and eliminate racism, sexism, heterosexism and other forms of oppression.
3. Work from Dominant and Subordinated Group Identities
OD practitioners are individuals and they also have multiple dominant and subordinated group identities. These group identities affect client organizations and working relationships among OD practitioner teams and client organizations. Knowing, owning, and working from dominant and subordinated group identities opens space for being able to partner across identity groups. Paradoxically, it also reinforces the individual identity of OD practitioners.
Practitioners are more effective in working from dominant and subordinated group identities when they engage regularly in personal development work to understand and own personal bias and prejudice involving race, gender, sexual orientation, and other human differences; areas of internalized privilege, dominance, and subordination; and their
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effects on practitioners' actions. Working from dominant and subordinated group identities also helps with understanding and tracking the impacts of practitioner interventions and behavior at both individual and social identity group levels.
4. Work at Multiple Levels of System
Being effective in helping organizations address diversity and social justice issues can mean that practitioners have to be prepared to work at multiple levels of
As OD practitioners, we can help organizations go only as far in addressing diversity and social justice as we have gone in our own personal development. The less we attend to our own development, the more likely we will be limiting organizations as we are consulting with them. The development process around diversity and social justice is complex because OD practitioners are likely to be members of both dominant and subordinated groups.
systems. Racism, sexism, heterosexism and other forms of oppression are interdependent and reinforcing and can show up at varying levels of system. They are manifested as internalized dominance, privilege, and subordinance in the beliefs and actions of individuals and they are institutionalized in the norms, structures, and processes of groups, units, and organizations. Practitioners can get stuck working at the individual level of system on awareness training, internalized oppression, or interpersonal communication and not support the organization with addressing institutionalized oppression at other systemic levels of the organization. Organization may prefer to stay with, for example, coaching or one-day awareness training. Diversity and social justice work often means joining people/ groups/ organizations where they are and then helping them to explore other levels.
5. Do Our Own Diversity and Social Justice Work
As OD practitioners, we can help organizations go only as far in addressing diversity and social justice as we have gone in our own personal development. The less we attend to our own development, the more likely we will be limiting organizations as we are consulting with them. The development process around diversity and social justice is complex because OD practitioners are likely to be members of both dominant and subordinated groups.
For dominant group members, doing one's own work means coming to terms with internalized superiority, dominance, and privilege….the sense of entitlement that grows from embedded values and beliefs that dominant group members are normal and that the others are abnormal and less than fully human. The development process for dominant group members involves:
Maintaining an ongoing awareness of the existence and impacts of racism, sexism, heterosexism and other forms of oppression on subordinated group members and its benefits for dominant group members, »
Being able to name and track oppression in its various forms, »
Having empathy for subordinated group members, and »
Making a commitment to interrupt oppression whenever and wherever it shows up. »
Ongoing awareness is central. (Hanna, Talley, and Guindon, 2000, pp. 437-439.) Dominance functions by limiting the
Diversity and social justice work involves being imperfect and vulnerable, a willingness to make mistakes and learn from them, and forgiving oneself and others for being imperfect. It means working from both head and heart and being clear about what one stands for; identifying one's own purpose, vision, values. It means taking responsibility for ourselves and our personal and professional development, holding ourselves responsible for intentions and accountable for intended and unintended impacts, and distinguishing between intentions and effects of one-time, isolated events and the cumulative effects of successive and on-going events.
awareness and empathy of dominant group members.
For subordinated group members, development means coming to terms with internalized subordinance, identification, and collusion with dominant group members. Subordinated group members are aware of the existence, forms, and effects of oppression. Their development process includes
Validation of their awareness and perception, »
Disidentification with harmful values and beliefs of dominant group members, »
Rightfully attributing the problem of oppression to the dominant group, »
Acknowledging the appropriateness of anger and depression that can result from the harmful effects of oppression, »
Developing self-efficacy, and »
Advocating for subordinated group members. (Hanna, Talley, and Guindon, 2000, pp. 435-437.) »
Again awareness is central for liberation of subordinated group members from racism, sexism, heterosexism and other forms of oppression as systems of inequality that support dominant group members and harm subordinated group members.
Personal and professional development work is a journey, not an end result. It is life's work. Support for maintaining awareness and personal and professional development can be found by partnering with other practitioners;
looking to the work of practitioner-elders like Elsie Y. Cross, Jack Gant, and Edie Seashore; and regularly participating in diversity and social justice labs, workshops, and certificate programs, such as NTL's Diversity Practitioner Certificate Program.
6. Claim and Use All of Ourselves.
Knowing, being, and using all of ourselves as OD practitioners is an important diversity and social justice practice. Who I am includes human differences, areas of human experience, elements of individual culture, dominant and subordinated group identities, internalized dominance, privilege, and subordination, preferred ways and styles for engaging with individuals, groups, and organizations, dreams, memories, feelings, and other inner life experience, and roles, titles, and responsibilities. Some aspects of self are listed in Exhibit 4. Using ourselves involves using all aspects of self, those about which we are proud and sorry. . . Using ourselves, with intention, to impact individuals, groups, and organizations.
Exhibit 4: Some Aspects of Self
Human differences: race, ethnicity, nationality, gender, sexual orientation, spiritual practice, ability, age, class, and other differences, »
Human experience: thinking, doing, feeling, physical sensations, values, and intuitive, spiritual and other knowing, »
Individual culture: authority, leadership, power, status, language, time, space, intimacy and sexuality, style, laws, regulations, rules, norms, standards, structure, values, beliefs, assumptions, ideology and ways of making meaning, individualism and collectivism, rewards and punishments, spirituality and religion, food, dress, humor, rites and rituals, and other elements of culture, »
Dominant and subordinated group identities, »
Dreams, memories, body sensations, feelings, and core values of our inner beings, »
Internalized dominance, privilege, and subordination, »
Personality, culture, and history, »
Learning, resistance, conflict, risk-taking, leadership and other styles and preferences, skills, competencies, authenticity, strengths, and areas for development, »
Diversity and social justice work involves being imperfect and vulnerable, a willingness to make mistakes and learn from them, and forgiving oneself and others for being imperfect. It means working from both head and heart and being clear about what one stands for; identifying one's own purpose, vision, values. It means taking responsibility for ourselves and our personal and
Roles, titles, and responsibilities we assume in our engagement and identification with individuals, family, groups, and organizations in our environments, »
Ways we are affected by and affect others through bias, prejudice, collusion, racism, sexism, heterosexism, classism, colonialism, and other forms of oppression. »
Diversity and Social Justice Practices for OD Practitioners
19
professional development, holding ourselves responsible for intentions and accountable for intended and unintended impacts, and distinguishing between intentions and effects of one-time, isolated events and the cumulative effects of successive and on-going events. It means reclaiming repressed, disowned, and projected parts of ourselves with information gained through disclosure and feedback and dreams, memories, body sensations, and feelings.
7. Partner with Others
Effective diversity and social justice work in organizations depends on the OD practitioner's ability to partner with others by building and using networks and support systems of colleagues and allies. Diversity and social justice work cannot be done alone.
Partnering has many benefits. Partnering both within and across multiple group identities brings different perspectives and experiences to the work. It provides both support and challenge for practitioners and fosters practitioner growth and development. It models working across dominant and subordinated group identities for members of client organizations and systems.
8. Practice Small Acts of Courage, Irrepressible Hope, and Stubborn Optimism
Change does not need to involve one or two big acts that change the entire world. Change can result from one small act after another, an accumulation of acts, by people working together for social justice and inclusion. Telling the truth. Staying true to one's values. Speaking out for diversity and social justice and acting to eliminate oppression in all of its forms.
Oppression can seem insurmountable in the world. Hope, combined with optimism, is the belief that oppression, as a social construct, is not permanent and can be dismantled. Václav Havel speaks of hope as ". . . the certainty that something makes sense, regardless of how it turns out. . . . Hope. . . gives us the strength to
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live and continually try new things, even in conditions that seem as hopeless as ours do, here and now." (Havel, 1990, p. 182.)
9. Stay Alive
In his well-known article, Herb Shepard's first rule for change agents is "stay alive." (Shepard, 1975.) This is also a good diversity and social justice practice for OD practitioners.
Staying alive means helping organizations have successes, even when they are small. It means being choiceful
In 1981, ten members of the Irish Republican Army were on hunger strike and dying in British jails. A few weeks before my aunt Mary Brazzel died in 1981, she asked me, "Is there anything that is important enough to you that you would be willing to die for it?" Though I did not know then, I know now that social justice and the elimination of oppression are important enough to die for. They are also worth living for.
and strategic about when and how to consult in client systems where diversity and social justice work is difficult and may not be a popular direction for the organization. It means choosing not to work in some organizations or leaving an internal position in an organization based on practitioner values and ethics.
Diversity and social justice work in organizations can be taxing, and even toxic. Not surprisingly, being healthy is the highest-priority value in a study of the values of eighty-nine diversity and social justice practitioners. (Brazzel, 2007.) It is important to remember practitioners who devoted themselves to diversity and social justice work and died too soon. They include Amanda Fouther, Kaleel Jamison, Marjane Jensen, Hal Kellner, Robert B. Moore, Richard Orange, Robert W. Terry, Leroy Wells, Jr. Their legacies remain with us.
In 1981, ten members of the Irish Republican Army were on hunger strike and dying in British jails. A few weeks before my aunt Mary Brazzel died in 1981, she asked me, "Is there anything that is important enough to you that you would be willing to die for it?" Though I did not know then, I know now that social justice and the elimination of oppression are important enough to die for. They are also worth living for.
10. Create and Use a Guiding Vision of Social Justice and Inclusion
Organizations choose a path of social justice and inclusion, moving from a dominant culture to a culture that integrates the cultures of many different individuals and social identity groups…..or they do not. When organizations do choose to address diversity and social justice issues, they do so because of business and mission-related advantages to the organization, because harmful effects of oppression are not acceptable, because of threatening legal and legislative losses, and because the course of social justice and inclusion is congruent with organizational values and is the morally right thing to do. A vision of social justice and inclusion is needed for guiding organizations on this journey.
OD practitioners support change in organizations by helping them define and be clear about both their present state and their desired future. When OD practitioners have incorporated diversity and social justice in their OD practice, they can help organizations begin to see and track the impacts of dominant and subordinated social identity groups, power differences, prejudice, and institutionalized oppression for their current situation and daily experience. The desired future for organizations is defined with a vision of social justice and inclusion. Bailey Jackson
There are many reasons for OD practitioners to choose not to address diversity and social justice issues. It is hard and often uncomfortable work. The elimination of oppression in the world is unlikely to happen any time soon. The OD field and profession often treat diversity and social justice as a peripheral matter. Organizations often resist addressing diversity and social issues.
suggests a vision of social justice and inclusion in which,
The organization "has within its mission, goals, values, and operating system explicit policies and practices that prohibit anyone from being excluded or unjustly treated because of social identity or status….[The organization] not only supports social justice within the organization; it advocates these values in interactions within the local, regional, national, and global communities, with its vendors, customers, and peer organizations. . . . All members of the diverse workforce feel fully included and have every opportunity to contribute to the mission of the organization." (Jackson, 2006, pp. 142-143.)
He reinforces this as a vision of social justice and inclusion for organizations with the observation that no organization has achieved this vision. (Jackson, 2006, p. 146.)
Organizations choose whether or not to address social justice and inclusion issues. . . . and that is true for OD practitioners as well. There are many reasons for OD practitioners to choose not to address diversity and social justice issues. It is hard and often uncomfortable work. The elimination of oppression in the world is unlikely to happen any time soon. The OD field and profession often treat diversity and social justice as a peripheral matter. Organizations often resist addressing diversity and social issues.
stand for in the world: purpose, vision, and values. Creating a personal vision of social justice and inclusion can crystallize an OD practitioner's choice to stand for social justice and inclusion in their practice.
References
Michael Brazzel (2007). Priority values of diversity and social justice practitioners. Unpublished study.
Hanna, Fred J., Talley, William B. and Guindon, Mary H. (2000). The power of perception: Toward a model of cultural oppression and liberation. Journal of Counseling and Development, Vol. 78, pp. 430-441.
Havel, Václav (1990). Disturbing the peace: A conversation with Karel Huizdala. New York, Vintage Books, pp. 181-182.
Jackson, Bailey W. (2006). Theory and practice of multicultural organizational development. In Brenda B. Jones and Michael Brazzel (Eds.) The NTL handbook of organization development and change: Principles, practices, and perspectives. San Francisco: Pfeiffer, pp. 139-154.
Marshak, Robert J. (2006). Organization development as a profession and a field. In Brenda B. Jones and Michael Brazzel (Eds.) The NTL handbook of organization development and change: Principles, practices, and perspectives. San Francisco: Pfeiffer, pp. 13-27.
Whether OD practitioners choose to make diversity and social justice an integral part of their practice depends on what they
Frederick A. Miller (1994). Why we choose to address oppression. In Elsie Y. Cross, Judith H. Katz, Frederick A. Miller and Edith Whitfield Seashore (Eds.). The promise of diversity: Over 40 voices discuss strategies for eliminating discrimination in organizations. New York: Irwin, pp. xxv-xxix.
Copyright © 2007 by the Organization Development Network, Inc. All rights reserved.
Diversity and Social Justice Practices for OD Practitioners
Michael Brazzel, PhD, is an organization development and diversity consultant, economist, former manager in U.S. government agencies, and university educator-researcher. As an internal and external consultant, he has provided organization development and diversity/social justice services to organizations for more than 25 years. Dr. Brazzel is a member of the NTL Institute for Applied Behavioral Science, coeditor of The NTL Handbook of Organization Development and Change: Principles, Practices, and Perspectives (2006) and the NTL Reading Book for Human Relations Training (1999), and co-founder of NTL's Diversity Practitioner Certificate Program. His life's work is based in the values: respect for human differences, racial and social justice, and life-long learning. He can be reached at email@example.com.
Shepard, Herbert A. (1975). Rules of Thumb for Change Agents. OD Practitioner, Vol. 17 (4), pp. 1-5.
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DOI: 10.20286/ijtmgh-030479
Open Access
Inequality of Health Spending and Public Health Outcome in Countries of the WHO's Eastern Mediterranean Regional Office (EMRO)
Ali Mohammad Ahmadi 1, 2 , Abbas Assari-Arani 1, 2 , Mohammad Meskarpour-Amiri 3, 4, *
1 Economic Research Institute, Tarbiat Modares University, Tehran, Iran
2 Faculty of Management and Economics, Tarbiat Modares University, Tehran, Iran
3 Health Economics Department, Health Management Research Center, Baqiyatallah University of Medical sciences, Tehran, Iran
4 Health Economics Department, Faculty of Management and Economics, Tarbiat Modares University, Tehran, Iran
*Corresponding Author: Mohammad Meskarpour-Amiri, Ph.D. Candidate in Health Economics, Health Management Research Center, Baqiyatallah University of Medical sciences, Tehran, Iran. Email: firstname.lastname@example.org
Abstract
Introduction: There are little attention about health spending and public health outcomes especially in the WHO's Eastern Mediterranean Region. This paper presents an overview on health spending and public health outcomes in the WHO Eastern Mediterranean countries during 19952011.
Methods: This study conducted in 2013 use of health expenditure and public health outcome of 19 WHOs Eastern Mediterranean Region countries during 17 years (1995-2011). Data were including: Per capita health expenditure in current US dollar, Life expectancy at birth, Infant Mortality Rate per 1,000 live births, Under-5 years Mortality Rate per 1,000 live births. Data collected from the latest World Bank published data until 2013. The Descriptive statistics were used to study by using Excel 2007.
Results: In this region, the minimum spending on health (by Pakistan) was about 60 times less than maximum spending (by Qatar). Maximum amount of infant and children mortality rate were respectively 9 and 10 times more than the minimum. Also a decreasing returns to scale of health spending seen between countries. So that countries with better public health status need to pay much more than countries with poor public health status to increase 1 year life expectancy or to save 1 infant or child from premature death.
Conclusion: There is a large inequality among countries of the WHO Eastern Mediterranean region in both health spending and public health outcomes. Due to a decreasing return to scale, allocation financial aids to countries with poor health status can help converging health status in the region and decrease inequalities.
Keywords: Health Care Costs, Public Health, Health Status, Healthcare Systems
Article History: Received: 11 May. 2015; Accepted: 9 Jul. 2015; Online Published: 26 Nov. 2015 Cite this article as: Mohammad Ahmadi A, Assari-Arani A, Meskarpour-Amiri M. Inequality of health spending and public health outcome in countries of the WHO's Eastern Mediterranean Regional Office (EMRO). Int J Travel Med Glob Health. 2015;3(4):137-41.
1. Introduction
A significant increase in health care spending without any significant improvement in health outcomes is one of the most controversial health challenges during past decades. It's the aim of every health care system and policymakers to improve public health outcomes (such as mothers and child health, life expectancy, etc.) in a certain level of cost [1]. As a result of the global commitment to the Millennium Development Goals (MDGs), the world experienced a significant improvement in all health outcomes and World Health Organization Eastern Mediterranean Region (EMR) countries were not an exception. Life expectancy at birth -as the most common measure of population's health- has continued to increase remarkably in EMR countries over the past few decades, reflecting sharp reductions in mortality rates at all ages. Also, a significant improvement experienced in mothers and child health indicators (such as maternal, infant and under five-year child mortality rates) in the region [2, 3]. These gains can be attributed to a number of factors, including better education, nutrition, sanitation, housing as well as greater access to health services [4, 5]. Several studies have confirmed that there is a positive relationship between life expectancy at birth and health expenditure per capita worldwide [6-8]. A recent study by Joumard [9] in 2010 showed that an increase of total health spending is the possible reason for at least 40% of improvements in life expectancy since 1990. So, this fact should be considered that health spending is necessary for analyzing any public health achievements cross-countries.
Total health spending is the aggregation of public and private health expenditures, paid to buy any health related goods or services during a certain period of time (usually a year). The public health spending is any health spending financed through government general budget, taxation system or external sources, including grants and loans. While, the private health spending financed through private health insurance premiums and out of pocket (OOP) payments [10]. An assessment of global health expenditures patterns by Poullier[11]showed that spending on health -as share of income- are significantly greater for high income countries. Also, the range of spending on health -as percentage of GDP- is different from 1.5% to 13% among various countries. This is while the world's highest shares of populations living in Asian, African, the United State and the European countries spending on health is relatively too much higher.
Health systems in EMR countries are facing new challenges of change in disease patterns, demographic and socio-economic features of general population, along with rising health costs. In such situations, a comprehensive review of health spending and public health achievements can be helpful for policymakers to identifying and overcoming some important health care systems challenges such as inequalities, inefficiencies and weaknesses [12, 13]. For example it seems that some health systems, especially lower income countries, fail to provide the essential services while some health systems ,especially high income countries, are facing inefficacy in provision of health services [8, 14, 15]. Although adequate and sustainable financing can help heath system progress toward MDGs, but the final outcome of any health system largely depends on other multiple variables like health system policies, efficiency, cultural and political considerations and et al. [2, 16].
While the increasing rate of health care cost has been subject of too many studies, there are still little attention about health spending and public health outcomes especially in EMR countries. Comparison of health spending and public health outcomes across countries and over time can provide important insights into policies that improve health system performance and outcomes. This will be achieved through providing easily and clearly comparison of health systems efficiency to gain public health outcomes, development partnerships and share knowledge across the region, draws lessons from success and failures and that can assist policy makers in the formulation of strategies and brings recommendations to policy makers [17, 18].
This paper presents a cross-country comparison on health spending and public health outcomes in countries affiliated to the World Health Organization Eastern Mediterranean Regional Office (EMRO) during 17 years, to provide important insights into policies that improve health system performance and outcomes in this region.
2. Methods
The present study was conducted in 2013. During a 17 years (1995-2011) time series data including health spending and public health outcomes of all 22 EMRO countries were used in the study. Data included: Per capita health expenditure in current US dollar, Life Expectancy at birth (LE), Infant Mortality Rate per 1,000 live births (IMR), Under-5 years Mortality Rate per 1,000 live births (Under 5 MR). The data were collected from the latest World Bank published data until 2013. However, due to lack of complete and reliable data, four countries were excluded from study including Somalia, South Sudan, Palestine and Afghanistan. Descriptive statistics were used to study the spending on health and public health outcomes by using Excell2007 software.
current U.S dollar). Also, Life Expectancy at birth (LE) defined as the number of years an infant would live if the patterns of mortality stay the same. In this study, the average amount of per capita health spending and Life Expectancy (LE) during 1995-2011 was analyzed. Also, per capita dollar paid to achieve 1 Year LE defined as "the average per capita health expenditure paid by each country" divided by "the average LE achieved by that country".
According to the World Health Organization definition; Infant Mortality Rate (IMR) defined as the number of infants (0-12 month old) dying per 1,000 live births in a given year. So in our study, the number of infants saved from premature death is defined as 1000 minus IMR. Also, the per capita dollar paid to save 1 infant from premature death defined as "the average per capita health expenditure paid by each country" divided by "the average number of infants saved from premature death at that country". Also under-five year child mortality rate (Under 5 MR) is defined as the probability that a newborn will die before reaching the age five per 1,000 children in the current age-specific mortality rates. So, the number of children saved from premature death is defined as the 1000 minus under-5 MR. Also, per capita dollar paid to save 1 child from premature death defined as "the average per capita health expenditure paid by each country" divided by "the average number of children saved from premature death at that country".
3. Results
According to the World Bank definition; per capita health expenditure indicates the sum of public and private health expenditures as a ratio of total population (measured by
Table 1 showed the average health spending and public health outcomes in EMR countries during 1995-2011. On average, Pakistan and Qatar have minimum and maximum per capita spending on health by 19.6 and 1161.1 per capita US dollars respectively. The minimum spending on health (by Pakistan) was 59 times less than maximum spending (by Qatar). Also, on average, the minimum and maximum life expectancy was 58 and 77.2 years respectively in Djibouti and Qatar. The minimum and maximum Infant Mortality Rate was 9 and 83.1 respectively in Emirates and Pakistan. So the infant mortality rate in Pakistan was 9 times more than Emirate. Also, the minimum and maximum under-5 year child mortality rate was 10.05 and 105.7 respectively in Emirates and Pakistan and the under-5 year child mortality rate in Pakistan was about 10 times more than Emirate.
Table 1. Average health spending and public health outcomes in EMR countries during 1995-2011
Table 2. Average performance of health systems in EMR countries during 1995-2011
According to Table 1, countries with highest levels of average per capita health spending (more than 600 USD) including Qatar, Emirate, Kuwait and Bahrain have the highest average levels of public health outcomes too (more than 75 LE and less than 11 IMR).Also, countries with the lowest average levels of per capita health spending (less than 60 USD) including Pakistan, Sudan, Yemen and Djibouti have the lowest levels of average public health outcomes(less than 65 LE and more than 60 IMR).
Qatar, Emirate, Kuwait, Bahrain, Kuwait and Lebanon) need to pay much more than countries with poor public health status (like: Pakistan, Sudan, Yemen and Djibouti) in order to achieve 1 year life expectancy or to save 1 infant or child from premature death.
Table 2 showed average performance of health systems in the WHO Eastern Mediterranean countries during 19952011. This table showed the link between health spending and health outcomes achieved by each country. According to Table 2, countries with better public health status (like:
Diagram 1 showed the per capita dollar paid to achieve 1 year LE by each EMR countries during 1995-2011. Also the Per capita dollar paid to save 1 infant and child from premature death have been showed in Diagram 2 and Diagram 3 respectively. According to the diagrams 1-3, Arab States of the Persian Gulf with top level of health status including Qatar, Emirate, Kuwait, Bahrain and Kuwait, paid much more than the other countries to achieve 1 year life expectancy or to save 1 infant or child from premature death.
4. Discussion
Firstly, our findings showed that there is a large gap among countries of the WHO Eastern Mediterranean region in both health spending and public health outcomes. In this region, the minimum spending on health (by Pakistan) was about 60 times less than the maximum spending (by Qatar). The minimum life expectancy was 19 year less than the maximum. Also, the maximum amount of the infant and children mortality rate were 9 and 10 times more than the minimum. It seems that there is an unequal and unbalanced health status among countries in the WHO Eastern Mediterranean Region. Sen and Bonita [19] also discussed about inequality in global health achievement worldwide. They have expressed that a significant worldwide improvement in health status occurred during the past century but the share of this improvement were completely unequal within and between countries that lead to worldwide health inequalities. They called it as "two steps forward and one step back". Health inequalities as a serious trouble has been mentioned with other terms in several studies[15, 20]but an important question is that how can we reduce these inequalities? The last paragraph of the paper is a brief hint and suggestion in this regard.
Secondly, our empirical findings confirm the important effect of health spending on public health outcomes. So, countries with the highest average level of average per capita health spending (more than 600 U.SD) like Qatar, Emirate, Kuwait and Bahrain have the highest average level of public health outcomes too (more than 75 LE and less than 11 IMR). Also countries with the lowest average level of per capita health spending (less than 60 U.SD) like Pakistan, Sudan, Yemen and Djibouti have the lowest level of average public health outcomes too (less than 65 LE and more than 60 IMR). This is while our empirical findings confirm that Syria is one considerable exemption. Among the 19 studied countries, Syria was the 15 th country in regards to per capita spending on health (less than 70 U.SD) but is the 4 th country in life expectancy achievement and 7 th and 8 th country with the minimum infant mortality rate and children mortality rate respectively. However, our general findings confirm that higher level of health spending is associated with higher public health outcomes. These results suggest that countries interested in achieving the Millennium Development Goals (MDGs) should consider expanding total public and private health spending as an effective mechanism to decrease infant and child mortality and increase life expectancy. But it should be considered that the health status is not only affected by health spending. Many other factors which are contributed to public health outcomes of a country, including "biology, environment, lifestyles, and the health care system". Surveying the literature on the link between health expenditures and outcomes confirms the findings of our study about the relation between health spending and public health outcomes. A study conducted by Kim and Lane [21] in 2013 empirically analyzed the relationship between public health expenditure and national health outcomes among 17 OECD countries. The findings showed that the government health expenditure (as public health spending) has positive and negative effects on life expectancy and infant mortality rate. So it is suggested that higher public health spending can lead to a better overall health status for individuals. A same study in Nigeria also showed that public health expenditure has a negative effect on infant mortality and under-5 mortalities [22]. Novignon et al. [7] in a study which was conducted in 2012, assessed the effects of public and private health care expenditure on health status in the SubSaharan Africa region. Their study also showed that both the public and private health spending can positively lead to a better health status through improving life expectancy at birth, reducing death and infant mortality rate but public health care spending had relatively higher impact. Also another study conducted by Gani[23] in the Pacific Island countries provides strong evidence that per capita health expenditure is an important factor in determining health outcomes measured by infant and under five mortality rate and crude death rate. Surveying the literature implies the fact that health care expenditure remains a crucial component of health status improvement in both developed and developing countries. So increasing health care expenditure can be a significant step in achieving the Millennium Development Goals. But can increasing health spending in all countries improve health status in the same size? This question has been discussed below.
Thirdly, our empirical findings confirm the decreasing return to scale of investment in health among studied countries. So countries with better public health status like (Qatar, Emirate, Kuwait, Bahrain, Kuwait and Lebanon) need to pay much more money than countries with poor public health status (Pakistan, Sudan, Yemen and Djibouti) to increase 1 year life expectancy or to save 1 more infant or child from premature death. These can be due to the fact that decreasing the infant mortality rate or increasing life expectancy in countries with poor health status is possible through less expensive health activities like vaccination but in countries with better health status it's possible only through more expensive treatment activities like establishing Neonatal Intensive Care Units (NICU). According to these results we can say that the allocation of international aids and loans to finance healthcare in countries with poor public health status can be an effective way to promoting and converging health status and decreasing health inequalities among countries. Achieving a more positive health results in poor health countries is possible through simple health activities with less spending.
Finally, we should explain some points and limitations. Firstly, it should be emphasized that health spending is only one of the most important contributors for improving health status, so it is not completely true that by only increasing per capita, health spending countries can improve health outcomes. Social and political determinants of health and performance of health systems play a significant role in the reduction of mortality and improved health outcomes. So it should be reemphasized that health spending is one of the most important contributors (not all), but there are several other contributors. Secondly, although allocation of international aids and loans to poor health countries can be an effective way to decrease health inequalities but it should also be considered that the ODA (Official Development Aids) are not sufficient enough to completely eliminate the health inequalities worldwide. Also, in most countries it's only a small component of total health expenditures. So still more studies needs to find and suggest ways to reduce health inequalities worldwide.
5. Conclusion
There is unequal health status among countries in the WHO Eastern Mediterranean region. On the other hand, our empirical findings confirm that more health spending is associated with better health status and health spending has a decreasing return to scale among studied countries. So, achieving a more positive health results in poor health countries is possible through simple health activities with less spending (like vaccination). The policy implication is that the allocation of international financial aids, donor grants and loans to finance cost-effective health programs in such countries can be one effective way to reduce the health inequality in the region and to converge health status and more equal achievements to the Millennium Development Goals (MDGs) in the region.
Acknowledgments
We would like to thank all those who helped us in order to prepare this paper.
Authors' Contributions
All the authors were involved in every stage of this study. Also, all the authors confirmed the final draft before submission.
Financial Disclosure
The authors declared no financial disclosure.
Funding/Support
No funding support.
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Course Structure for Civil Engineering B. Tech Course (2015-16)
II B. Tech – II Sem
| S.No. | Course Code | Subject | L | Tu | Lab |
|---|---|---|---|---|---|
| 1 | 15A54401 | Probability and Statistics | 3 | 1 | - |
| 2 | 15A52301 | Managerial Economics & Financial Analysis | 3 | 1 | - |
| 3 | 15A01401 | Strength of Materials – II | 3 | 1 | - |
| 4 | 15A01402 | Surveying – II | 3 | 1 | - |
| 5 | 15A01403 | Structural Analysis – I | 3 | 1 | - |
| 6 | 15A01404 | Hydraulics & Hydraulic Machinery | 3 | 1 | - |
| 7 | 15A01405 | Fluid Mechanics & Hydraulic Machinery Laboratory | - | - | 4 |
| 8 | 15A01406 | Surveying Laboratory – II | - | - | 4 |
| 9 | 15A01407 | Comprehensive Online Examination-I | - | - | - |
| | | Total | 18 | 06 | 08 |
Note:- Survey camp for a duration of two weeks to be conducted before the commencement of III B.Tech, I – Sem class work, in the II B.Tech, II – Sem break. This survey camp has to be evaluated for 50 marks by the internal faculty. It has a weightage of 2 credits. The marks and credits will be incorporated in IV – B.Tech, II – Sem marks memo.
B. Tech II - II sem (C.E)
T Tu C 3 1 3
(15A54401) PROBABILITY AND STATISTICS
(Common to CSE, IT, Civil, Mech.)
Objectives: To help the students in getting a thorough understanding of the fundamentals of probability and usage of statistical techniques like testing of hypothesis, Statistical Quality Control and Queuing theory
UNIT – I
Basic concepts of Probability – Random variables – Expectation – Discrete and continuous Distributions – Distribution functions. Binomial and poison distributions Normal distribution – Related properties.
UNIT – II
Test of Hypothesis: Population and Sample - Confidence interval of mean from Normal distribution Statistical hypothesis - Null and Alternative hypothesis - Level of significance. Test of significance Test based on normal distribution - Z test for means and proportions.
UNIT – III
Small samples - t- test for one sample and two sample problem and paired t-test, F-test and Chi-square test (testing of goodness of fit and independence).
UNIT – IV
Statistical Quality Control: Concept of quality of a manufactured product -Defects and Defectives Causes of variations - Random and assignable - The principle of Shewhart Control Chart-Charts for attribute and variable quality characteristics- Constructions and operation of - Chart, R-Chart, p - Chart and C-Chart.
UNIT – V
Queuing Theory: Pure Birth and Death process, M/M/1 & M/M/S & their related simple problems.
TEXT BOOKS:
1. Probability & Statistics by E. Rukmangadachari & E. Keshava Reddy, Pearson Publisher.
2. Probability & Statistics for engineers by Dr. J. Ravichandran WILEY-INDIA publishers.
REFERENCES:
1. Probability & Statistics by T.K.V. Iyengar, B.Krishna Gandhi, S.Ranganatham and M.V.S.S.N.Prasad, S.Chand publications.
2. Statistical methods by S.P. Gupta, S.Chand publications.
3. Probability & Statistics for Science and Engineering by G.Shanker Rao, Universities Press.
4. Probability and Statistics for Engineering and Sciences by Jay L.Devore, CENGAGE.
5. Probability and Statistics by R.A. Jhonson and Gupta C.B.
Outcomes: The student will be able to analyze the problems of engineering & industry using the techniques of testing of hypothesis, Statistical Quality Control and Queuing theory and draw appropriate inferences.
B. Tech II - II sem (C.E)
T Tu C
3
1 3
(15A52301) MANAGERIAL ECONOMICS AND FINANCIAL ANALYSIS
Course Objectives: The objective of this course is to equip the student with the basic inputs of Managerial Economics and Economic Environment of business and to impart analytical skills in helping them take sound financial decisions for achieving higher organizational productivity.
Unit I: INTRODUCTION TO MANAGERIAL ECONOMICS
Managerial Economics – Definition- Nature- Scope - Contemporary importance of Managerial Economics - Relationship of Managerial Economics with Financial Accounting and Management. Demand Analysis: Concept of Demand-Demand Function - Law of Demand - Elasticity of Demand- Significance - Types of Elasticity - Measurement of elasticity of demand - Demand Forecasting- factors governing demand forecasting- methods of demand forecasting.
UNIT II: THEORY OF PRODUCTION AND COST ANALYSIS
Production Function- Least cost combination- Short-run and Long- run production functionIsoquants and Isocosts, MRTS - Cobb-Douglas production function - Laws of returns Internal and External economies of scale - Cost Analysis: Cost concepts and cost behaviorBreak-Even Analysis (BEA) -Determination of Break Even Point (Simple Problems)Managerial significance and limitations of Break- Even Point.
UNIT III: INTRODUCTION TO MARKETS AND NEW ECONOMIC ENVIRONMENT
Market structures: Types of Markets - Perfect and Imperfect Competition - Features of Perfect Competition- Monopoly-Monopolistic Competition-Oligopoly-Price-Output Determination - Pricing Methods and Strategies-Forms of Business Organizations- Sole Proprietorship- Partnership – Joint Stock Companies - Public Sector Enterprises – New Economic Environment- Economic Liberalization – Privatization - Globalization.
3
UNIT IV: INTRODUCTION TO FINANCIAL ACCOUNTING AND ANALYSIS
Financial Accounting – Concept - Emerging need and Importance - Double-Entry Book Keeping- Journal - Ledger – Trial Balance - Financial Statements - Trading Account – Profit & Loss Account – Balance Sheet (with simple adjustments). Financial Analysis – Ratios – Liquidity, Leverage, Profitability, and Activity Ratios (simple problems).
UNIT V: CAPITAL AND CAPITAL BUDGETING
Concept of Capital - Over and Undercapitalization – Remedial Measures - Sources of Shot term and Long term Capital - Estimating Working Capital Requirements – Capital Budgeting – Features of Capital Budgeting Proposals – Methods and Evaluation of Capital Budgeting Projects – Pay Back Method – Accounting Rate of Return (ARR) – Net Present Value (NPV) – Internal Rate Return (IRR) Method (simple problems)
Learning Outcome: After completion of this course, the student will able to understand various aspects of Managerial Economics and analysis of financial statements and inputs therein will help them to make sound and effective decisions under different economic environment and market situations.
TEXT BOOKS:
1. Managerial Economics 3/e, Ahuja H.L, S.Chand, 2013.
2. Financial Management, I.M.Pandey, Vikas Publications, 2013.
REFERENCES
1. Managerial Economics and Financial Analysis, 1/e, Aryasri, TMH, 2013.
2. Managerial Economics and Financial Analysis, S.A. Siddiqui and A.S. Siddiqui, New Age International, 2013.
3. Accounting and Financial Management, T.S.Reddy & Y. Hariprasad Reddy, Margham Publishers.
B. Tech II - II sem (C.E)
T Tu C 3 1 3
(15A01401) STRENGTH OF MATERIALS – II
OBJECTIVE: Study of the subject provides the understanding of principal stress, strains, springs, columns and structures.
UNIT – I
PRINCIPAL STRESSES AND STRAINS: Introduction – Stresses on an inclined section of a bar under axial loading – compound stresses – Normal and tangential stresses on an inclined plane for biaxial stresses – Two perpendicular normal stresses accompanied by a state of simple shear – Mohr's circle of stresses – Principal stresses and strains – Analytical and graphical solutions.
THEORIES OF FAILURES: Various Theories of failures like Maximum Principal stress theory – Maximum Principal strain theory – Maximum shear stress theory – Maximum strain energy theory – Maximum shear strain energy theory.
UNIT – II
THIN CYLINDERS & THICK CYLINDERS : Thin seamless cylindrical shells – Derivation of formula for longitudinal and circumferential stresses – hoop, longitudinal and Volumetric strains – Changes in dia, and volume of thin cylinders – Thin spherical shells. Introduction Lame's theory for thick cylinders – Derivation of lame's formulae – distribution of hoop and radial stresses across thickness – design of thick cylinders – compound cylinders – Necessary difference of radii for shrinkage – Thick spherical shells.
UNIT – III
TORSION OF CIRCULAR SHAFTS – Theory of pure torsion – Derivation of Torsion equations: – Assumptions made in the theory Theory of pure torsion – Torsional moment of resistance – Polar section modulus – Power transmitted by shafts – Combined bending and torsion and end thrust – Design of shafts according to theories of failure.
SPRINGS:
Introduction – Types of springs – deflection of close and open coiled helical springs under axial pull and axial couple –springs in series and parallel – Carriage or leaf springs.
UNIT – IV
COLUMNS AND STRUTS : Introduction – Types of columns – Short, medium and long columns – Axially loaded compression members – Crushing load – Euler's theorem for long columns – assumptions – derivation of Euler's critical load formulae for various end conditions – Equivalent length of a column – Slenderness ratio – Euler's critical stress – Limitations of Euler's theory – Rankine – Gordon formula – Long columns subjected to eccentric loading – Secant formula – Empirical formulae – Straight line formula – Prof. Perry's formula.
UNIT – V
UNSYMETRICAL BENDING : Introduction – Centroidal principal axes of section – Graphical method for locating principal axes – Moments of inertia referred to any set of rectangular axes – Stresses in beams subjected to unsymmetrical bending – Principal axes – Resolution of bending moment into two rectangular axes through the centroid - Location of neutral axis – Deflection of beams under unsymmetrical bending.
BEAMS CURVED IN PLAN : Introduction – circular beams loaded uniformly and supported on symmetrically placed Columns – Semicircular beam simply-supported on three equally spaced supports.
TEXT BOOKS:
(1) A Text book of Strength of materials by R.K.Bansal – Laxmi Publications (P) Ltd., New Delhi.
(2) Strength of Materials by R.Subramanian, Oxford University Press.
REFERENCES :
(1) Strength of Materials by S.S.Rattan, TMH Publishers.
(2) Strength of Materials by D.S. Prakasa rao, University press, Hyderabad.
(3) Strength of Materials by B.C.Punmia.- Laxmi publications
(4) Mechanics of Structures, by Ghosh& Datta, New Age Pubilishers
OUTCOMES:
On completion of the course, the students will be able to:
(1) apply the principle of virtual work
(2) determine deflection of a beam for various loading conditions
(3) apply unit load method to find the deflection of truss
(4) determine different stresses developed in thick cylinders
(5) visualize the behavior of column for combined bending and axial loading
B. Tech II - II sem (C.E)
T Tu C 3 1 3
(15A01402) SURVEYING – II
OBJECTIVE: To ensure that the student develops knowledge in the working of advanced instruments, setting out of curves from the field measurements and basic knowledge on remote sensing
UNIT-I
TRIGONOMETRIC LEVELLING : Introduction; Determination of the level of the top of an object, When its base is accessible and When its base is not accessible; Determination of the height of the object when the two instrument stations are not in the same vertical plane; Axis signal correction; Difference in elevation by single observation and reciprocal observations.
UNIT-II
TACHEOMETRIC SURVEYING: Definition, Advantages of Tacheometric surveyingBasic systems of tacheometric measurement , Principle of stadia measurements, Determination of constants K and C, Inclined sight with staff vertical; Inclined sight with staff normal to the line of sight, Movable hair method, Tangential method, Subtanse bar, Errors in Tacheometry.
UNIT-III
TRIANGULATION: Principles of triangulation, Uses of triangulation survey; Classification of triangulation; operations of triangulation survey; Signals and towers, Satellite station; Base line & Extension of the base line.
SETTING OUT WORKS: Introduction, Control stations; Horizontal control; Reference grid; Vertical control; Positioning of a structure; offset pegs, Setting out a foundation: reference pillars, batter boards, Setting out with a theodolite; Graded stakes; setting out a sewer; Setting out a culvert.
UNIT-IV
CURVES: Simple curves–Definitions and Notations, designation of a curve, Elements of simple curves, location of tangent points, selection of peg interval, Methods of setting simple curves(based on equipment) – Rankines method,Two theodolite method. Compound curves – Elements of compound curve, setting out compound curve. Reverse curves – Elements of reverse curve, relationship between various elements.
UNIT-V
ELECTRONIC DISTANCE MEASUREMENTS: Introduction, Basic conceptselectromagnetic waves, basic definitions, phase of the wave ,units, types of waves; distance from measurement of transit time, Computing the distance from the phase differences, , EDM instruments, electronic theodolites, total station-models, fundamental measurements, recording, traversing, data retrieval.
REMOTE SENSING: Introduction, Principle of Remote sensing, EM Radiation and the atmosphere, interaction of EM radiation with earth's surface, remote sensing observation platforms, sensors, applications of remote sensing. Geographical Information System: Introduction and principle of Geographical Information System,components of GIS, applications.
TEXT BOOKS:
1. Text book of surveying by C.Venkataramaiah, Universities Press.
2. Surveying Vol. 1 & II by Dr. K. R. Arora; Standard Book House;
3. Higher Surveying by Chandra, New age Publishers.
REFERENCE BOOKS:
1. Surveying Vol. 1and 2 – By S.K. Duggal. Tata Mc. Graw Hill Publishing Co.
2. Advanced Surveying by Satheesh Gopi, R.Shanta Kumar and N.Madhu, Pearson education
3. Surveying Vol-I&II by B.C. Punmia ,Laxmi Publications
4. Advanced Surveying by Mahajan, Santhos K. Dhanpat Rai & Sons, Nai Sarak, Delhi, 1987.
OUTCOMES:
On completion of the course, the students will be able to:
(1) carry out advanced surveying techniques in the field of civil engineering applications such as structural, highway engineering and geotechnical engineering
(2) setting out works and carrying out of various curves alignment,
(3) use of various advanced instruments involved in surveying with respect to utility and precision
(4) Knowledge on remote sensing elements and their applications.
B. Tech II - II sem (C.E)
T Tu C
3
1 3
(15A01403) STRUCTURAL ANALYSIS – I
OBJECTIVE: To make the students to understand the principles of analysis of structures of static and moving loads by various methods.
UNIT – I
ENERGY THEOREMS : Introduction-Strain energy in linear elastic system, expression of strain energy due to axial load, bending moment and shear forces – Castigliano's first theorem-Deflections of simple beams and pin jointed trusses.
UNIT – II
ANALYSIS OF INDETERMINATE STRUCTURES : Indeterminate Structural Analysis – Determination of static and kinematic indeterminacies – Solution of trusses with upto two degrees of internal and external indeterminacies – Castigliano's theorem..
UNIT – III
FIXED BEAMS & CONTINUOUS BEAMS : Introduction to statically indeterminate beams with uniformly distributed load, central point load, eccentric point load, number of point loads, uniformly varying load, couple and combination of loads – Shear force and Bending moment diagrams – Deflection of fixed beams effect of sinking of support, effect of rotation of a support.
UNIT – IV
SLOPE-DEFLECTION: Introduction, derivation of slope deflection equation, application to continuous beams with and without settlement of supports- Analysis of single bay, single storey, portal frame including side sway .
UNIT – V
MOMENT DISTRIBUTION METHOD Introduction to moment distribution methodapplication to continuous beams with and without settlement of supports. Analysis of single storey portal frames – including Sway
TEXT BOOKS :
(1) Structural Analysis – I by Dr.Hemant Patil, Dr.Yogesh Patil and Jignesh Patil by Synergy Knowledge ware publications, Mumbai.
(2) Structural Analysis by Aslam Kassimali, Cengage Publishers.
(3) Basic Structural Analysis by C.S.Reddy., Tata McGraw Hill Publishers.
REFERENCES :
(1) Analysis of Structures by T.S. Thandavamoorthy, Oxford University Press, New Delhi.
(2) Introduction to structural analysis by B.D.Nautiyal, New Age international publishers, New Delhi.
(3) Structural Analysis – D.S.Prakasa rao - Univeristy press, Hyderabad.
(4) Basic Structural Analysis by K.U.Muthu, I.K.Intrernational Publishers, India.
(5) Structural Analysis by S S Bhavikatti – Vikas Publishing House.
(6) Analysis of Structures – Vol-I&II by V.N.Vazirani & M.M.Ratwani, Khanna Publications, New Delhi.
OUTCOMES:
On completion of the course, the students will be able to:
(1) The student would be able to apply knowledge of various energy theromes.
(2) The student would be able to apply knowledge to analyse concept of deflection, bending moment and shear force diagram in beams, and columns under various loading conditions using different analysis methods.
(3) The student would be able to apply knowledge on study of slope and deflection of various members with sinking supports also.
B. Tech II - II sem (C.E)
T Tu C 3 1 3
(15A01404) HYDRAULICS AND HYRAULIC MACHINERY
OBJECTIVE: The main objective of this course is to deal with the concepts of flow through open channels and their applications and the principles of hydraulic machines and hydraulic models.
UNIT – 1
OPEN CHANNEL FLOW-UNIFORM FLOW: Introduction, Classification of flows, Types of channels; Flow analysis: The Chezy equation, Empirical formulae for the Chezy constant, Hydraulically efficient channel sections: Rectangular, Trapezoidal, Triangular and Circular channels; Velocity distribution; Energy and momentum correction factors. Application of Bernoulli's equation to open channel flow.
OPEN CHANNEL FLOW- NON – UNIFORM FLOW: Concept of specific energy; Specific energy curves; Critical flow; Critical flow in a rectangular channel; Critical slope; discharge curve, Different slope conditions; Channel transitions- Reduction in width of a rectangular channel, Raised bottom in a rectangular channel, venture flume, Momentum principle applied to open channel flow; Specific force; Specific force curve.
UNIT – II
OPEN CHANNEL FLOW- GRADUALLY VARIED FLOW: Introduction, Dynamic equation; Dynamic equation for GVF in wide Rectangular channel, classification of channel bottom slopes, Surface Profiles; Characteristics of surface profiles, Back water Curves and Draw down curves; Examples of various types of water surface profiles; Control section, Computation of surface profiles by single step method.
OPEN CHANNEL FLOW- RAPIDLY VARIED FLOW: Hydraulic jump; Elements and characteristics of hydraulic jump; Hydraulic jump in rectangular channels, height and length of the jump, Energy loss in a hydraulic jump, Types of hydraulic jump; applications of hydraulic jump; Location of hydraulic jump,.
UNIT – III
IMPACT OF JETS: Hydrodynamic force of jets on stationary and moving flat, inclined and curved vanes, jet striking centrally and at tip, velocity triangles at inlet and outlet, expressions for
Work done and efficiency-Angular momentum principle, Torque and head transferred in roto dynamic machines.
HYDRAULIC TURBINES-I: Introduction, head and efficiencies of hydraulic turbines, Classification of turbines; pelton wheel: parts, Velocity triangles, work done and efficiency, working proportions, design of pelton wheel. Radial flow reaction turbines: velocity triangles and work done for inward radial flow turbine, degree of reaction, discharge, speed ratio, flow ratio.
UNIT – IV
HYDRAULIC TURBINES-II: Francis turbine: main components and working, work done and efficiencies, design proportions; design of Francis turbine runner. Kaplan turbine: main
components and working, working proportions. Draft tube: theory and efficiency; specific speed, unit quantities, characteristic curves of hydraulic turbines. Cavitation: causes, effects. CENTRIFUGAL PUMPS: Introduction, component parts and working of a centrifugal pump, work done by the impeller; heads, losses and efficiencies; minimum starting speed; Priming ;specific speed; limitation of suction lift, net positive suction head(NPSH);Performance and characteristic curves; Cavitation effects ;Multistage centrifugal pumps; troubles and remedies.
UNIT – V
DIMENSIONAL ANALYSIS AND SIMILITUDE: Introduction, dimensions; Dimensional homogeneity; Methods of dimensional analysis- Rayleigh's method; Buckingham – Pi theorem; model analysis; similitude-types of similarities; Dimensionless numbers; Model laws ;Partially submerged objects; types of models; Scale effect.
BOUNDARY LAYER THEORY& DRAG AND LIFT: Boundary layer – concepts, Prandtl's contribution, Characteristics of boundary layer along a thin flat plate, laminar and turbulent Boundary layers, separation of BL. expression for drag and lift; Lift and Drag Coefficients; pressure drag and friction drag; Streamlined and bluff bodies.
TEXT BOOKS :
(1) Fluid Mechanics, Hydraulic and Hydraulic Machines by Modi & Seth, Standard book house.
(2) A text of Fluid mechanics and hydraulic machines by Dr.R.K.Bansal – Laxmi Publications (P) Ltd., New Delhi.
(3) Introduction to Fluid Mechanics & Fluid Machines by S.K.Som & G.Biswas, Tata Mc.Grawhill publishers PVt.Ltd.
REFERENCES :
(1) Fluid mechanics and Fluid Machines by Rajput, S.Chand & Co.
(2) Fluid Mechanics & Fluid Machines by Narayana Pillai, Universities press.
(3) Fluid Mechanics and Machinery -Kothandaraman, New Age Publishers.
(4) Flow in Open channels by K.Subramanya. Tata McGraw-Hill Publishers.
(5) Fluid Mechanics and Machinery, CSP Ojha, Oxford Higher Education
OUTCOMES:
On completion of the course, the students will be able to:
1. visualize fluid flow phenomena observed in Civil Engineering systems such as flow in a pipe, flow measurement through orifices, mouth pieces, notches and weirs
2. analyze fluid flows in open channel hydraulics and devices such as weirs and flumes
3. design open channels for most economical sections like rectangular, trapezoidal and circular sections
4. measure velocity through instruments in open channel and pipe flow
5. calculate forces and work done by a jet on fixed or moving plate and curved plates
6. apply the working principles of Impulse and Reaction turbines
7. select the type of turbine required with reference to available head of water and discharge
8. determine the characteristics of centrifugal pump
9. apply the working principles of the Reciprocating pump
B. Tech II - II sem (C.E)
T C
4 2
(15A01405) FLUID MECHANICS AND HYDRAULIC MACHINERY LABORATORY
OBJECTIVE: The object of the course to make the students understand the fluid flow concepts and get familiarity with flow measuring devices.
SYLLABUS :
1. Calibration of Venturimeter
2. Calibration of Orifice meter
3. Determination of Coefficient of discharge for a small orifice by a constant head method.
4. Determination of Coefficient of discharge for an external mouth piece by variable head method.
5. Calibration of contracted Rectangular Notch and /or Triangular Notch.
6. Determination of Coefficient of loss of head in a sudden contraction and friction factor.
7. Varification of Bernoulli's equation.
8. Impact of jet on vanes.
9. Study of Hydraulic jump.
10. Performance test on Pelton wheel turbine.
11. Performance test on Francis turbine.
12. Efficiency test on centrifugal pump.
Reference Books:-
1. Fluid Mechanics and Hydraulic Machines: A Lab Manual by T.S. Desmukh, Laxmi Publications.
2. Experiments In Hydraulics & Hydraulic Machines By Prakash, Phi Publications.
B. Tech II - II sem (C.E)
T C
4 2
(15A01406) SURVEYING LABORATORY – II
OBJECTIVE: To impart the practical knowledge in the field, it is essential to introduce in curriculum. Drawing of Plans and Maps and determining the area are pre requisites before taking up any Civil Engineering works.
LIST OF EXERCISES:
1. Study of theodolite in detail – practice for measurement of horizontal and vertical angles.
2. Measurement of horizontal angles by method of repetition and reiteration.
3. Trigonometric Leveling – Heights and distance problem (Two Exercises).
4. Heights and distance using Principles of tachometric surveying (Two Exercises)
5. Curve setting – different methods. (Two Exercises)
6. Setting out works for buildings & pipe lines.
7. Determination of area using total station.
8. Traversing using total station.
9. Contouring using total station.
10. Determination of remote height using total station.
11. Distance, gradient, Diff. height between tow inaccessible points using total stations.
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MINUTES OF A REGULAR MEETING OF THE MARCELINE CITY COUNCIL August 21, 2018
The Marceline City Council met in regular session on August 21, 2018 at 5:30 p.m. in the Council Chambers of City Hall, Mayor Tyson Brammer presiding. Council members present were: Jeri Holt, Sallie Buck, Natalie Wellman and Liz Cupp. Staff attending: City Attorney William Devoy, City Manager Richard Hoon, City Clerk Lindsay Krumpelman, Street Superintendent Ed Ewigman, Electric Superintendent Dean Gauthier, Water / Wastewater Superintendent Roger Sullivan, Pool Manager Gary Birdsong, Police Chief Robert Donelson, Officer Christopher Murray and Officer Jim Woolfolk. Others present: Charles Jobson, Joyce Robinson, Julie Sheerman, Toni Sportsman, Dorretta Harrison, and Brian Sherrow.
Mayor Tyson Brammer led the assembly in the Pledge of Allegiance and called the meeting to order at 5:30 pm.
APPROVAL OF THE MINUTES, AND FINANCIAL REPORTS:
Councilman Holt moved to approve the minutes. Councilwoman Buck seconded the motion. The motion carried unanimously. Councilman Holt moved to approve the financial reports. Councilwoman Buck seconded the motion. The motion carried by voice vote with Councilwoman Cupp voting against.
REPORTS OF COUNCIL, OFFICERS, BOARDS AND COMMITTEES:
City Department Updates: Water/ Wastewater Superintendent Roger Sullivan reported the California Water Line Project is almost complete; all that is left is to flush the line and send off Bact-T samples. He expects the project to be finished next week. Water/Wastewater Superintendent Sullivan informed the Council that Eric Thurman has resigned to go work for another town. He reported that MoDNR has asked the City to pump from Mussel Fork to the Old Reservoir and he is working with them about damning it as there is little water in Mussel Fork. Water/Wastewater Superintendent Sullivan concluded by informing the Council that they are postponing the annual burnout until next spring due to the current drought conditions.
Police Chief Bob Donelson thanked everyone for their well wishes while he was in the hospital. He reported they have hit their three (3) month certification for NIBRS and as of September 1st the Police Department will be NIBRS certified with the MO Highway Patrol. They only have a few close out reports to complete for the NIBRS grant. Police Chief Donelson stated that while it may look like their crime statistics are increasing, they actually are not. He stated with NIBRS they are just being reported differently. Police Chief Donelson reported they department is having an issue with their server, and the Department of Justice was allocating additional funds through the MO Highway Patrol to replace the server. Police Chief Donelson informed the assembly that Officer Carlton's new baby boy was born. Police Chief Donelson reported he met with new School Superintendent Brian Sherrow. He reported that with NIBRS they will begin to do electronic tickets. He concluded by stating that the tornado siren on top of the electric plant will be tested tomorrow at 10:00 am to ensure it is functional.
Pool Manager Gary Birdsong stated that polices was reviewed and some were updated, except for those in place for safety. He reported that the vent was moved last week and the vestibule door will be installed tomorrow to improve the condensation issue that occurs when the dome is in place. Pool Manager Birdsong reported that the selection for Winter Lifeguard Team is almost complete. He reported that he has worked on the dome installation schedule and they will begin the installation process on September 4th. Pool Manager Birdsong reported two security cameras were installed with more to come. He reported they are working on a Senior Campaign and hope to present it at Pioneer in the near future. He concluded, by stating they are working on additional special events to possibly include volleyball on Sundays from 7:00 pm to 9:00 pm. Councilwoman Buck inquired how the updated policies were being communicated. Pool Manager Birdsong responded new signage was being done.
Electric Superintendent Dean Gauthier reported that the Power Plant has a three (3) year capacity permit and that Units 1, 2, 5 & 6 were all qualified and generated 7.3 mwh. He reported that the Pioneer project is complete. The
Electric Department can now access the new power line. Electric Superintendent Gauthier reported that the Highway WW and Highway 5 transformers were taken down, tested and recycled.
Street Superintendent Ed Ewigman reported the 47 block Chip and Seal project is complete and the excess material was swept using the street sweeper. He reported they were able to do an additional 20 blocks by completing the project themselves. Street Superintendent Ewigman reported they are currently working on budget, repairing water cuts, and, with the additional rain, mowing.
City Manager Richard Hoon reported Linn County is still under a burn ban.
City Clerk Update: City Clerk Lindsay Krumpelman reported she attended a MOCCFOA -Central Division Clerk Meeting the prior week and heard a legislative update and the big thing is the change to the Prevailing Wage Law which exempts public use projects under $75,000.00 from prevailing wage and also changes how prevailing wage is calculated. It will go into effect August 28th. She reported that staff budget request sheets are due on September 4th and the first staff budget meeting will be September 11th. City Clerk Krumpelman informed the Council the expected first Council budget work session will be the first week of October and requested they bring their calendars to the September Council meeting. She reminded those present that the September Council meeting was moved to the fourth Tuesday, September 25th at 5:30 pm due to a quorum of the Council will be in attendance to the Annual MML Conference.
City Manager Update: City Manager Richard Hoon reported to the Council that he met with new School Superintendent Brian Sherrow and is looking forward to improved communication and cooperation with the School. He stated looking ahead, September is a busy month. He inquired if two Council members would like to assist City Staff in selecting a painting at the Wine & Art Stroll. He informed the Council if more than two were to select the painting that would constitute a meeting and it would have to be posted. City Manager Hoon stated that the Electric crew has set up three (3) LED solar lights on the trail. He stated they will move those lights back another few feet and spread a little farther apart. Once the right spacing is determined they will move forward with the installation. Council inquired on the number of lights. City Manager Hoon reported they have 47 lights to install.
Council Update: Councilwoman Wellman reported she attended the Cardinal Baseball game sponsored by NextEra. Councilwoman Cupp stated while working on the budget, staff should be looking at how to trim, as the cash accounts need to get out of the red. Councilman / Fire Chief Holt stated the old Fire Truck is repaired. The shaft was pitted and it cost approximately $12,000.00 to fix it which will be paid for from funds in Capital Expenditures in lieu of Air Packs.
CITIZENS PARTICIPATION:
New Marceline R-V School Superintendent Brian Sherrow introduced himself to the Council and reported he was looking forward to a good working relationship with the City.
New Downtown Marceline Executive Director Toni Sportsman stated she began her position last week. She reported she attended her first Downtown Main Street Workshop and has spent time organizing her office, which is located at the Toonfest Office. She reported she will be meeting with Keith Winge on August 29th and is spending her time reviewing the Master Plan. She will pLan on attending the monthly Council meetings.
UNFINISHED BUSINESS: NONE
NEW BUSINESS:
Recreation and Park Request: City Manager Hoon reported they have received a recommendation from the Recreation and Park Board to halt the boat ramp project and move toward putting in a fishing dock. Recreation and Park Board President Charles Jobson stated he thought this recommendation was brought to Council last year and recently found out it was not. He stated the Board believes a fishing dock will be utilized more than a boat ramp. Street Superintendent Ewigman reported the boat ramp is budgeted to be $3,500.00 and that a 16x20 floating fishing dock is estimated to be $16,000.00 plus the additional costs for the approach and anchoring system. He went on to explain that it is shallow at the boat ramp location and that is due to how the lake was built. He recommends signs be installed to notify the public about the shallow depth at the boat ramp. The Council discussed the topic with staff and Charles Jobson. Council provided consensus to continue with the budgeted boat ramp project and to include the floating fishing dock in the FY19-20 budget discussion. Recreation and Park Board President Jobson stated that the Recreation and Park Board would be willing to go 50/50 on a fishing dock with the City up to a maximum project cost of $20,000.00.
Planning Commission - Bill No. 18-08.037: City Manager Hoon explained that the purpose of Bill #18-08.037 is repeal and replace Chapter 405 associated with the Planning Commission. He reported that the City's Code, City's Ordinance and Missouri State Statutes do not match. This will put the City in compliance with State Statute. Councilwoman Cupp inquired if the number of members on the Commission was reduced as well. City Manager Hoon confirmed it lowers the number of members to seven citizens with the option of the Mayor and/ or appointed Council member. The Council discussed the topic. Councilwoman Buck moved that Bill #18-08.037 be read twice by title only. Councilwoman Wellman seconded the motion. A voice vote carried the motion. City Clerk Krumpelman read Bill No. 18-08.037 twice by title only. Councilwoman Buck moved that Bill No. 1808.037 be approved. Councilwoman Wellman seconded the motion. The following roll call vote carried the motion: Councilwoman Buck – aye, Councilwoman Wellman – aye, Councilwoman Cupp – aye, Councilman Holt – aye and Mayor Brammer – aye. This bill is assigned Ordinance Number 18-08.37.
Cemetery - Open/Close Fees: City Clerk Krumpelman explained that in October 2012, the Cemetery Board recommended the open / close fees for graves and cremations be increased in addition to the sale of lots. At the time, the City Attorney advised the Cemetery Board could change the rates, so no action was taken by Council and City Staff began using the new rates as recommended. She reported the current Cemetery Board recommends increasing the open / close fees by $100.00 for weekends and holidays. She also stated that the fee schedule is not currently included in the City's Code. Street Superintendent Ewigman stated that more people are scheduling burials for weekends and holidays and other cemeteries are increasing their fees because of this. Burials that are on the weekends and holidays require increased costs due to having to pay overtime. The Council discussed the topic. City Clerk Krumpelman reported a Bill to repeal and replace the Cemetery section of the Code will be presented in September and that the sale of lots ordinance will be updated to reflect the fee change made in October 2012. City Manager Hoon stated the number of Cemetery Board members will also be changed with that bill. The Council provided consensus to move forward with adding the open / close fees to the code and with the Cemetery's recommendation to increase the fees for weekend and holidays.
Live Scan - Bill No: 18-08.038: City Manager Hoon reported the City was awarded an equipment grant from the Missouri Police Chiefs Charitable Foundation for Live Scan equipment worth approximately $18,125.00. Police Chief Donelson stated the Live Scan equipment will be used to take digital fingerprints which will be dumped into the MO Highway Patrol's database and AFIS. He stated this technology will prevent bad fingerprints from being taken and that the maintenance fees will be paid for by a fund through the Police Chiefs Association. There was discussion on the topic. Councilwoman Wellman moved that Bill #18-08.038 authorizing the Mayor to sign the award acceptance letter be read twice by title only. Councilwoman Buck seconded the motion. A voice vote carried the motion. City Clerk Krumpelman read Bill No. 18-08.038 twice by title only. Councilwoman Wellman moved that Bill No. 18-08.038 be approved. Councilwoman Buck seconded the motion. The following roll call vote carried the motion: Councilwoman Wellman – aye, Councilwoman Buck – aye, Mayor Brammer – aye, Councilwoman Cupp – aye and Councilman Holt – aye. This bill is assigned Ordinance Number 18-08.38.
Street Closure Requests - Block Party & Toonfest: City Manager Hoon stated this is a two part request, one for the Block Party and one for Toonfest as both annual events occur on the same day. The Council discussed the requests. Councilwoman Wellman moved to approve the temporary closure of Main Street USA from California
Avenue to Ritchie Ave on September 15, 2018 from 7:00 am to 10:00 pm for the Annual Block Party and for the temporary closure of Main Street USA from Santa Fe to Gracia and of California Avenue from Main Street USA to the alley between the storage units and the Carnegie Library from 6:00 am to 11:00 am on September 15, 2018 for Toonfest. Councilwoman Cupp seconded the motion. The motion carried unanimously.
Street Closure Request - Homecoming: City Manager Hoon reported they have received a request for a temporary street closure for the Homecoming Parade. The Council discussed the request. Councilwoman Cupp moved to approve the temporary closure of Main Street USA from Santa Fe Avenue to Walker Street, and the 100 block of West Walker the 300 block of South Chestnut Street and the 100 block of West Lake Street from 1:45 pm to 3:00 pm on September 28, 2018 for the Homecoming Parade. Councilwoman Wellman seconded the motion. The motion carried unanimously.
ACH Addendum - Bill No: 18-08.039: City Clerk Krumpelman stated Regional Missouri Bank is offering same day ACH origination for a $20.00 fee and updated security procedures as an addendum to the City's ACH Origination Contract. She stated that the ACH Origination Contract allows for payroll direct deposit and automatic utility bill pay and same day origination would be a useful contingency option. The Council briefly discussed the topic. Councilwoman Wellman moved that Bill #18-08.039 authorizing the Mayor to sign all documents associated with the ACH Addendum and Schedule A be read twice by title only. Councilwoman Buck seconded the motion. A voice vote carried the motion. City Clerk Krumpelman read Bill No. 18-08.039 twice by title only. Councilwoman Wellman moved that Bill No. 18-08.039 be approved. Councilwoman Buck seconded the motion. The following roll call vote carried the motion: Councilwoman Wellman – aye, Councilwoman Buck – aye, Councilman Holt – aye, Mayor Brammer – aye and Councilwoman Cupp – aye. This bill is assigned Ordinance Number 18-08.39.
Tax Levy - Bill No: 18-08.040: City Clerk Krumpelman reported that the General Fund and Library Fund levies are remaining the same and the Debt Service Levy decreased slightly. She reported a public hearing was held the previous Tuesday, September 14th and only she and Administrative Assistant Kasey Milliron attended. City Clerk Krumpelman reminded the Council, the levy ceiling is set by the Missouri State Auditor's office. The Council briefly discussed the topic. Councilwoman Buck moved that Bill #18-08.040 setting the 2018 Tax Levy be read twice by title only. Councilwoman Wellman seconded the motion. A voice vote carried the motion. City Clerk Krumpelman read Bill No. 18-08.040 twice by title only. Councilwoman Buck moved that Bill No. 1808.040 be approved. Councilwoman Wellman seconded the motion. The following roll call vote carried the motion: Councilwoman Buck – aye, Councilwoman Wellman – aye, Councilwoman Cupp – aye, Mayor Brammer – aye and Councilman Holt – aye. This bill is assigned Ordinance Number 18-08.40.
MO Ethics Commission - PFD Resolution #18-01: City Clerk Krumpelman reported the City is required to readopt their Conflict of Interest and Personal Financial Disclosure Ordinance every two years by the Missouri Ethics Commission. If the Council does not readopt said ordinance than all elected, appointed and decisionmaking personnel as well as candidates will be required to file a long-form Personal Financial Disclosure statement. Councilman Holt moved to approve Resolution # 18-01. Councilwoman Wellman seconded the motion. The motion carried unanimously.
At 6:33 pm Councilman Holt moved to adjourn. Councilwoman Wellman seconded the motion. The motion carried unanimously.
Recorded by City Clerk Lindsay Krumpelman Approved on September 25, 2018 by Marceline City Council.
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OVERTIME AGREEMENT
The Company and the Union recognize that the operations of the Y-12 Plant may require overtime work and the jobs involved must be manned by qualified employees. The amount of overtime and the schedule for working such overtime shall be established by the Company within the parameters set forth in these overtime agreements.
These Overtime Agreements are developed to assist management in assigning overtime and are not intended to replace management rights under Article IV section 9. Management will assign all overtime within the procedures contained in this agreement. However, in those cases where the overtime procedures cannot be followed because of operating conditions or extenuating circumstances, the overtime will be assigned in accordance with Article IV section 9 and after consultation with the Union.
Overtime agreements will be re-examined jointly by the Company and the Union at the company or unions request.
Overtime agreements are subject to change in an emergency situation.
The following agreements supersede all previous overtime guidelines.
Overtime Records
A. Each training group will have its own overtime hours list where overtime hours of each person in that training group will be totaled.
B. An updated list will be posted prior to guard mount (Monday - Friday) each morning excluding holidays.
C. When an error is discovered in the distribution of overtime a recognized union representative will notify the company. On that basis, the Company will make sure of the accuracy of the overtime hours list by going back and recalculating the overtime hours, and recalling the overtime when practical. If time does not permit, the person missed in calling the overtime will be given the option to work the hours missed (last job posted) or not be charged.
D. Twice each calendar year all overtime hours will be zeroed. These hours will be zeroed the first non-holiday week Monday of January and July.
E. When filling a holdover or an early overtime position, a "partial" is any overtime that lasts four (4) hours or less before or after an employee's regularly scheduled shift.
F. When overtime is refused the SPO refusing the overtime will be charged the amount of overtime the position was being called for. If the overtime position is canceled or the job terminates earlier than expected he/she would be charged only for that time if not asked for a longer running overtime opportunity. Overtime will be charged on the basis of overtime that you had the opportunity to work during your regularly scheduled work week and were eligible for.
G. When a new employee is initially assigned to a shift and/or to a training group, he/she will be given the average amount of overtime hours worked in his/her training group. The average amount of overtime hours will be calculated on the first shift the new employee works.
H. When an employee changes from one training group to another, the employee's overtime hours will be carried over to the new training group.
Overtime and Vacation/Extended Absences
A. An employee cannot be mandatoried when he/she has scheduled four (4) or more hours of vacation in conjunction with his/her SDO and has a full day of vacation the first day back, but can be offered and charged for overtime asked. Those scheduled vacation hours can only be canceled 24 hours prior to the end of the scheduled work week.
B. For the purpose of overtime, an employee's vacation starts immediately after the employee completes his/her regularly scheduled working hours preceding his/her vacation.
C. Personnel will not be mandatoried on the first day back from forty (40) hour of vacation, or a forty (40) hour or more extended illness but will be charged when asked for overtime.
D. The twelve (12) hour continuous shift personnel will be asked and charged for overtime turned down the first day back from forty (40) hours of vacation or extended illness (or the 36 hours on the 36 hour work week) but not mandatoried.
Pre-Scheduling Overtime
A. All pre-scheduled overtime will be scheduled as far in advance as possible.
B. Scheduled overtime will be assigned on shift and will be offered first to those with the lowest hours that sign the overtime book.
C. For all unscheduled or short notice overtime, personnel who sign the overtime book will be the first to be asked.
D. Twelve hour rotating shift workers will be given first priority (6:00 a.m. – 2:00 p.m.) on their short day while working their day shift week.
E. For the recognition of filling overtime for the 12 shift:
14.1 hours or more will be considered a full.
14.0 hours or less will be considered a partial
F. If there is no overtime in an individuals primary training group and the individual accepts an overtime in another training group, the employee will not be allowed to change jobs in the event of an opening in his/her primary training group.
G. If someone is working outside his/her training group and mandatory overtime exists in their primary training group, they will be moved back to his/her group to fill the opening and overtime will be used to fill the void.
H. Pre-scheduled overtime will be offered in 8 or 12 hour blocks or for the duration of the job, but will only be mandatoried in 8 hour increments.
I. It is recognized that pre-scheduled overtime, for the purpose of training, on an SDO will be scheduled in 8 hours increments, but may exceed 8 hours.
Volunteer Overtime Distribution
A. Assignment of overtime will be as equitable as possible with overtime hours offered to personnel with the lowest hours first in the training group who have signed the overtime book.
If two (2) employees have the same overtime hours in the training group the employee who has the most seniority will be offered the overtime first.
B. Overtime hours that are filled for a holiday that would pay an employee two and one-half times his/her current base straight time hourly rate will be offered using the holiday list.
C. Known Overtime will be called as early as practical at the beginning of the shift.
D. Overtime Volunteer Limits
1. Employees can volunteer for (but not be mandatoried) back to back sixteen (16) hours, but cannot exceed two in a row.
2. Employees on twelve (12) hour continuous shifts can volunteer for up to four (4) hours for an early overtime or a hold over overtime not to exceed sixteen (16) hours.
3. Employees will only be allowed to volunteer for a total of 80 hours actual work (including guard mounts exclusive of physical fitness) in a workweek.
4. Employees cannot work a maximum of fourteen (14) consecutive days without taking at least one (1) SDO.
Overtime assignment changes
1. Once overtime has been volunteered for, the person volunteering must work the overtime. If a problem arises that creates a hardship on the volunteer, every effort will be made by the shift captain to find someone to work.
2. Overtime positions cannot be traded or given away if the order of the voluntary list or other overtime procedures is violated. If there are no violations, overtime positions can be traded or given away if approved by the shift captain.
3. To be released from a volunteer overtime, the SPO must obtain approval from the Shift Captain on duty. The Captain will determine an acceptable excuse on a case-by-case basis.
E. Employees on the regularly scheduled day shift (6:00 a.m. - 2:00 p.m.) will be offered overtime from 2:00 p.m. - 6:00 p.m. (preferred shift jobs) before it is offered to the twelve (12) hour continuous shifts.
Overtime Holiday List
1. When there are hours to be filled on a holiday, the holiday list will be used in filling the overtime hours.
2. The company will maintain a Holiday Overtime List for each training group that will stipulate the last date an employee was offered overtime during his/her holiday.
3. The holiday overtime will be offered to the employee who has the oldest overtime holiday date. That employee will then be placed at the bottom of the holiday list whether he/she takes the overtime or not. In order to determine an actual holiday worked, the employee must have worked in excess of 1.7 hours.
4. When a new employee is initially assigned to a training group; he/she will be put at the bottom of the holiday overtime list.
5. Anyone attempting to work his or her established holiday overtime (SDO) must be signed correctly in the book to be considered. The holiday list will be utilized to determine the sequence of who will get the overtime.
6. If employees with less hours (not their holiday) are signed for these same time periods, and have less hours they will be given the overtime first. (No preference will be given solely because of holiday pay for a particular shift)
Mandatory Overtime Distribution
Mandatory List
A. The mandatory list is a list that is maintained by the Company that stipulates when an employee's last mandatory took place. A separate list for each training group will be maintained. Concerns will be resolved with the shift steward and the shift captain.
B. When an overtime position has not been filled voluntary and someone must be mandatoried, the employee who has the oldest mandatory date will be forced to work the overtime position. The only criterion for assigning mandatory overtime is the mandatory list.
C. Once a person is mandatoried, the date of the mandatory will be annotated and he/she will be placed at the bottom of the list.
D. Any new employee, after completing his/her probation period, will be placed at the top of the mandatory list and will be the first to be mandatoried.
E. When an employee changes training groups, his/her last mandatory date will stay in effect on his/her new training group mandatory list.
Mandatory Overtime Limits
A. Employees will only be mandatoried for a maximum total of 62 hours a workweek including guard mount time. All hours worked (voluntary or mandatory) will be used when calculating mandatory hours worked to the 62-hour limit. (In the calculation of the 62 hour limit, vacation hours will be included) Volunteer hours will not preclude a SPO from mandatory overtime if the SPO received notification prior to working the volunteer overtime.
B. Employees will not be mandatoried from home for a four (4) hour job of overtime unless an emergency operational situation occurs.
C. Employees can not be mandatoried when it violates a medical restriction.
D. Employees can not be mandatoried back to back sixteen (16) hours
E. Employees can not be mandatoried twice in a 24-hour period.
F. Personnel on twelve (12) hour shifts can be mandatoried for up to four (4) hours for a hold over or an early return not to exceed sixteen (16) hours.
G. Mandatory overtime on SDOs will be avoided unless absolutely necessary. The Company will make every effort to limit mandatory overtime to one shift during an SDO period. Employees will not be mandatoried in excess of one overtime shift during an SDO period unless all other mean to fill the overtime have been exhausted and after consultation with the Union.
H. Straight day workers if mandatoried past twelve (12) hours will be asked and charged for the next day's partial shift but will not be mandatoried.
I. Employees cannot be mandatoried over two (2) back to back partials.
Miscellaneous Mandatory Provisions
A. For a late relief to be considered a mandatory it will have to be thirty (30) minutes or more.
B. Anytime you are scheduled for overtime or required to stay after your regularly scheduled shift by the Company for an administrative function or the Company is at fault for late relief, the Employee will receive credit for a mandatory.
C. Protective Force personnel in training will not be mandatoried from training except as a last resort to meet operational needs.
D. Twelve (12) hour continuous hour shift workers will not be mandatoried an additional four (4) hours (sixteen (16) hour day being relieved at 10:00 p.m.) when having to qualify with weapons the next day. (except as a last resort to meet operational needs)
E. If a person has been mandatoried after a regularly scheduled twelve (12) hour shift and someone has been called in from home, the person mandatoried will be relieved as soon as the relief person arrives.
F. In order to be released from a mandatory, the employee must obtain approval from the shift Captain on duty. The Captain will determine an acceptable excuse on a case-by-case basis.
G. When working overtime and there are two (2) or more people mandatoried in a training group, and one of the jobs is subsequently canceled, the last person mandatoried will be allowed to leave. If one job ends early, then the last person mandatoried will be allowed to leave.
H. Employees will be provided Company transportation to their place of residence at the conclusion of a mandatory overtime assignment if requested by the employee due to fatigue or loss of transportation.
I. New hire probationary employees will be exempt from mandatory overtime.
J. When the entire Y-12 Protective Force is scheduled for mandatory overtime, employees will not be scheduled to work more than twelve (12) hours a day.
K. When the entire Y-12 Protective Force is scheduled for mandatory overtime and an employee has scheduled a single day of vacation in the mandatory week, he/she will be allowed to take scheduled time off.
L. When 7:00 a.m. - 3:30 p.m. personnel are mandatoried and the position is going to run past 6:00 PM the job will be offered to the rotating shift for volunteers. (no mandatory)
M. Personnel already working overtime can be asked for additional hours if the shift he/she is working falls into a mandatory situation. This person can be asked for additional hours as long as no overtime violations occur this person however will not be mandatoried nor charged those hours.
N. Before day shift personnel are mandatoried for 2:00 p.m. – 6:00 p.m. schedulers will check to see if shift personnel are signed to come in for these hours and contacted to see if they want to work these hours. This will take place before mandatoring begins.
O. Personnel volunteering for HRP (Drug/Alcohol Screening) overtime will not be exempt from operational mandatory overtime if the job is canceled. The last person mandatoried will be excused.
IGUA, Local #3
Randy Lawson, President:
Date:
Mike Rimmer, Vice President:
Date:
W. Keith McCoy, Chief Steward:
Date:
WSI Oak Ridge
Gary Brandon, Dir., Y-12 Pro Force:
Date:
Larry Garrett, Major, Y-12 Pro Force:
Date:
Pitt Tarrant, Major, Y-12 Pro Force:
Date:
David McGhee, Sched. Y-12 Pro Force:
Date:
Clarification of Mandatory Overtime
* Any time that you are held beyond your regularly scheduled shift (against your will), except in the case of a late relief at the fault of your relief that does not exceed thirty (30) minutes, is a mandatory.
* Anytime that you are working pre-scheduled voluntary overtime and are not relieved at the completion of the overtime taken, it is a mandatory.
* Anytime that you are brought in for training, physicals, run qualifications, or any administrative function on your SDO, it is a mandatory.
* If you volunteer for overtime in your training group and are moved to a job outside your training group, this will be a mandatory.
Note: If you accept voluntary overtime for VSR in your training group and are moved to a job other than in your training group for four (4) hours or more, this will be considered a mandatory.
* Late relief due to the tardiness of your relief which causes you to stay thirty (30) minutes or more will be considered a mandatory.
* If you accept a job in your training group and are moved to another job in your training group, this is not a mandatory.
* If you accept a job outside of your training group and are moved to another job outside your training group, this is not a mandatory.
* If you accept a job outside of your training group and are moved back into your group, this is not a mandatory.
* If you take VSR in your training group and are moved to a job outside of your normal training group for less than four (4) hours, this is not a mandatory.
* If you are mandatoried and someone offers to work that job, you cannot "keep"your mandatory. If you work the job after someone else has offered, this is not a mandatory.
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GENERAL TERMS AND CONDITIONS OF SALE AND DELIVERY OF DOKA GMBH
1. General
1.1. These terms and conditions are an integral part of all agreements (e.g. sales, delivery and rental agreements as well as contracts regarding planning and projection services) between the customer ("Customer") and Doka as seller or contractor of the work (the "Seller").
7.3. The Customer shall observe the requirement to give notice of defects in respect of the carrier for damage in transit. Transport insurance shall only be arranged if the Customer expressly orders this and assumes the costs.
1.2. Upon acceptance of an offer from the Seller or upon placing an order as well as by sending an offer to the Seller the Customer shall expressly recognise the unrestricted validity of these terms of business and shall relinquish in full the application of his general terms of business or conditions of purchase.
1.3. The Customer shall be obliged to maintain confidentiality in respect of the content of the agreements concluded or which are to be concluded between the Customer and the Seller. This shall also apply to all information provided for the Customer by the Seller. This obligation shall also apply without restriction for the period after the termination of the agreement or, as the case may be, if contractual negotiations break down.
1.4. The data protection provisions available under https://www.doka.com/en/home/dataprivacy/index shall apply and shall be deemed an integral part of these GTC.
1.5. The Customer hereby expressly consents to its data being used exclusively by the Seller and/or affiliated group companies for advertisement of similar products or services of the Seller. This consent may be withdrawn at any time. Data will not be passed on to third parties.
2. Conclusion of the Agreement
2.1. Offers from the Seller are not binding insofar as they are not expressly designated as binding.
2.2. Orders from the Customer must be accepted in writing by the Seller. In the absence of an order confirmation, the collection and/or delivery of the equipment shall be deemed a confirmation of agreement.
2.3. All amendments, changes and additions from or to these terms of business require the express written confirmation of the Seller.
2.4. Declarations which are submitted by employees of the Seller or other persons employed by the latter are only valid insofar as they are confirmed by the Seller in writing.
3. Price and Terms of Payment
3.1. The Seller's prices are net prices, i.e. they do not include any taxes and are quoted ex works, excluding packaging, carriage, insurance and customs duties.
3.2. The total purchase price is due upon receipt of the invoice without deduction irrespective of when the goods are received or checked.
3.3. Doka may – in its sole discretion – send invoices electronically. In this case, invoices shall be deemed to have been served as soon as they can be accessed or taken note of by the Buyer under ordinary circumstances (e.g. e-mail receipt).
3.4. Bills of exchange shall only be accepted by the Seller if agreed separately, and then only on account of payment, subject to receipt. Payment shall only be deemed to have been effected upon the day on which the Seller can finally make use of the funds on his account. All fees and charges, especially discount charges and promissory fees shall be borne by the Customer.
3.5. In the event of payment default, and irrespective of blame, the Customer shall undertake to pay interest on arrears of 8% p.a. above 3-month EURIBOR. The Customer shall also undertake to reimburse the Seller for all costs of the debt collection and legal action. Compensation claims of the Seller over and above this shall be unaffected.
3.6. To the extent that the Customer was granted special terms such as discounts, it is agreed that such discounts shall cease to apply in the event of default and shall then be invoiced by the Seller.
4. Reservation of Title
4.1. All deliveries by the Seller shall be effected with reservation of title. The goods supplied shall remain the property of the Seller until the purchase price and extra charges are paid in full. Goods are deemed to include all tangible and intangible goods, especially also documents, planning services and software (e.g. programmes). If the Customer owns other Doka material also present on the building site, such material shall be sufficiently marked so it can be clearly distinguished from material under reservation of title.
4.2. The reservation of title shall also extend to products arising from the processing of goods supplied by the Seller. If the goods are processed, combined or mixed, the Seller shall acquire joint ownership of the ensuing products in proportion of the value of the delivered product to the value of the new item.
4.3. The Customer shall not be allowed to mix the equipment with objects of the same kind but procured from other sources, unless clause 4.1 has been complied with. The Customer shall have to prove which of the
mixed objects are objects procured from other sources owned by the Customer.
4.4. The Customer is forbidden to order the goods supplied under reservation of title for third parties as collateral or as security by transfer of ownership or dispose of them in this or in any other way in favour of third parties. The resale of the goods subject to reservation of title is only permitted with the express written consent of the Seller.
4.5. All accounts receivable arising from any resale of the goods under reservation of title in respect of the Seller effected contrary to Clause 4.4 or with the Seller's consent are hereby assigned by the Customer to the Seller in payment. The Customer shall make the necessary notes in his books and outstanding items lists and is obliged upon the request of the Seller to notify the latter of names and addresses of his customers as well as the balance and amount of the accounts receivable arising from the resale and to advise his customers of the assignment of the claim. Profits realised by the Customer from the resale of the goods subject to reservation of title shall be passed on to the Seller without delay.
4.6. In the event that the goods subject to reservation of title are pledged or otherwise used by third parties the Customer shall be obliged to assert the right of ownership of the Seller and to notify the Seller without delay in writing. The Customer shall reimburse the Seller for all costs which arise in connection with safeguarding his right of ownership. The Customer shall provide the Seller upon the latter's request with all documents necessary for safeguarding and implementing the right of ownership.
4.7. In the event of payment default of the Customer the goods subject to reservation of title shall be returned to the Seller immediately upon request from the same. Insofar as the Customer does not comply with this request immediately, the Seller shall be entitled to collect the goods subject to reservation of title. In any case the Customer shall bear the costs and risk of transportation of the goods to the Seller. The return or collection of the goods in this respect does not imply withdrawal from the agreement. The Seller is entitled to sell the recovered goods elsewhere and to offset the profits against his claims on the Customer. The Customer shall be advised of the intended resale and the amount of the sale price and has the option of identifying other customers to the Seller within four weeks who would acquire the goods under the terms announced or under terms more favourable to the Seller.
5. Delivery
5.1. Delivery periods and dates announced by the Seller are approximate and are always ex works. Should the delivery date or delivery period be delayed by more than two weeks for reasons other than those mentioned under Clause 5.3, the Customer can withdraw from the agreement after setting an additional deadline without success of at least two weeks by registered letter. A partial default by the Seller shall only entitle the Customer to a partial withdrawal accordingly from the agreement. Additional claims of the Customer are excluded unless the Seller acted with wilful intent or blatantly gross negligence.
5.2. The delivery is on time if the goods are made available for dispatch as at the delivery date or by the end of the agreed delivery period by the Seller at his works or, insofar as dispatch by the Seller is agreed in writing, if dispatch has commenced by this date.
5.3. Force Majeure shall mean events beyond the reasonable control of the parties that are unforeseeable or foreseeable but unavoidable, which cause obstruction in, impact on or delay in either party's performance of part or all of its obligations in accordance with this Agreement, including without limitation, government acts, natural disasters, wars, hacker attacks, piracy or any other similar events. In case of any Force Majeure event or other unforeseen hindrances at the works of the Seller and his suppliers which prevent delivery on time or according to schedule and which are not due to at least blatantly gross negligence by the Seller, the Seller shall be entitled to an appropriate extension of the delivery period or postponement of the delivery date. The Customer shall have no rights of performance, compensation and/or withdrawal in this case.
5.4. The Customer shall accept delivery of the goods without delay, unless they show material defects. Any additional costs incurred by the Seller based on delayed acceptance shall be borne by and invoiced to the Customer.
5.5. For the duration of the delay of the Customer in paying invoiced amounts due, interest on arrears and/or charges, the Seller shall not be obliged to make any further deliveries.
5.6. The Customer shall be obliged to accept partial deliveries from the Seller.
6. Documents and Software
The Customer is not entitled to use documents provided by the Seller (e.g. planning and/or project documentation) and software for any purposes other than the purposes envisaged in the agreement. The know-how included in the documents shall be supplied to the Customer only for these purposes.
7. Bearing the Risk and Dispatch
7.1. The risk of loss and damage to the goods shall pass to the Customer as soon as the goods are actually made available by the Seller for dispatch. Insofar as dispatch by the Seller has not been agreed, the Customer shall ensure immediate collection of the goods.
7.2. The dispatch or carriage of the goods shall be effected in all cases at the risk and costs of the Customer, even if the transportation is effected or organised by the Seller or if carriage is paid or carriage without obligation is agreed.
8. Warranty and Liability
8.1. The Customer is obliged to inspect the goods for proper quality without delay and to notify the Seller of any defects immediately in writing, within eight days at the latest upon delivery of the goods/performance and before processing or using them, with an accurate description of the faults. This shall also apply for in any respect - insufficient deliveries. The Seller must be notified in any event of defects detected at a later time at the latest within the same 8 days' period. In case defects are not notified in time, the goods/performances shall be deemed approved even with respect to such defects. Notwithstanding this notification duty, any warranty claims must be asserted by court action within six months of delivery of the goods/performance, otherwise such claims will be excluded. Recourse of the Customer pursuant to Sec. 933b Austrian General Civil Code ("ABGB") is excluded. The Customer shall also exclude the right to recourse pursuant to Sec. 933b ABGB with respect to its respective purchasers, as far as permitted by compulsory law.
8.2. Notification of the defects shall not release the Customer from his payment obligation. It is a condition of the warranty of the Seller that the Customer has met all obligations, especially his payment obligations and has specified and advised the defects on time.
8.3. The warranty period is six months. The Seller is entitled to rectify defects and/or damages at his option by replacement or improvement within a reasonable period. As long as the Seller makes use of this right the Customer has no right of cancellation, price reduction or monetary compensation.
8.4. Further processing or editing of the goods by the Customer or by third parties (other than the Seller) and/or use of the goods by third parties to whom the Customer has made available the goods shall lead to
warranty being excluded.
8.5. Should the Customer refuse to accept the delivered goods contrary to its obligation under clause 5.4., it shall ensure that the goods are properly unloaded, stored and held at the Seller's disposal.
8.6. In negotiations about notices of defects the Seller does not waive the right to claim that the defect was notified late or not in sufficient detail.
8.7. The Seller shall only be liable if the Customer is able to prove that the Seller acted with blatantly gross negligence or wilful intent; this shall not apply to personal injury. Any other liability is excluded as is compensation for consequential loss, damage to property and losses based on the claims of third parties against the Customer. The Seller is not liable either insofar as permissible under mandatory law, for loss of or damage to data. The Customer shall assert any claims for damages in court within six months of knowledge of the damage and the party who caused the damage but not later than within two years of delivery by the Seller.
8.8. The Seller is only liable for the faults of his vicarious agents insofar as the latter are incorporated into the operational organisation of the Seller. Liability of the Seller is therefore excluded also especially for the fault of his suppliers or of carriers.
8.9. Insofar as the product liability law is applicable, the liability of the Seller or of his suppliers and subcontractors is excluded for damage to property which a business owner suffers.
8.10. The Customer shall undertake to bind his customers to the limitation of liability of these terms of business in full who shall also undertake to pass on this obligation.
8.11. If the goods are produced in accordance with plans, documents or instructions of the Customer, the Customer shall be exclusively liable for the infringement of industrial property rights of third parties and shall indemnify the Seller insofar as claims are made against him on the basis of the infringement of such industrial property rights.
8.12. The Seller shall not guarantee the completeness and/or accuracy of information on the products of third parties. It is theCustomer's responsibility to seek information accordingly from the respective manufacturer.
9. Technical Instructions
9.1. The goods shall be used in accordance with the technical instructions (e.g. user information, formwork drawings, etc) of the Seller or shall otherwise be excluded from warranty and compensation claims.
9.2. It is the responsibility of the Customer to obtain the Seller's technical instructions necessary for the former's purposes at his own expense.
9.3. Technical advice from the employees of the Seller is restricted to an explanation of the written instructions of the Seller; the Seller shall not be liable for information from his employees over and above this. Only the department responsible at the registered offices of the Seller is authorised to give information beyond an explanation of the written instructions of the Seller, in particular appropriate solutions for specific applications. The Customer shall only obtain such information from this department.
10. Cancellation
10.1. The contractual parties are entitled if there are important reasons (e.g. infringement of material terms and conditions of the agreement, payment arrears despite an additional period of time of at least 14 days, international sanctions entered into force after conclusion of the agreement), to cancel the agreement by registered letter.
10.2. The Seller can additionally withdraw from the agreement if his performance of the contract is unreasonable even if only temporarily so.
11. Return of the Goods
11.1. Goods already supplied by the Seller (Clause 4.1) and any copies shall be returned to the Seller within 14 days of the cancellation of the agreement, installed software (e.g. programmes) shall be deleted. Insofar as the Customer does not comply with this obligation, the Seller is entitled to collect the goods at the expense and risk of the Customer and delete the software himself.
11.2. If, contrary to the provisions of Clause 4.2, the goods to be returned are not clearly identifiable from others, the Seller is entitled to select an item. The Customer shall indemnify the Seller in this respect from any claims of third parties.
12. Exclusion of Set-off
The Customer is not entitled to offset any claims in respect of the Seller against those of the Seller.
13. Severability Clause
If, for any reason, one or more of the provisions of these terms of business or of an agreement between the Customer and the Seller is invalid or unenforceable, the validity of the remaining provisions shall be hereby unaffected. In place of the invalid or unenforceable provision there shall be a provision which is closest to the intended purpose.
14. Place of Performance and Jurisdiction
14.1. The exclusive place of performance for all obligations arising from or in connection with contractual relationships between the Seller and the Customer shall be Amstetten, Austria.
14.2. All disputes between the Customer and the Seller including the question of the valid realisation of the agreement as well as its preliminary and subsequent contractual effects, shall be exclusively settled by the court having jurisdiction over the subject matter and Amstetten. The Seller shall also be entitled (but not be obliged) to bring the matter before a different court having jurisdiction pursuant to statutory provisions or, at its discretion, to submit the dispute to arbitration as described in Clause 14.3.
14.3. If the Seller decides to submit a dispute to arbitration, all disputes or claims arising out of or in connection with this agreement or related to its violation, termination or nullity shall be settled under the Rules of Arbitration and Conciliation of the International Arbitral Centre of the Austrian Federal Economic Chamber in Vienna (Vienna Rules). The decision shall be made by one arbitrator appointed in accordance with these rules and shall be final. The place of arbitration is Vienna, the language of arbitral proceedings shall be German. The law to be applied is Austrian substantive law excluding the Austrian Act on Private International Law (IPRG) and the UN Convention on Contracts for the International Sale of Goods. The parties hereto waive their right to contest the arbitral award to the extent that such a waiver is permissible under the law. The arbitrator shall supply to the parties a draft of the arbitral award to comment thereon.
15. Applicable Law and Interpretation
15.1. Legal disputes between the Customer and the Seller including the question of the valid conclusion of the agreement and the preliminary and subsequent contractual effects are subject exclusively to Austrian law. The Austrian IPRG and the UN Sales Convention are not applicable. Furthermore, the General Terms and Conditions of Doka on the use of Doka Planning Software as well as the General Terms and Conditions for Concremote as amended from time to time shall apply. Current versions of these general terms and conditions are available under: www.doka.com/gtc.
15.2. Should there be any discrepancies between a framework/rental agreement and these GTC, the more specific provisions of the framework/rental agreement shall prevail.
16. Waiver
As far as permissible under mandatory law, Customer and Seller shall waive the right to appeal against these terms of business as well as against agreements concluded between them and/or the right to demand the cancellation or amendment of the same. In particular an appeal on the grounds of a mistake or laesio enormis is excluded.
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A GENTLE HESSIAN FOR EFFICIENT GRADIENT DESCENT
Ronan Collobert and Samy Bengio
IDIAP, Martigny, Switzerland
{collober,email@example.com
ABSTRACT
Several second-order optimization methods for gradient descent algorithms have been proposed over the years, but they usually need to compute the inverse of the Hessian of the cost function (or an approximation of this inverse) during training. In most cases, this leads to an O(n 2 ) cost in time and space per iteration, where n is the number of parameters, which is prohibitive for large n. We propose instead a study of the Hessian before training. Based on a second order analysis, we show that a block-diagonal Hessian yields an easier optimization problem than a full Hessian. We also show that the condition of block-diagonality in common machine learning models can be achieved by simply selecting an appropriate training criterion. Finally, we propose a version of the SVM criterion applied to MLPs, which verifies the aspects highlighted in this second order analysis, but also yields very good generalization performance in practice, taking advantage of the margin effect. Several empirical comparisons on two benchmark datasets are given to illustrate this approach.
1. INTRODUCTION
Optimization by gradient descent is widely used by various machine learning algorithms such as back-propagation of the error in Multi-Layer Perceptrons (MLPs) and Radial Basis Functions [1]. Unfortunately, empirical evidences show that results obtained after training a model by gradient descent are often highly variable. Hence, in the last few decades, several researchers proposed various enhancements [2] to classical gradient descent algorithms. Most of these enhancements focus on variations of secondorder optimization methods [3], and thus have to compute at each training iteration the inverse of the Hessian 1 of the cost function. Therefore, the time complexity of the resulting algorithms grows in O(n 3 ) per iteration, and in O(n 2 ) in space, where n is the number of parameters. Thus these algorithms become useless for very large datasets and models. Some enhancements which compute iteratively the inverse of the Hessian have been proposed but most of them still have a cost in O(n 2 ) per iteration. In the end, most of the time, people rely on simple stochastic gradient descent which has a cost in O(n) per iteration, and which in general outperforms most other methods on large problems [2].
Instead of dealing with the Hessian during training as several other methods do, we propose a study of the Hessian of the cost function before training. Thus, after a presentation of the framework in Section 2, we analyze in Section 3 the cost function, us-
The authors acknowledge financial support from the Swiss NCCR (IM)2 project.
1which is the second order derivative of the cost with respect to pairs of parameters.
ing a second order Taylor approximation. We show that a blockdiagonal Hessian yields an easier optimization problem than a full Hessian. We also illustrate this with the case of MLPs where the condition of block-diagonality can be achieved by simply selecting an appropriate training criterion. Then, in Section 4, we propose a version of the Support Vector Machine (SVM) criterion applied to MLPs, which verifies the aspects highlighted in this second order analysis, but also yields very good generalization performance in practice, taking advantage of the margin effect.
2. FRAMEWORK
We consider two-class classification problems: given a training set of T examples ( x t, yt) t=1...T with ( x t, yt) ∈ R d ×{−1, 1} where x t is the input vector of the t th example, and yt is the corresponding class, we would like to find a function f (·) such that
Our interest is to study functions which can be trained by gradient descent techniques. Due to the lack of space, we will focus only on Multi-Layer Perceptrons (MLPs), but this work can be extended to other models [4]. The MLP we consider here has one hidden layer of N units:
where w n ∈ R d are the weights of the hidden layer, 2 αn ∈ R are the weights of the output layer, and b is the bias of the output layer. h(·) is a transfer function which is usually a hyperbolic tangent. It has been shown in [5] that MLPs with one hidden layer and hyperbolic tangent transfer functions are universal approximators of real valued functions. This means that there exist at least one MLP such as in (2) which satisfies conditions (1).
2.1. Training with Gradient Descent
Given a model fθ(·) which could be an MLP, we select a cost function C(fθ( x ), y), and we minimize the cost
2To simplify the notation, we suppose here that the last coordinate of the x vector is 1, and thus the bias of unit n is represented by the last coordinate of w n.
using stochastic gradient descent. One of the most common cost functions used for classification is the mean-squared error (MSE):
It can be shown [1] that with an infinite amount of data, the minimum of the MSE criterion is obtained when fθ( x ) is equal to the true posterior probability 3 p(y| x ). It has also been shown [6] that taking the decision which maximizes p(y| x ) leads to the minimum classification error rate. Hence, the use of the MSE criterion is relevant for classification. However, in a likelihood framework, minimizing the MSE criterion is equivalent to maximizing a likelihood under the hypothesis that y is generated from a smooth function with added Gaussian noise. Since y is a binary variable, some researchers prefer to consider y as coming from a Bernoulli distribution, which leads to another well-known criterion, often called "cross-entropy" (CE) [1]. This one can be rewritten as the following, in the case of a two-class classification problem:
Once again, with an infinite amount of data, pθ(y| x ) which maximizes the likelihood tends to the true posterior probability p(y| x ). Thus, as for the MSE criterion, the CE criterion minimizes ultimately the classification error.
2.2. Experimental Setup
Experiments shown in this paper have been performed using the two biggest datasets available on the UCI web site. The first one is UCI Forest. We modified the 7-class classification problem into a balanced binary classification problem where the goal was to separate class 2 from the others. We used 100,000 examples for training, 10,000 for validation and 50,000 for testing. The second dataset is UCI Connect-4. We modified the 3-class classification problem into a balanced binary classification problem where the goal was to separate class "won" against the others. We used 50,000 examples for training, 7,000 for validation and 10,000 for testing. Validation sets were only used to select hyper-parameters of the models in Section 4.
3. LOCAL BEHAVIOR OF COST FUNCTIONS
In this section, we will focus only on the training performance of several architectures, trained with gradient descent. Table 1 shows
Table 1. Train errors for MLPs trained with different criterions.
a preliminary comparison of an MLP trained using the MSE and CE criteria. The classification error rate has been chosen to compare performances because both MSE and CE criteria tend to minimize the classification error, as highlighted in the previous section.
3with class labels y ∈{0, 1}, which can be obtained in our case by simple rescaling.
We added an evaluation of the MSE error 4 to be more convincing. We chose an arbitrary large number (500) of hidden units. Moreover, all other hyper-parameters, such as the learning rate, were also selected according to the training set. For both datasets, the training performance of an MLP trained with MSE criterion is statistically significantly worse (with 99% confidence) than an MLP trained with the CE criterion. The fact that, on these two datasets, an MLP trained with the CE criterion has a significantly lower MSE error than an MLP trained with the MSE criterion clearly denotes an optimization problem with the MLP trained with the MSE criterion.
3.1. Second Order Optimization Algorithms
To understand these differences of performances, we propose to study the local behavior of each model and its corresponding cost function. Given a model fθ(·) where we want to optimize parameters θ, and given a vector of parameters θ o , the cost function Ex ,y( θ ) = C(fθ( x ), y)) can be approximated with respect to θ around θ o , by a second order Taylor expansion:
where ∂Ex ,y( θ o )/∂ θ and Hx ,y( θ o ) are respectively the gradient and the Hessian matrix of Ex ,y with respect to θ, evaluated at θ o . We use ∥.∥2 as the Euclidean norm for vectors, and o(∥ θ − θ o ∥ 2 ) to represent a term negligible with respect to ∥ θ − θ o ∥ 2 .
Because of the lack of space we will not focus on the first derivative in this paper. Our main concern will be the study of the Hessian.
3.2. Advantage of a Block Diagonal Hessian
Let us consider a model fθ(·) where the parameter vector θ can be segmented into several sub-vectors θ = ( θ 1, θ 2 . . . θ n). Then, given a current state θ o , and if we we forget negligible terms with respect to ∥ θ − θ o ∥ 2 , the local quadratic approximation (5) can be rewritten as:
where H i,j x ,y is the matrix ∂ 2 Ex ,y ∂ θ i ∂ θ j using vectorial derivation. In the ideal case where Hx ,y is block-diagonal, that is if H i,j x ,y = 0 for i ̸= j, this leads to
4In order to have comparable results, we rescaled the output probability pθ(y| x ) of the MLP trained with the CE criterion between -1 and 1.
where
Equation (7) shows that the error function Ex ,y( θ ) can be split into n independent error functions E i x ,y ( θ i ) . In other words, the optimization of a sub-vector θ i is locally independent of the others θ j, j ̸= i. Therefore, the optimization problem is much simpler than with a full Hessian where the modification of only one parameter would also affect the modification of all others.
If Hx ,y is not truly block-diagonal, it can be shown that the more the spectral norm ∥H i,j x ,y ∥ 2 of the blocks of the Hessian outside the diagonal tends to zero, the more equation (7) is accurate, and the more training of each sub-vectors θ i becomes independent. Generally speaking, we can conclude that the more the Hessian is block-diagonal, the easier should be the training of the model.
3.3. Illustration
Let us now analyze the Hessian of the MLP given in (2) that would be respectively trained with the MSE and CE criteria. First the Hessian when trained with the MSE criterion:
Note that there is no obvious reason for this Hessian to tend to zero, whereas if we compute the Hessian with the cross-entropy (CE) criterion we get:
Here the term pθ(y| x )pθ(−y| x ) = pθ(y| x )(1 − pθ(y| x )) will tend very quickly to zero, since we are training the MLP to maximize pθ(y| x ). It will push the Hessian obtained with the CE criterion toward almost block-diagonality (one block for each pair of units, see Figure 1(b)), whereas the Hessian obtained with the MSE criterion remains full, as shown in Figure 1(a).
Note also that some researchers proposed to add a hyperbolic tangent at the output layer of the MLP proposed in (2) to improve classification performances, when training with an MSE criterion. With similar derivations, it is possible to show that this hyperbolic tangent tends to improve the block-diagonality of the Hessian, but with the drawback that this block-diagonality corresponds to a zero first derivative of the cost function with respect to the weights. Thus, we observed that the performances were in practice significantly worse than the performances of an MLP trained with the cross-entropy criterion (see [4] for more details).
4. SVM MARGIN FOR MLPS
Support Vector Machines (SVMs) [7] generally yield good performance as compared to other algorithms. Given the two-class classification problem presented in Section 2, a linear SVM finds a separating hyper-plane which maximizes the margin between this
hyper-plane and the two classes. Thus, the SVM solution is a trade-off between maximization of the margin and minimization of the classification error. More formally, given a hyper-plane fα ,b( x ) = 0 with fα ,b( x ) = α x + b (α ∈ R d , b ∈ R), the SVM problem is equivalent to minimize
where |z|+ = max(0, z), and µ ∈ R + is a constant which acts as a trade-off between the first term which corresponds to the margin maximization, and the second term which tries to force the two classes to be separated. Non-linear SVMs are obtained by projecting input vectors in a higher dimensional space, and by maximizing the margin in this higher dimensional space, using the so-called kernel trick. As MLP proposed in (2) first sends input vectors into a non-linear space using the hidden layer, and then separates the data in this space using the output layer, we could maximize the margin in the non-linear space of the MLPs, using the stochastic version of the criterion (8), as already suggested in [8]. Unfortunately, even if this criterion led in practice to similar training performances as compared to the CE criterion for µ = 0, the training was significantly slowed down for µ > 0. This could be explained with the fact that when µ > 0, we force the output weights of the MLP to be small, which reduces the gradient received by the hidden units. In order to fix this problem, we propose to use instead the following cost function:
where β ∈ R + is a hyper-parameter similar to µ, which controls the trade-off between the margin maximization and the separation conditions. After some arithmetics, we obtain the margin 2β ∥ α ∥2 . In order to guarantee that we increase this margin by increasing β, we can fix the norm ∥ α ∥2 to an arbitrary chosen value, but there is an even simpler solution: we can fix the output weights α to the same value (no training). This has a sense in our case, because it has been shown that such an MLP can approximate any kind of boolean functions, and thus, can be applied to classification [9]. In practice, these two techniques to increase the margin gave similar results in training and generalization performances. The results that will be shown in the following sections were produced by fixing the output weights to a constant.
4.1. Training Performances
Not considering the rare case yf ( x ) = 1 where the cost function is not differentiable, we can derive the following Hessian:
The Hessian of the cost function is thus completely block-diagonal, which guarantees the local independence in the training of the hidden units. This is verified in practice on the training performances, which are similar to the training performances obtained with a CE criterion, when we do not maximize the margin, that is, for small values of β.
4.2. Improving Generalization Performances
5. CONCLUSION
In this paper we have analyzed gradient descent algorithms with respect to several important aspects. As already known, the Hessian plays a major role in the effectiveness of any gradient descent algorithm. We explained why a block-diagonal Hessian should yield more efficient training algorithms. We showed on common models how the choice of the training criterion influences the Hessian matrix, and hence how to select an efficient training criterion. Finally, we introduced a new cost function for MLPs, inspired by the SVM algorithm which yields a block-diagonal Hessian and enables the control of the margin in the hidden layer space. This cost function yielded (statistically significantly) better generalization performance on two benchmark datasets in much less time than SVMs. This work shows that a carefully tuned gradient descent can still be competitive and even outperform recent machine learning algorithms in training and generalization performance, but also in training time.
6. REFERENCES
[1] C. Bishop, Neural Networks for Pattern Recognition, Oxford University Press, 1995.
[2] Y. LeCun, L. Bottou, G.B. Orr, and K.-R. M¨uller, "Efficient backprop," in Neural Networks: Tricks of the Trade, G.B. Orr and K.-R. M¨uller, Eds., pp. 9–50. Springer, 1998.
[3] T. Battiti, "First and second-order methods for learning: Between steepest descent and Newton's method," Neural Computation, vol. 4, no. 2, pp. 141–166, 1992.
[4] R. Collobert and S. Bengio, "A new margin-based criterion for efficient gradient descent," Technical Report IDIAP-RR 03-16, IDIAP, 2003.
Following the theory of Section 4, there is in practice an optimal size of the margin as suggested in Figure 2. The best generalization performances (shown in Table 2), obtained after tuning the margin and all other hyper-parameters according to the validation set, were 8.5% error on the test set of Forest and 10.3% error on the test set of Connect-4. These are great improvements (statistically significant with 99% confidence) compared to a standard CE criterion which obtained respectively 11.1% and 11.4% of testing error rates. Moreover, well tuned SVMs with RBF kernel trained using the fast SVMTorch package are significantly worse, larger and slower on these two tasks.
[5] K. Hornik, M. Stinchcombe, and H. White, "Multilayer feedforward networks are universal approximators," Neural Networks, vol. 2, pp. 359–366, 1989.
[6] R.O. Duda and P.E. Hart, Pattern Classification and Scene Analysis, Wiley, New York, 1973.
[7] V.N. Vapnik, The Nature of Statistical Learning Theory, Springer, New York, 1995.
[8] S. Zhong and J. Ghosh, "Decision boundary focused neural network classifier," in Intelligent Engineering Systems Through Artificial Neural Networks (ANNIE). 2000, ASME.
[9] P. Auer, H. Burgsteiner, and W. Maass, "Reducing communication for distributed learning in neural networks," in ICANN'2002, J. R. Dorronsoro, Ed. 2002, vol. 2415 of Lecture Notes in Computer Science, pp. 123–128, Springer.
Table 2. Test errors of several models, including SVMs. Note that all hyper-parameters, especially the number of hidden units were chosen according to validation sets.
|
Number 14January 2002
The tragedy of Bhopal revisited
T he Fact-Finding Mission (FFM), set up to investi gate the consequences of the Bhopal gas tragedy, has released three of its reports that provide evidence of continuing damage to physical and mental health of the survivors, as well as to the surrounding environment. The leakage of gaseous methyl iso-cyanate from the pesticide factory of Union Carbide (now called Dow Jones Chemicals) in Bhopal exposed 5 lakh people to poisonous chemicals, killing more than 20,000 people till date.
The report on the current environmental status in Bhopal presents evidence of alarming concentrations of a range of toxic chemicals, especially organochlorine pesticides in the soil, ground water, vegetables and mother's milk . It also underlines the ongoing and long-term damage to the health of the survivors.
The reports were released on January 12, 2002, at a function in New Delhi. Professionals of national and international repute shared the findings of their two-year long research with the leaders of Bhopal survivors' organisations and their supporters from around the country.
The FFM was set up in November 1998 in New Delhi by a group of experts and professionals with the objective of assessing the current status of survivors, the extent of environmental damage, as well as the relief and remedy efforts of the government and other agencies. The late Professor Satish Dhawan, former Chairman of the Indian Space Commission, Ms Sayeda Hameed, former Member of the National Commission for Women and Dr Sugatha Kumari, poet and social activist from Kerala, were among
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IN THIS ISSUE
1 LEADER
The tragedy of Bhopal revisited
2 FEATURES
L Waste-to-Energy: Delhi to become a dioxin chamber
L WTC toxic wreckage shipped to Inda
4 UPDATES
L Plastic industry under scrutiny: Committee headed by Justice Ranganath Mishra takes a close look at the industry
L Asbestos Committee report delayed
L Medical Waste Action Network workshop held
L Waste and its lurking health threats: Professor Peter Orris delivers a talk at IIC
L Toxics Link holds its second annual meeting
L Supreme Court fines Environment Ministry
6 FACTFILE
L Solid facts about municipal waste
6 REPORTS
L Poisoned farms – pesticides claim lives n Warangal, Andhra Pradesh
L Toxic order – Punjab and Haryana High Court issues retrogade judgement on incinerators
L Pesticide industry choking the environment – government succumbs to aggressive lobbying by the industry
L Proposed shipbreaking yard in Andhra fraught with danger
8 OBITUARY
Toxics Dispatch No 14
the advisors to the mission.
The mission drew resources from more than 30 professionals around the world. The report distinguishes itself from earlier commissions on Bhopal by taking the responsibility of implementing the recommendations of the mission. This will be done jointly with Bhopal survivors' organisations and their national and international supporters.
Union Carbide paid a pittance through a settlement with the Indian Government in 1989 and continues to abscond from the justice system in India. Last year, the Union Carbide merged with another USA-based multinational Dow Chemicals to become the second largest chemical corporation in the world. Continued evasion of criminal liability by the corporation, and the apathy of the Indian government and responsible organisations have led to a chronic medical, environmental, social and economic disaster in Bhopal.
The findings of the environmental study showed soil, ground water, vegetables and breast milk to be contaminated by heavy metals and organochlorines in varying degrees.
WASTE TO ENERGY Delhi to become a dioxin chamber!
The proposed Waste-to-Energy (WTE) plant in Ghazipur, East Delhi is being vehemently opposed by Delhi-based environmental groups. The plant will be based on gasification technology for the disposal of 1000 tonnes of waste per day. It will cost over Rs 240 crore and will generate 21.60 megawatt of electricity. The in-principle approval to the gasification-based WTE project by the Lt Governor, New Delhi government on December 5, 2001 takes no cognisance of adverse scientific facts.
Technologies like gasification produce ill-effects and contaminants similar to solid waste incinerators. Despite claims that gasification systems do not produce dioxins, a study
Toxics Dispatch No 14
The evidence suggests that toxic chemicals have not only moved across various media but have become part of the body burden. The environmental samples were analysed at the Facility of Ecological and Analytical Testing (FEAT) at IIT Kanpur and the study was coordinated by Srishti, a Delhi-based non-government organisation. The report is likely to have a significant impact on the ongoing class action suit on Bhopal in the USA courts.
The report on mental health, based on quantitative and qualitative studies carried out in Bhopal over the last two years, has found a pattern of mental illness specific to the survivors of conducted on a large-scale pilot plant operating in Burgau, Germany had found considerable levels of dioxins released in the process. In fact, the European Union and the United Kingdom Parliament classify gasification as an incineration process.
The proponents of the project claim that the garbage does not require any segregation of plastics. This not only violates the Municipal Solid Wastes (Management Handling) Rules, 2000, which stipulate segregation, and promote recycling of 'recoverable resources,' but also preempts segregation and recycling efforts being made by municipalities and communities around the country. Moreover, municipal waste contains a number of toxic materials including household insecticides, heavy metals such as lead and mercury present in batteries, fluorescent bulbs and tubes, which will all be released into the environment during the combustion process.
the disaster. Research on mental health was done by Professor R. Srinivasamurthy of the National Institute of Mental Health and Neurosciences (NIMHANS), Bangalore and Dr Amit Basu of the Jawaharlal Nehru University.
The report on Union Carbide compiled by internationally acclaimed author Tomas Mac Sheoin is based on the company's records and its filings to the USA's Environmental Protection Agency, Security Exchange Commission and other regulatory agencies. The findings indicate that the corporation remains unscathed and, in fact, in the years subsequent to the disaster grew in terms of assets and worldwide access through a series of mergers and spinoffs. The report also documents Union Carbide's unhealthy track record in occupational and environmental safety worldwide.
The FFM will release seven other reports dealing with legal, economic, medical, social and other aspects of the continuing disaster in Bhopal in June 2002.
According to the MSW Rules, 2000, it is illegal to incinerate chlorinated plastics (like PVC) and waste chemically treated with any chlorinated disinfectant. The ban on incineration of chlorinated products is to stop formation and emission of dioxins, one of the most toxic substances known to human beings. In fact, in its latest di-
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oxin reassessment, USA's Environmental Protection Agency (EPA) has stated that "dioxin is carcinogenic to humans" and the "risk of getting cancer from dioxin is 10 times higher than reported in 1994."
Incineration transfers the hazard characteristics of waste from the solid form to air, water and ash. It also introduces toxins of new kinds into the original waste stream, besides making others (like heavy metals) mobile and more leachable.
India has neither the standards nor the technical facilities to monitor and analyse dioxin emissions. In fact, laboratory and regulatory infrastructure required to monitor dioxin levels and ensure compliance with requisite legal standards are both costly and complex. For example, fewer than 50 laboratories in the world have been certified by the World Health Organisation (WHO) for the analysis of dioxins in human tissue.
In the USA, Japan and western Europe, waste combustion is the primary source of dioxin. According to the US EPA, WHO, and other scientific bodies, dioxin causes cancer, birth defects, endometriosis (an ailment involving painful menstrual cycles), lifelong damage to the immune system, decreased sperm counts, emasculation and other hormonal problems.
WTE plants are the most expensive form of waste management. Recently-built installations in Japan and the Netherlands cost around US$ 700 million (Rs 3,150 crore) each. Half of this expense is for air pollution control equipment, which, in any case, is not completely effective as evidenced by high dioxin levels in mother's milk in countries that have many incinerators. In New Jersey, USA, just five such plants have run up a debt of US$ 1.5 billion (Rs 6,750 crore), which the government must now repay.
As a result of these problems, waste combustion is falling into disfavour in the west. The USA has not built a plant in over 5 years, and there are no new proposals. Canada has not built one in 12 years, and the proportion of waste burned in Europe is steadily falling. Unable to sell their combustors in the west, large engineering firms are now looking at In-
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ment Limited (EDL) and its subsidiary Brightstar Environmental has not been approved by the Tamil Nadu Pollution Control Board. The project is based on gasification and will generate 12 to 15 megawatts of electricity at a cost of Rs 200 crore. Despite the fact that the technology is still under experimentation in Wollongong, Australia and has not been proven, it is being unethically promoted in India.
At a time when India is preparing to sign the Stockholm Convention on Persistent Organic Pollutants – a global, legally binding treaty to deal with dia and other developing nations as incinerator markets.
The Chennai WTE project of the Australian company, Energy Develop-
World Trade Center toxic wreckage shipped to India
At least 30,000 tonnes of steel scrap from the World Trade Center wreckage has been exported from US to India in the last one month. Concerns over the potential contamination of the steel scrap has alarmed trade union and environmental groups in India and the United States alike, who say that uninformed workers may be exposed to harmful toxins while handling the scrap. If the rest of the debris at 'Ground Zero' is toxic chemicals including dioxins and
furans – the project will undermine efforts to eliminate the sources of
dioxins.
any indication, it cannot be ruled out that the WTC scrap may be contaminated with cancer-causing asbestos, polychlorinated biphenyls (PCBs), dioxins, furans, mercury, lead and other heavy metals. Environmental groups and trade unions called for an immediate investigation into whether the shipments are contaminated, and a halt to further moving of the scrap until it is proven that the shipments are entirely safe for the workers handling it and the environment.
Although the trade of steel scrap is legal, the conditions under which the scrap at the World Trade Center was created raises concerns about toxic contamination. Everything in the
World Trade Center, from the mercury-containing tube lights, the carcinogenic asbestos insulation, PVC articles, and computers were incinerated after 91,000 litres of jet fuel ignited the buildings.
The first consignment of the scrap arrived in early January on board a Maltese vessel Brozna. Two other ships, Shen Quan Hai and Pindos, have subsequently arrived with a cargo of scrap. While the latter two are suspected of carrying WTC scrap, no confirmation has yet been possible.
Toxics Dispatch No 14
Plastic industry under scrutiny
The multi-billion rupee plastic lobby is out to hijack all attempts for a comprehensive plastics waste management policy, even as carry bags continue to litter waterbodies, enter cow's bellies, and the mountain of plastic bottles reaches a staggering one billion mark.
To deal with past failures, the government has currently set up a new committee under the honourable Justice Ranganathan Mishra. Though there can hardly be a better person than Justice Mishra to deal with such a contentious issue, the government thought it best to leave out any public interest representative from the group, while including the plastic industry as a member. It will be a challenge for this committee to see the problem in its entirety, and not be caught in the crossfire. The committee has been examining the issue of Extended Producer Responsibility (EPR), which necessitates the plastics industry to safely dispose plastic waste instead of limiting its responsibility to the point of sale.
Force on Plastics, set up between 1997 and 1999, accepted the industry's categorical refusal to take back used bottles even though systems like the Green Dot in Germany and the USA force them to do so.
Till now we have only got weak rules forbidding thin bags to be used for food packaging, which solves only a small part of the plastic problem.
The industry is pushing hard to bring in unsafe and high-cost technologies like incineration, since they apparently make the waste disappear. On the contrary these technologies give rise to very serious air pollution and ash disposal problems. These approaches have essentially killed the recycling sector in Europe and the US, which have recycling rates of less than 2 percent. Moreover, they are totally unsuited to India's largely organic waste.
Asbestos Committee report delayed
But the only solution that the plastics industry can offer to this mammoth problem, is to say, "Do not litter"!
Why do multinational companies, selling international brands of soft drinks, follow laws abroad which make it mandatory for used plastic bottles to be collected and recycled, but actually refuse to do the same in India. Ironically, the National Task
Toxics Dispatch No 14
Even as the 12-member committee, set up by the Union Environment Ministry and headed by Joint Secretary S Rajagopalan, debates a ban on asbestos, various state governments are using asbestos in water supply projects. Citing lack of funds, West Bengal and some other state governments are using asbestos cement pipes in water supply projects as asbestos attracts only 8 percent government duty, while steel attracts 15 percent. Annually, India uses 100, 000 tonnes of asbestos fibre. Out of this, one-fifth is mined in India and the rest, worth Rs 40-50 crore is imported.
The committee was set up in August 2001 to find out whether asbestos should be banned. It was scheduled to report to the policy implementation cell of the Commerce and Industry ministry by November 15. The committee has yet to submit the report.
Medical Waste Action Network workshop
At a workshop/conference of the Medical Waste Action Network (MAN) organised by Srishti, a Delhi-based NGO, on November 18 and 19, participants from all over the country shared their experiences and discussed the centralised facility status in the country and the status of medical waste management nationwide. There are 10 crore healthcare workers all over the world.
The emphasis of the workshop was on non-incineration practices. To begin with, MAN will concentrate on the standardisation and evaluation of the centralised facilities while building a coalition of medical associations and civil society on a priority basis.
Waste and its lurking health threats
Professor Peter Orris, Occupational and Environment Health Science, University of Illinois, School of Public Health, Chicago, USA delivered a talk on "Waste: Lurking Health Threats", at the India International Centre on November 16 as part of Toxics Link's Environment and Health Public Lecture Series. He represents Health Care Without Harm (HCWH) a US-based coalition of 300 organisations in 27 countries. The coalition is a broad-based international campaign designed to reform the environmental practices of the healthcare industry. Professor Orris advocated a needle-less system that would significantly reduce the 12 billion injections administered annually if therapeutic injections are replaced by oral medicines. He also highlighted the emerging concern arising from the generation of waste in general and healthcare waste in particular. Citing various studies, he demonstrated the serious health effects related to waste incineration.
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Toxics Link holds its second annual meeting, 2001
On December 14-16 , 2001, Toxics Link held its second annual national meeting of some of the groups working on toxics
and related issues in India. The first such meeting had been held in December 2000 at Panchgani, Pune. The meeting's objective was to understand each other's needs, evolve a mechanism for better communication, forge linkages and bring together grassroots activists from different parts of the country. The groups were diverse not only geographically, but also in their areas of work, ranging from bauxite mining, coastal highways, industrial pollution, environmental
NEW PUBLICATIONS Information pack on waste
To enhance its outreach amongst people, communities and interested groups Toxics Link, along with Srishti, has brought out a package of publications on toxics and waste entitled "Waste Management Information Kit". The package has various publications and materials on toxics, municipal waste and biomedical waste that can be used independently, or together. The kit contains a campaigner's guide to fighting incinerators entitled "Putting Out The Flames". For those interested in mu- cover the costs from the officials who were negligent". The Judges, Justice B.N. Kirpal and Justice Arijit Pasayat, observed, "it appears to us that the orders passed by this Court are not taken as seriously as they should be".
Earlier, the Solicitor General had stated that there is no information as to what happened to the imported contaminated waste oil, who had imported it, and how it was disposed of.
The case was being heard against the backdrop of the submission of the report of the High Power Committee constituted by the apex court under the chairmanship of Prof M.G.K Menon. On December 3, 2001, the court took into cognisance the largescale disappearance of waste from ports, brought to its notice by Sanjay Parikh, petitioner for RFSTE. The Union of India was asked to conduct an inquiry and file an affidavit within seven weeks, which it did not do.
policy, legislation and human rights issues.
For Toxics Link, one of the key objectives of the meeting was to understand how to effectively support its members, develop outreach, prioritize issues, and focus on groups and regions that needed more support.
Supreme Court fines Environment Ministry
Hearing the hazardous waste case filed by the Research Foundation for Science Technology and Ecology (RFSTE), the Supreme Court of India penalised the Ministry of Environment and Forests (MoEF) for non-compliance with the court's orders. In the judgement, which was passed on February 4, 2002, the court asked the Ministry to pay Rs 10,000 as costs. Further, the court said that "the government is at liberty to re-
D.N. Rao, the MoEF respondent in the case, intimated the court that the Ministry has passed an order dated January 31, 2002, constituting an eight-member committee with a timeframe of three months. This was done just days before the date of hearing. Now the Environment ministry has sought 12 weeks' time for complying.
nicipal waste there is "Making The Most Of A Mess", an informative handbook on municipal waste. The kit also contains a series of twelve illustrated handouts, bookmarks, book labels and stickers on municipal waste. Biomedical waste too has been addressed innovatively
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through a colourful poster that talks about the perils of biomedical waste and its effective management.
To obtain the kit, please contact us at: Toxics Link/Srishti, H2 Jungpura Extension, New Delhi 110 014. Tel 4320711, 4328006; Fax 4321747; E-mail email@example.com, firstname.lastname@example.org
Toxics Dispatch No 14
Solid facts about municipal waste
L About 0.1 million tonnes of municipal solid waste is generated in India every day. That is, approximately 36.5 million tonnes annually.
L Per capita waste generation in major Indian cities ranges from 200gm to 600gm.
L Difference in per capita waste generation between lower and higher income groups ranges between 180 and 800 gm per day.
L Out of the total municipal waste collected, on an average 94 percent is dumped on land and a mere 5 percent is composted.
L Urban local bodies spend approximately Rs 500 to 1,500 per tonne of solid waste for collection, transportation, treatment and disposal. About 60-70 percent of this amount is spent on collection, 20-30 percent on transportation and less than 5 percent on final disposal.
L Calorific value of Indian solid waste is between 600 and 800 kcal/kg and the density of waste is between 330 and 560 kg/m 3 .
L Between 2000 and 2025 the waste composition of Indian garbage will undergo the following change:
N Organic waste – will go up from 40 percent to 60 percent
N Plastic – will rise from 4 percent to 6 percent
N Metal: will escalate from 1 percent to 4 percent
N Glass: will increase from 2 percent to 3 percent
N Paper: will climb from 5 percent to 15 percent
L Waste collection efficiency in Indian cities ranges from 50 to 90 percent.
N Others (ash, sand, grit): will decrease from 47 percent to 12 percent
Environmental groups criticise plastic guidelines
In the recently held Technical Working Group meeting of the Basel Convention on the Control of Trans-boundary Movements of Hazardous Wastes, the plastics industry strongly lobbied for guidelines for plastic waste management. The guidelines were criticised by the environmental community for their pro-incineration, end-of-the-pipe approach, which ignored waste minimisation and avoidance clauses as demanded by the environmental groups. The Indian plastics industry has joined some 100 countries in agreeing to adopt these technical guidelines. Copies of the guidelines and a critique on them is available at Toxics Link, Delhi.
Toxics Dispatch No 14
Poisoned farms – pesticides claim lives in Warangal
Anew mysterious phenomenon has been gripping the district of Warangal, Andhra Pradesh since September 2001. Pidugu Samiah, a 40year-old cotton farmer in Warangal, Andhra Pradesh, went to his field to spray pesticide and returned home in a semi-conscious state. Within the next 12 hours he was pronounced dead at the Warangal government hospital. Penta Kumariah, a 25-yearold farmer, met with the same fate. The trend continued and the panic button was finally pressed.
Toxics Link, along with the Centre for Resource Education, Hyderabad, Sarvodaya Youth Organisation, Warangal and Community Health Cell, Bangalore visited the affected villages. The team found that the farmers in this region use pesticides regularly to protect their crop. The spraying takes place for five to six months between August and December. The pesticide is normally diluted in water (50ml in 16 litres) and sprayed by a 16-litre backpack hand pump.
The team investigated seven cases of deaths in four villages. The preliminary findings confirmed that 12 deaths had occurred due to pesticide exposure. More than 500 people were exposed and treated between August and September. Women in the villages, who mostly accompany their menfolk to the farms, complained of various gynaecological problems, including miscarriages and menstrual problems. The team is preparing its final report and recommendations.
PVC ban in Slovakia
Slovakia recently banned production, import and export of Poly Vinyl Chloride (PVC) plastic, including products from this material under Law of Waste (Slovak Republic) number 233/ 2001 Z.z., in §18, article (3) (i). The ban will go into force from January 2008. Offenders will be fined up to US $110 for violations.
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Toxic order! Punjab and Haryana High Court recommends incinerators
The recent judgement of the Punjab and Haryana High Court in favour of installation of incinerators in towns having a population of more than 5 lakh, as reported in The Tribune , January 11, 2002, will open the floodgates of toxic technology in the two states.
Instead of addressing the waste problem at its roots, the court has recommended an end-of-the pipe solution that will add to the problem, rather than solving it. Over the years various government committees – including the Burman Committee – have recommended composting and biomethanisation as methods of waste disposal. The Supreme Court judgement in the Almitra Patel case has recommended composting as an alternative to incineration. According to the report of the USA's EPA, 11 percent of cancer deaths are due to dioxins, of which incinerators are the main source.
The municipal waste contains a number of toxic materials including household insecticides; heavy metals like lead, mercury present in batteries, fluorescent bulbs and tubes, which are released into the environment during the combustion process and in the ash produced.
Even as the order of the Punjab and Haryana High Court was reported in the Indian media, the Health and Welfare Ministry of Japan informed its 47 prefectures that it will not allow new garbage incinerators to be built. The order specified that in areas where airborne dioxin concentrations exceeded specified limits there would be immediate enforcement of strictures. This restriction will put pressure on prefectures to raise their awareness regarding airborne dioxin concentration levels. A decision was made to meet the government's goal of reducing dioxin emissions by 90 percent from the 1997 level by December 2002. The goal will further be tightened to 1 to 10 nanograms from December 2002 onwards.
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Pesticide industry choking the environment
Paying its annual lip service to the issue of toxicity and ecological compatibility, the Pesticides Association of India (PAI), sought to meet the food requirements for 1.3 billion people by 2020. The PAI is unmindful of the fact that the issue is not the quantity of food alone but the quality of grains and the toxic impact on soil, water and the food chain.
Annually, the Indian pesticide industry (the largest in Asia), produces 90,000 million tones of pesticides. According to a study, 55.1 percent of farm vegetables are contaminated with pesticides and 10 percent of them exceed acceptable limits. At its 38 th annual session, PAI blamed the high incidence of pesticide related diseases on the "indiscriminate" and "injudicious" use of these chemicals. It attributed the same reason to the resistance of pests and the resurgence of diseases.
As of now, 164 pesticides are registered for use in India. There is a proposal to make the registration tices. The Food and Agriculture Organisation (FAO) of the United Nations has enough proof to indicate that our crops cannot be protected indefinitely by poisoning the 'enemy'. Such reports have not stopped the pesticide industry and the government from waging our absurd chemical war against insects. The existing laws do not deal with the problem at source, therefore, there is a need to intervene and avoid disastrous toxic consequences in the near future.
The endosulfan tragedy of Kasaragod district in Kerala is a case in point. DDT, one of the 12 most toxic Persistent Organic Pollutants (POPs) was partially banned two decades ago, but we still come across cases today where DDT is found in breast milk. The average usage of pesticides is 450 gm per kg, but since only 30 percent of our land is sprayed with pesticides, the average is dubious. The data from the International Development Research Centre, Canada shows that every year about 10,000 people die and another 400,000 suffer from various effects of pesticide poisoning in developing countries.
process for pesticides the fastest in the world. Strangely, India does not have an effective and comprehensive national pesticide policy to ensure food safety. Discounting any hazards due to pesticides in his state, P a r s o t t a m Rupala, Minister for Agriculture,
Gujarat, said that there is no incident that points to any harm due to pesticides.
The government, it seems, has succumbed to the aggressive lobbying of the Rs 3,500 crore pesticide industry and has ignored almost all linkages between pesticides, the environment and human health. Dr Norman Borlaug's green revolution technique, which the pesticide industry is parroting, has been proved to be disastrous. Rachel Carson had rightly challenged and attacked these prac-
Cases of blindness, cancer, premature delivery, abortions, deformities, diseases of liver and the nervous system from pesticide poisoning have been identified in Andhra Pradesh and Maharashtra. A number of such chemicals that are banned in western countries are being used in the third world countries on a regular basis.
Sources:
DH News Service, HABRA (West
Bengal), July 27, 2001
http://www.cas.psu.edu/docs/ casdept/ipm/history1.html
Toxics Dispatch No 14
Proposed shipbreaking yard in Andhra Pradesh breaks the spirit of the Basel Convention
The Andhra Pradesh Pollution Control Board (APPCB) has given its consent to M/s Andhra Sea Ports Limited to set up a shipbreaking yard in Vodarevu, Chirala, Prakasam district in Andhra Pradesh. The proposal is fraught with danger arising from the release of hazardous substances present in the ship's struc- ture. It is almost impossible to prevent the release of these harmful substances into the environment during breaking. Moreover, there have been various studies that have shown the dismal condition of operations at other shipbreaking yards in the country.
The proposed shipbreaking yard, divided into 60 plots, will have the capacity to handle about 240 ships per annum and will generate 3000 tonnes of steel scrap per day. A Greenpeace
study released in 2000 found that in 15 years of operation, sediments in Alang, Gujarat, are contaminated beyond levels seen in the most heavily industrialised port areas that have had more than 200 years of industrial presence.
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Toxics Dispatch No 14
Those employed in shipbreaking are prime candidates for injuries and death resulting from exposure to toxic substances and physical hazards, as seen in Alang. According to Dr. Frank Hittmann, an occupational health expert from Hamburg, Germany, one in four Alang workers can be expected to contract cancer in his lifetime due to exposure to workplace poisons. This makes the industry among the deadliest in the world.
Shipbreaking, as an activity, is currently under the scrutiny of the Supreme Court in the case of Research Foundation vs Union of India. On May 5, 1997, the court prohibited all imports of hazardous wastes in India. Also, the export of toxic ships-forscrap from the countries of Organisation of Economic Cooperation and Development (OECD) who are the main fleet owners to non-OECD countries like India is a violation of the Basel Convention.
Moreover, while issuing the consent which states that ships coming for breaking should be free of hazardous contaminants, the APPCB seems to have completely ignored the guidelines of the Central Pollution Control Board on trans-boundary movement of ships as stipulated under the Basel Convention.
Shri Anil Agarwal, an eminent environmentalist and founder, Centre for Science & Environment and editor of Down To Earth, died on January 2, 2002. A man of great energy and passion, he put the environmental cause in the national and international agenda. We deeply condole his demise.
The local groups and trade unions have sent a number of representations to the state pollution control board and the port authorities registering their protest and requesting the authorities to reverse the decision. Currently, the technical committee of the Shore Area Development Authority is evaluating the project, on the basis of which the shipbreaking yard will either be rejected or granted consent.
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Local fishermen are against the yard coming up in the area as fishing cannot coexist with ship breaking.
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AMSE JOURNALS-2016-Series: Advances B; Vol. 59; N°1; pp 189-200
Multi-objective Particle Swarm Optimization Algorithm for Recommender System
1,2Zhaoxing Li, 2Chen Li, 3Zhang Jue
1 School of Information and Science Technology, Northwest University
Xi'an, 710127, China (firstname.lastname@example.org)
2 School of Information Technology, Northwest University
Xi'an, 710127, China (email@example.com)
3 School of Information and Science Technology, Northwest University
Xi'an, 710127, China (firstname.lastname@example.org)
Abstract
This paper models the process of a recommender system as a multiobjective optimization problem, a discrete particle swarm optimization framework is established and has been integrated into multiobjective optimization, consequently, a multiobjective discrete particle swarm optimization algorithm is proposed to solve the modeled optimization problem. Each run of the current mainstream recommender algorithms can only give one recommendation scheme, while the proposed algorithm can generate a set of schemes, and it provides the decision maker with more choices, a decision maker can make use of users' registration information to choose a personalized scheme to recommend to the user. In order to check the performance of the proposed algorithm, experiments on simulated and real-world data are tested and a comparison with the classical user based collaborative filtering recommendation method is made, experiments demonstrate the effectiveness of the proposed algorithm.
Key words: Recommender system, Collaborative filtering recommendation, Multi-objective optimization, Particle swarm optimization
1. Introduction
In the 21st century, an age of information, great changes have taken place in human's traditional way of communicating, living and producing via the striking advancements of computer technology and network technology. Before, the computer and the network had not developed enough, and people had narrow channel to gain information which was not rich, either. However, with the prevailing of mobile devices and the wild spread of network, information is more available to people, which aroused a problem, namely, information overload. Currently, a new term, "Big Data", has been put forward in academia. And how to deal with such "big data" has already become another need-to-be-solved scientific problem in the interdisciplinary circles.
Big data meets the demand of information to the people, but under its circumstance, it is difficult for people to gain information that they are interested. In order to provide users with better personalized services, recommendation system came into being [1-3]. It's a system that recommends users information or products' details they might be interested. The system has become commonplace in life, news portals such as Sina and Yahoo; online shopping sites such as Jingdong and Amazon; dating sites such as Baihe and Jiayuan etc. All of them are recommendation systems, which play an important role in modern production and life. The research on recommendation system has gradually formed a relatively independent subject.
The purpose of Recommendation System is to produce recommendation to the users, while the recommendation algorithm directly affects the recommendation quality. At present, the mainstream recommendation algorithm is Collaborative Filtering (CF) recommendation algorithm [4-6]. The core of CF algorithm is that the favorite products the users who have the similar interests with the target users like are that of target users like, and the similar items with that of target users like are the ones they like. As a recommendation system designer, the hope is that the recommended items are that of the users like or they are interested in. While as a good manufacturer, they not only want to be able to recommend hot items to the users, also hope to be able to recommend users of non-hot items as much as possible.
Based on the above two considerations, a multi-objective recommendation model is presented in this paper, with which one is to optimize the accuracy of recommendation, the other is to optimize the novelty of recommendation. In this paper, a discrete particle swarm optimization framework is proposed and combines with multi-objective recommendation model as well as the discrete multi-objective particle swarm optimization algorithm is proposed to recommending models in modelling. Classical algorithm CF provides only one solution at a time, while the algorithm proposed in this paper will provide a set of solutions, each solution represents a recommended proposal, which means this algorithm is able to provide a series of alternatives for decision makers at a time. Decision makers can choose one suitable proposal based on the user's registration information for the user or select a recommendation randomly. The recommended algorithm in this paper can not only make up the shortcomings of traditional algorithm which only chase a single goal, but also more in line with the practical application. To test the performance of recommended algorithm, an algorithm test based on the simulated data and real data as well as a comparison with user-based collaborative filtering algorithm (UBCF algorithm) are carried out in this paper, which both prove the high efficiency of the algorithm presented in this paper.
2. Recommendation System And Evolutionary Optimization
Recommendation system plays a very important role in all aspects of our daily life. A general recommendation system has three important modules: user recommender module, recommended object model, recommendation algorithm. Fig. 1 shows a general model of the recommendation systems.
The recommendation algorithm in figure 1 is the core of the recommendation system, the mainstream recommendation system algorithm is mainly divided into three categories: the recommendation algorithm based on content, recommendation algorithm based on the CF and hybrid recommendation algorithm. Among them, the CF algorithm is one of the more widely used one. The most common data expression of recommendation system is users-item rating matrix R, wherein, ij r represents the likeness degree of user i to user j, and the likeness degree use 1-5 criteria, namely ij r is a number between 1 to 5.
2.1 Sub-Section A -Subtitle
PSO is a stochastic searching algorithm. PSO is an artificial intelligent optimization method and it was originated from the social behaviors such as fish schooling and bird flocking. It was proposed by Eberhart and Kennedy in 1995. Ever since its advent, PSO has now become a popular optimization technique.
PSO optimizes[7,8] a problem by having a swarm of individuals. Each individual is called a particle. A particle can learn from its neighbors so as to adjust its velocity. In PSO, the position vector of a particle simulates a candidate solution to the optimization problem. After getting a new velocity, a particle will update its position vector, in other words, a new solution is generated. Given that the size of the particle swarm is pop and the dimension of the search space is n.
Let 1 2 { , , } n i i i i V v v v and 1 2 { , , } n i i i i X x x x be the i-th (1,2 , ) i pop particle' velocity and position vectors, respectively, then the basic form of the rules for a particle i to adjust its status read:
where 1 2 { , } n i i i i P p p p is the i-th particle's personal best position and { , , } 1 2 G g g gn is the best position of the swarm. Parameter c1 and c2 are the learning factors, and r1 and r2 are two random numbers between 0 and 1.
PSO has been proved to be very promising for solving many optimization problems. A lot of creative work has been done to improve the performance of the algorithm [13, 14, 15, 16]. PSO has less parameters compared with other evolutionary algorithms. The framework of PSO is concise and it is easy to realize. However, PSO is originally designed for solving continuous optimization problems. Driven by real applications, much effort has been devoted to extending continuous PSO to discrete ones.
2.2 Multi-objective Optimization
Objective optimization problem was originated in the design of many complex systems, modelling, planning issues. Since the 1960s, multi-objective optimization problem attracted the attention of a growing number of researchers from different backgrounds. Especially in recent years, multi-objective evolutionary algorithm is to obtain the optimization of the more widely used and studied, resulting in a series of novel algorithms and get a good application. Multiobjective optimization proposition is generally no unique global optimal solution, so this is actually a multi-objective optimization proposition is often how the process of seeking Pareto set.
Traditional multi-objective algorithm is often converted into a single objective proposition after the use of sophisticated single-objective optimization algorithm, the drawback is that the optimal solution can only be determined once a solution. And now the multi-objective evolutionary strategy tends to be more parallel computing can be solved once a sufficient number of solutions distributed on the Pareto front provides decision-makers to the next decision. Which PSO as a novel evolutionary computing strategy has been more and more widely used in multi-objective optimization problem. Multi-objective optimization is described as follows:
Definition 1:
1
( )( 1,2,)
f x i
n
is the objective function;
1 ( )( 1,2, ) f x i n is the inequality constraint;
1
( )( 1,2,)
f x i
n
is the equality constraints.
Definition 2: global optimum
Given a multi-objective optimization of the overall proposition ( ), ( ) f x f x is called optimal if and only if x , have ( ) ( ) f x f x .
Multi-objective optimization goal is to get a balance between each target, so will eventually get a good solution between a set of multi-objective optimization.
3. Particle Status Update Rule
3.1 The Representation and Status Updates of Particles
For the proposed algorithm, the particle status update rules are in the similar form with that in Gong et al. [12]. The rules read as follow
In the above equations, ω is the inertia weight, c1 and c2 are the learning factors, and r1 and r2 are two random numbers within the range [0,1]. The symbol ⊕ is the XOR operator. The function φ(t) is defined as follows:
It can be seen from Eq. 3 that the obtained particle velocity vector is a binary sequence. Therefore, the key component of the algorithm lies in the design of Eq. 4. The authors have defined the symbol in Eq. 4 in the following way:
' { ',
',...,
'}
1 2
XVXxx
x
i i
i
in
i i
'
0
x x
if v ij
ij
i
x
ij
' arg max
r k N
j
( x
ik
, ) r if v
i
1
(6)
where i N is the neighbor set of node j. δ(a, b) = 1 if a = b, otherwise, 0.
The authors argue that the above defined particle position update rule makes sense, because the function arg maxr f(x) returns the value r that maximizes f(x). In other words, it assigns a node to the community that the majority of its neighbor nodes belong to. However, through our analysis we have found that this kind of update strategy may easily lead to a large connection of a community and it will eventually lead to small modularity values.
In this paper, we have redefined the position update rule in Eq. 6 .The redefined equation reads:
The above equation returns the value xik that can generate largest modularity increment when the current element xij of the position vector Xi is replaced by this vary value. To define the position update rule in this form can gain large objective function value since each step of the updating always find the community identifier that can lead to the increment of the modularity. It should be pointed out that when there are multiple xik that can generate largest modularity increment, then we randomly choose one from them.
3.2 Particle Fitness Funtion
The fitness function is to evaluate the merits of the standard particle state. A good recommendation system not only try to give users recommend users favorite items , that is, to satisfied the high accuracy and recommended recall rate , but also to try to give users recommend users may prefer new items , that is, to meet the high degree of novelty . In view of this, the recommended model for multi-objective design follows this article:
In the model, R represents the recommendation list, L represents the user preference list and |•| represents the number of elements. In the first function, f1 measures the recall rate of the recommendations; and if there are more elements in the intersection of R and L, there are more goods among recommendations that a user likes. In the second function, f2 measures the precisions of the recommendations; and if there are fewer elements in the intersection of R and L is, there are more goods among recommendations that are novel to a user. The increase of f1 will lead to the decrease of f2. Obviously, f1 and f2 satisfy the conditions of multi-objective optimization. The algorithm of this paper is aimed to design a recommendation system that can balance between the recall rate and the novelty.
3.3 Global Optimum Individual Selection
In order to make the optimization framework of discrete particle swarm apply to solve the recommendation model, a discrete recommend multi-objective particle swarm optimization algorithm was put forward by this paper. Evolution Multi-Objective Model in this paper was based on the non- dominated sorting genetic algorithm NSGAII [9]. The biggest difference between Multi-objective particle swarm optimization and single target particle swarm optimization lied in the selection of whole optimal solution, because the optimal solution in the single objective optimization had only one, while in the multi-objective optimization ,there were multiple optimal solution, how to select one from these solutions to guide the status updates of the particles was crucial, and several methods were put forward by many scholars according to the problems[10-11].
During this algorithm, random option principle was adopted by this paper, when particles updated every time, randomly choosing one from Pareto optional solution collection to be the whole optimal solution to conduct particles update process
4. Experiment Studies
4.1 Experiment Settings
In order to test the recommendation effectiveness of the algorithm in this paper, simulate data test and real data test of the algorithm will be used in this section, moreover, experimental comparison between the collaborative filtering algorithm based on users and Recommendation System algorithm. The programming language is Matlab, and programming environment is Matlab 2010, the experimental platform is a normal computer, the configuration is the Intel (R) Core (TM) i3 CPU, 3.19 GHz, 2GB memory, hard disk 500 G, the operating system is Windows 7 ultimate version. In this paper, the size of particle swarm algorithm is set to 100, external population size is set to 500, number iteration algorithm is set to 100.
Simulation data used in the experiment describes the judgment of 8 users to 8 movies, usersscoring matrix is shown in Table 1.
The real data used in the experiment is from the real film data aggregation called Minnesota collected by project team，GroupLens Research, Minnesota University. The online download link is http://www.grouplens.org/. The Movielens data adopted in this article are the grades made by 943 customers on 1682 movies. Including the lowest grade 20, the highest one 752, the total grade adds up to 100000.
Table 1. Recommended System Simulation Data
| | M1 | M2 | M3 | M4 | M5 | M6 | M7 | M8 |
|---|---|---|---|---|---|---|---|---|
| U1 | 3.5 | 2 | 4.5 | 5 | 1.5 | 2.5 | 2 | — |
| U2 | 2 | 3.5 | — | 2 | 3.5 | — | 3 | 4 |
| U3 | 5 | 1 | 3 | 5 | 1 | — | — | 1 |
| U4 | 3 | 4 | — | 3 | 4.5 | 4 | 2 | 4.5 |
| U5 | 4 | — | 4 | — | — | 4 | 1 | 1 |
| U6 | — | 4.5 | 5 | 5 | 4.5 | 4 | 4 | 4 |
| U7 | 5 | 2 | 3 | 5 | 4 | 5 | — | — |
| U8 | 3 | — | 5 | 4 | 2.5 | 3 | — | — |
4.1 Simulation Experiment Data
Figure 3 showed the PF side which was calculated from the multi-objective Particle Swarm Optimization Algorithm Recommendation System which has been proposed before in this text to do recommendation to 8 users. It can be found from the text through Figure 3 that Pareto distribution on PF side is smoother and more evenly. Every Pareto distribution represents a recommendation proposal. The arithmetic mentioned in this text could provide with a group of recommendation proposals for the decision-makers to make decision.
Due to the pursuit of accuracy of recommended system generally, in order to facilitate the comparison with the classic collaborative filtering UBCF algorithm, in this thesis，the most optimal solution based on accuracy on PF face is selected as the final results of the algorithm in this thesis.
Compared with UBCF, this algorithm involves several parameters, number of neighbors, the similarity measurement, in the simulation data experiments, these two parameters were set to 4 and cosine. Table 2 shows that the experimental comparison between algorithm in this thesis and UBCF algorithm under the recommended precision and recall rate.
Table 2 The Result Comparison between Recommendation System Algorithm Based on Multi-objective Particle Swarm Optimization and UBCF
| Precision | Algorithm | 50% | 50% | 62.5% | 75% | 62.5% | 12.5% | 37.5% |
|---|---|---|---|---|---|---|---|---|
| | UBCF | 50% | 50% | 37.5% | 75% | 37.5% | 87.5% | 62.5% |
| | Algorithm | 100% | 100% | 100% | 100% | 100% | 100% | 100% |
Due to the pursuit of accuracy of recommended system generally, in order to facilitate the comparison with the classic collaborative filtering UBCF algorithm, in this thesis，the most optimal solution based on accuracy on PF face is selected as the final results of the algorithm in this thesis.
Compared with UBCF, this algorithm involves several parameters, number of neighbors, the similarity measurement, in the simulation data experiments, these two parameters were set to 4 and cosine. Table 2 shows that the experimental comparison between algorithm in this thesis and UBCF algorithm under the recommended precision and recall rate.
As can be seen from Table 2, when the first five users are tested, whether seeing from recommended precision or recall rate, the algorithm in this thesis is superior to the classical UBCF algorithms, when the algorithm is applied to the last 3 users, the recommended accuracy of the algorithm in this thesis declined slightly.
Generally speaking, algorithm in this article keep the higher recommendation accuracy and recall rate, meanwhile, also keep the higher novelty. And the higher novelty has more advantage for the promotion of recommend system.
4.3 The Real Experiment Data
In the above section, we had the algorithm experiments based on the simulation data. This section we will carry on the text experiment to the actual recommendation system data of algorithm. Due to large amounts of the actual data and without loss of generality, this article selected the four leading users for texting. Figure 5 gives a description of the state of PF surface when recommending to users. The experiment results demonstrate that the arithmetic used in this article can obtain a relatively high degree of recommendation accuracy while ensuring a relatively high degree of recommendation novelty. The algorithm of this article could generate more recommendation plans when recommending to users who own more historical information, which is reflected in the FIG.4, 3 and 4 are redundant to the solutions of Pareto in the PF 1 and 2.
5. Conclusion
Recommender system provide a good solution to information overload, the related study of recommender has received attention from all fields of society. Here the article raised a kind of multi-object recommended model, designed a recommended model which is discrete multiobjective particle swarm optimization algorithm. The proposed recommended validity of the algorithm has been verified on both analog data and real data. In the classic contrast experiment of collaborative filtering recommendation algorithm based on users, the recommendation algorithm the article raised can provide variety of recommended proposal to the decision maker. Future work will continue to further study recommendation system algorithm. Due to the recommendation system background database is so large, it is also needed to further study the recommendation algorithm which is faster to processing a large amount of data.
Acknowledgment
This work is supported by the the Science Project of Yulin University (Grant Nos. 16GK25). The National Nature Science Foundation of China (No.11641002)
References
1. Bobadilla J, Ortega F, Hernando A, et al. Recommender systems survey[J]. Knowledge-Based Systems, 2013, 46: 109-132.
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3. Lü L, Medo M, Yeung C H, et al. Recommender systems[J]. Physics Reports, 2012, 519(1): 1-49.
4. Schafer J B, Frankowski D, Herlocker J, et al. Collaborative filtering recommender systems[M]. The adaptive web. Springer Berlin Heidelberg, 2007: 291-324.
5. Su X, Khoshgoftaar T M. A survey of collaborative filtering techniques[J]. Advances in artificial intelligence, 2009, 2009: 4.
6. Hofmann T. Latent semantic models for collaborative filtering[J]. ACM Transactions on Information Systems (TOIS), 2004, 22(1): 89-115.
7. Kennedy J, Eberhart R. Particle swarm optimization[C]//Proceedings of IEEE international conference on neural networks, 1995, 4(2): 1942-1948.
8. Clerc M. Particle swarm optimization[M]. John Wiley & Sons, 2010.
9. Deb K, Pratap A, Agarwal S, et al. A fast and elitist multiobjective genetic algorithm: NSGAII[J]. IEEE Transactions on Evolutionary Computation, 2002, 6(2): 182-197.
10. Mostaghim S, Teich J. Strategies for finding good local guides in multi-objective particle swarm optimization (MOPSO)[C]//Proceedings of the 2003 Swarm Intelligence Symposium, 2003: 26-33.
11. Villalobos-Arias M A, Pulido G T, Coello C A C. A proposal to use stripes to maintain diversity in a multi-objective particle swarm optimizer[C]//Proceedings of the 2005 Swarm Intelligence Symposium, 2005: 22-29.
12. Gong M, Cai Q, Chen X, Ma L. Complex Network Clustering by Multiobjective Discrete Particle Swarm Optimization Based on Decomposition[J]. IEEE Transactions on Evolutionary Computation, 2014, 18(1): 82-97.
13. Shi, Y., Eberhart, R., 1998. A modified particle swarm optimizer. In: Proceedings of 1998 IEEE Congress on Evolutionary Computation. pp. 69-73.
14. Shi, Y., Eberhart, R., 1999. Empirical study of particle swarm optimization. In: Proceedings of 1999 Congress on Evolutionary Computation. Vol. 3. p. 3.
15. Ting, T. O., Shi, Y., Cheng, S., Lee, S., 2012. Exponential inertia weight for particle swarm optimization. In: Advances in Swarm Intelligence. pp. 83-90.
16. Zhou, Z., Shi, Y., 2011. Inertia weight adaption in particle swarm optimization algorithm. In: Advances in Swarm Intelligence. pp. 71-79.
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The scheme lasts three years with a starting salary of £18,000, increasing as you progress.
You'll work in a team to build, design, test or implement systems, or as a field engineer you might visit clients to fix issues with their technology. You'll have the opportunity to rotate around different roles and from day one you're hired as an permanent employee so after the apprenticeship has finished, you continue being an IBMer working on meaningful projects you're inspired by. Apprenticeships at IBM are all about picking up skills for the workplace and embarking on a long, and successful career. We have your professional development in mind from the day you join us as a permanent employee. You will get lots of exposure and an experience you simply can't get anywhere else. In addition to the day job there are plenty of opportunities to get involved in social activities and volunteering with other apprentices, students and graduates.
On an IBM Apprenticeship, support comes every step of the way, with an Early Professional Manager looking after your development and assessing how you're doing. IBM Buddies are professionals you can talk to about anything you need help with and they help particularly with building your network and expertise.
To be eligible you must have at least five GCSE's at grade C or above including Maths and English and either have obtained or be predicted at least 160 UCAS points from A-levels or equivalent. You must also be authorised to work in the UK. To be eligible you need a minimum of five GCSEs at Grade 5-9 or Grade C and above (including Maths and English Language) and must have completed at least 2 years in higher education, achieving at least 64 UCAS points or equivalent.
IBM also offer the Futures (Gap Year) scheme which is a 12-month paid placement giving you experience as a taster to working in I.T. and for IBM. This is perfect if you are unsure of which career route you want to take next. IBM also offers the Futures (Gap Year) scheme, which is a 12-month paid placement giving you a taster of working in business and I.T. and for IBM. This is perfect if you are unsure of which career route you want to take next.
Resource Pack
University
Traditional degrees are still a great route into the I.T. industry with a wider array of directly related degrees than ever before.
Many employers offer specific schemes for graduates with fast track career progression in a number of roles. The application criteria and details of the scheme will depend on the individual employer.
Tips for getting an I.T. job
Research the role and the company you are applying to
It will help you stand out as a candidate if you can show that you understand what you have applied for, and you can demonstrate your particular interest and motivations based on your research.This may seem time-consuming, but sending out a high number of generic applications is unlikely to prove successful. You need to take the time to consider why you want a particular role and include evidence that supports your reasoning.
Review your application
Review your application form in detail, using a spellchecker to check your spelling and grammar. If you can, ask someone else to read through it as well. If you're applying via an online application form that doesn't have a spellchecker, copy and paste everything you have written into a document that does, and then print this out to complete final checks. It's easier to read printed copy than text on a screen.
CAREERS IN
INFORMATION TECHNOLOGY
Resource Pack
Make sure your application demonstrates your interest in IT
This is not limited to formal qualifications you are studying. Are you in a computer club at school? Have you taught yourself how to code in your spare time? Have you helped friends or family get up to speed with a new piece of tech? All of these experiences are of interest to employers and demonstrate your motivation and capability to work in the IT sector.
Demonstrate transferable skills
As well as any qualifications you are studying for, employers are interested in finding out what transferable skills you have - skills that can be useful in any role. For example, are you in a school sports team, showing long term commitment and teamwork? Have you worked in a shop, developing communication skills whilst dealing with the public, and being trusted to handle cash transactions? Are you a prefect at school, or have you organised a charity event, showing leadership and responsibility? All of these skills are of interest to employers.
Highlight all forms of work experience
As a school leaver you might think you haven't got a lot of relevant work experience, especially if you haven't yet worked in an IT related job. However, for an employer any form of work experience is of interest e.g. a week's work experience, a paper round, a weekend job in a shop, or voluntary activities in your local community. These can all help to demonstrate some of the transferable skills mentioned above. Be sure to highlight what you have learned from each experience.
In association with :
®
Tom
Project Management Officer
What made you want to apply to IBM?
I applied for IBM after attending an open evening at North Harbour, where I was able to speak to several current apprentices about topics from their roles to the company culture. I have always been interested in technology and how it can be innovated to move the world forward, so IBM (with Watson, IBM Cloud etc) seemed like a suitable place to follow this interest.
What does your job entail?
I am currently working as a PMO in the Public Sector industry, currently working on Procurement for the project (the purchasing of goods and services). This involves defining the needs of a project, attaining quotes from relevant suppliers and uploading these to internal IBM tools. I have also spent time working on project resourcing and finances.
How did you find the application process?
I found the application process challenging - but also really enjoyable! At the assessment centre I enjoyed the group tasks and the interview itself, as my interviewer gave me a fair chance to promote myself.
What have you learned from working at IBM?
From working in IBM, I have learned many things already. Two thoughts that spring to mind are, firstly that technology is evolving quicker than most realise, impacting all industries radically, a prospect that I find very interesting. Secondly, I have learned that the opportunities of being involved in companies such as IBM are endless. Regardless of qualifications, the chance to help shape the future is accessible to all who put their mind to it.
What is the culture and working environment like at IBM?
The culture at IBM is very inclusive and it feels very much as though everybody has a voice. It's also a positive that the culture is heavily focused on self development, both professionally and personally, so we're encouraged to ask questions, challenge ideas and not to let the fear of failure deter us.
What is the very best part of your job?
The best part of my job is being actively involved in meaningful, cutting edge technology that is having a genuine impact in society. The great thing about my job is that whatever project I work on is innovative, brand new and exciting - and as an apprentice I get full exposure to these environments and concepts.
INFORMATION TECHNOLOGY
What new skills have you learned in your job?
I have learned lots of skills that I didn't realise even were skills! For example, generic skills such as how to organise my days/prioritise tasks and how to communicate effectively - important skills that are overlooked. I am also learning job specific skills, such as how to use IBM tools.
Who are your role models within the business?
Within the business I have met some incredibly talented people, whom I have learned a lot from. I had the honour of meeting Bill Kelleher (General Manager of IBM UK) at an event recently and his successes have inspired me. I also find Mike Hobday, Automation Lead for Europe, very inspiring, due to the success he has and work he puts in.
What advice would you give to someone considering an apprenticeship?
Go for it. You will have exposure and opportunities to concepts, technology and situations that you won't get anywhere else. You will have a personal EPM (Early Professional Manager) assigned to you by IBM Foundation meaning you are never alone. And you will come out with a Level 4 qualification armed with priceless experience, no debt and even potentially have the possibility to go for a degree after.
In association with :
Lori
Software Developer Apprentice
®
What made you want to apply to IBM?
I applied to IBM because of its innovation. It has obtained more patents than any other company for the past 25 consecutive years, with a record 9043 patents in 2017.
I wanted to work with cutting edge technology, understanding cognitive software and having the potential for my ideas to become reality. As a result, I applied to become an IBMer.
What does your job entail?
My job at IBM is a Robotics Process Automation Developer. My daily tasks involve using software programs, such as Automation Anywhere and BluePrism, to create robots that carry out repetitive, rule based tasks, that previously required a human being to do.
How did you find out about the application process?
I found out about the IBM Apprentice Scheme through researching the best programmes in the country. I was interested in starting my career and developing my skills practically, but needed a programme that was challenging and suited my ambition. After careful consideration I realised IBM was the perfect opportunity.
INFORMATION TECHNOLOGY
What have you learned from working at IBM?
The biggest thing I learned from my experience as an IBM Apprentice is to be adaptable. As a consultant you regularly change projects, and are introduced to new environments, which require and grow different skills sets. This has made me more comfortable with 'embracing the ambiguity', increasing the breadth of my expertise as a result.
What is the culture and working environment like at IBM?
The culture at IBM is very supportive. You have an Early Professional Manager, Task Manager and Buddy to contact if you ever need help. This really helps when settling into the scheme. It is also challenging, though. You are expected to teach yourself the methodology behind many tasks you will do daily, but there is a wealth of information at your fingertips with the IBM Learning Portal.
What is the very best part of your job?
The best part of my job is how interesting it is. I get to work with exciting, new technology, as a part of dynamic, agile teams, learning new skills and developing my business network. As an IBM apprentice two days are never the same, which is a great position to be in.
What new skills have you learned in your job?
I have gained many new skills as an IBM apprentice, the main one being development. I am now qualified to create solutions using Automation Anywhere software, and am working towards the same accreditation for Blue Prism and UiPath. I also now have experience in testing. I have successfully run both blind and Monte Carlo tests for chatbot training data, analysing the results and improving them.
CAREERS IN
INFORMATION TECHNOLOGY
Who are your role models within the business?
My role model at IBM is Jon White, my Early Professional Manager. Despite being very busy, he always finds time to respond to my emails and has coached me through all issues. I have found this invaluable throughout my time on this programme, inspiring me to actively look for give back opportunities and help those I can.
What advice would you give to someone considering an apprenticeship?
My advice for young people considering apprenticeships is to do your research. There are many great apprenticeship programmes out there, but you need to carefully consider whether they are right for you, and which programme fits best. I would however recommend applying for schemes whilst you consider this, as the recruitment process can often take up to a year for major businesses.
Find out more about what IBM offers school leavers at:
More useful resources
More useful resources
Need more help with your careers choices ? Need more help with your career choices ?
You can find a wealth of help and opportunities at the following places : You can find a wealth of help and opportunities at the following places :
IBM
IBM has over 400,000 employees globally, operates in 170 countries and is the largest technology and IT organisation in the world.
TheBigChoice.com
Find quality advice and opportunities in apprenticeships, part-time jobs and training on this youth careers portal.
School Leavers Guide
This interactive app guide brings together expert advice, guidance on career steps and positions from top employers via your tablet or smartphone. This online guide, found on TheBigChoice.com, brings together expert advice, guidance on career steps, and opportunities from the UK's top employers.
National Careers Service
The official place for careers advice and information in the UK.
National Apprenticeship Service
Everything you need on apprenticeships and the best vacancies on offer.
|
AGENT ORANGE IN Thailand ASSOCIATED TO malignant lymphoma
Citation Nr: 0418252
Decision Date: 07/09/04 Archive Date: 07/21/04
DOCKET NO. 99-08 894A ) DATE
)
)
On appeal from the
Department of Veterans Affairs Regional Office in Newark, New Jersey
THE ISSUE
Entitlement to restoration of service connection for histiocytic type malignant lymphoma.
REPRESENTATION
Appellant represented by: Veterans of Foreign Wars of
the United States
WITNESS AT HEARING ON APPEAL
The veteran
ATTORNEY FOR THE BOARD
K.S. Hughes, Counsel
INTRODUCTION
The veteran served on active duty from August 1968 to August 1972.
This matter comes before the Board of Veterans' Appeals (Board) on appeal from a July 1998 rating decision of the Department of Veterans Affairs (VA) Regional Office (RO) in Newark, New Jersey, severing service connection for histiocytic type malignant lymphoma.
In connection with this appeal, the veteran testified at a Travel Board hearing before the undersigned Acting Veterans Law Judge in December 2003. A transcript of that hearing is associated with the claims file.
FINDINGS OF FACT
1. The veteran was awarded service connection for histiocytic type malignant lymphoma in a January 1995 rating decision.
2. At the time of the initial award of service connection for histiocytic type malignant lymphoma, the record contained medical evidence confirming a diagnosis of histiocytic type malignant lymphoma shortly after discharge, the veteran's plausible allegations of in-service herbicide exposure, and corroboration of the veteran's service in Thailand and his maintenance work on B-57 aircraft.
3. The January 1995 award of service connection for histiocytic type malignant lymphoma was not clearly and unmistakably erroneous.
CONCLUSION OF LAW
The criteria for severance of service connection for histiocytic type malignant lymphoma were not met. 38 U.S.C.A. § 5109A(b) (West 2002); 38 C.F.R. § 3.105(d) (2003).
REASONS AND BASES FOR FINDINGS AND CONCLUSION
On November 9, 2000, the President signed into law the Veterans Claims Assistance Act of 2000 (VCAA), which has since been codified at 38 U.S.C.A. §§ 5100, 5102, 5103, 5103A, 5106, 5107, 5126 (West 2002). This change in the law is applicable to all claims filed on or after the date of enactment of the VCAA, or filed before the date of enactment and not yet final as of that date. The Board has considered this new legislation with regard to the issue on appeal and finds that, given the favorable action taken herein, no further notification or assistance pertinent to the issue on appeal is required.
The veteran challenges the propriety of the RO's severance of service connection for histiocytic type malignant lymphoma. Once service connection has been granted, it can be severed only upon the Secretary's showing that the rating decision granting service connection was "clearly and unmistakably erroneous," and only after certain procedural safeguards have been met. 38 C.F.R. § 3.105(d); Graves v. Brown, 6 Vet. App. 166, 170-71 (1994).
The United States Court of Appeals for Veterans Claims (Court) has held that 38 C.F.R. § 3.105(d) places the same burden of proof on the VA when it seeks to sever service connection as 38 C.F.R. § 3.105(a) places upon a claimant seeking to have an unfavorable previous determination overturned. Baughman v. Derwinski, 1 Vet. App. 563, 566 (1991). Clear and unmistakable error is defined the same under 38 C.F.R. § 3.105(d) as it is under 38 C.F.R. § 3.105(a). See Venturella v. Gober, 10 Vet. App. 340, 342 (1997).
The veteran claims that he was exposed to Agent Orange at Ubon, Thailand, where he worked on airplanes which were used for spraying herbicides in Vietnam. Specifically, he states that he worked on Hayes Dispensers which were coated with a substance, which was foreign to him, and which he now believes was Agent Orange. The veteran essentially reaffirmed his contentions during his December 2003 Travel Board hearing.
The veteran's service personnel records reflect that he had one year, three months, and two days of foreign and/or sea service. These records further show that he served as a weapons mechanic at Ubon Airfield, Thailand.
Private treatment records show that the veteran complained of a mass at the right axillary region in November 1974. A December 1974 cytology and tissue examination report reflects a microscopic diagnosis of changes in lymph nodes consistent with diagnosis of lympho histiocytic type of malignant lymphoma. Subsequent medical records, including a May 1990 report of VA examination for Agent Orange, show treatment for recurrent skin lesions.
The rating decision that granted service connection for histiocytic type malignant lymphoma in 1995 listed the evidence used for the determination as the service administrative records, a May 1994 VA examination report, and private medical records. The rating decision notes that, although the veteran did not serve in Vietnam, he presented a plausible explanation as to how he could have come in contact with Agent Orange and, given the fact that he had histiocytic type malignant lymphoma diagnosed in 1974, all reasonable doubt was resolved in his favor and service connection was granted and a schedular evaluation of 30 percent was assigned.
Thereafter, in February 1995, the RO requested verification from the United States Army and Joint Services Environmental Support Group (ESG) as to the storage, handling, or use of Agent Orange at Ubon Airfield.
In May 1995, the ESG responded that herbicides were not stored or sprayed near United States personnel in Thailand and that it was unable to confirm that the veteran worked on equipment that contained Agent Orange.
In August 1995, the RO requested an advisory opinion from the Veterans Benefits Administration, Compensation and Pension Service, as to whether the January 1995 rating decision was clearly and unmistakably erroneous in granting service connection for histiocytic type malignant lymphoma.
The Director of Compensation and Pension Service subsequently replied that action to sever service connection may not be initiated unless it can be clearly established that the veteran was never exposed to herbicide agents during his military service. The RO was further advised that the burden of establishing this fact rests with VA.
In an October 1997 rating decision, the RO proposed to sever service connection for histiocytic type malignant lymphoma. The veteran was advised of the proposed severance in an October 1997 letter.
The veteran responded to the notification of the proposed severance in October 1997, stating that he was assigned to replace and inspect Hayes Dispensers while on duty in Thailand. He said that the dispensers came from Vietnam and "were coated with an oily petrol type substance" which he believed was Agent Orange. In addition, the veteran provided a copy of a performance report, dated in March 1971, which notes that he performed inspections and replacement of items on all assigned Hayes Dispensers.
In a July 1998 rating decision, the RO severed service connection for histiocytic type malignant lymphoma on the basis that "the preponderance of the evidence is unfavorable" and "the rule regarding benefit of reasonable doubt does not apply." The veteran disagreed with the July 1998 rating decision and initiated this appeal.
In a September 1999 letter to the Director, Compensation and Pension Service, the veteran's accredited representative argued that it had not been shown by VA that there was no conceivable way to maintain service connection and, thus, the severance of service connection was premature. Specifically, the veteran's representative argued that the veteran's claim of herbicide exposure as a result of contact with aircraft equipped with Hayes Dispensers had not been resolved.
In March 2000, the RO was instructed by the Director, Compensation and Pension Service, to contact the United States Armed Services Center for Unit Records Research (USASCURR) (formerly ESG) and request information about the possible contamination of the Hayes Dispensers which the veteran came into contact with during his tour in Thailand.
In October 2001, USASCURR responded that it was unable to confirm or locate documentation indicating that Ranch Hand aircraft (used to spray herbicides over South Vietnam) originated from Ubon Air Force Base in Thailand. However, USASCURR further stated that the "Hayes Company" developed the spray equipment used in the Ranch Hand defoliation program. The issue of "possible contamination" of the Hayes Dispensers with which the veteran came into contact was not addressed.
In a June 2003 Supplemental Statement of the Case, the RO again declined to restore service connection on the basis that "the evidence does not establish that the veteran was exposed to Agent Orange while in service" and the "the preponderance of the evidence is against his claim, and there is no doubt to be resolved."
The RO has simply applied the wrong legal standard. As noted previously, 38 C.F.R. § 3.105(d) mandates that there be clear and unmistakable error in the prior rating decision in order to sever service connection, and the burden is on VA to produce evidence of such error. While the RO stated "it has not been verified that the veteran handled, used, stored, or was in any way exposed to Agent Orange, or that he came into contact with equipment that may have been exposed to Agent Orange, during his service in Thailand" that statement is not correct. In fact, the veteran did come into contact with equipment that may have been exposed to Agent Orange, the Hayes Dispensers.
It is not disputed that the veteran served in Ubon, Thailand, and worked on the Hayes Dispenser weapons system on B57 aircraft. It is not disputed that the Hayes Dispenser weapons system and B57 aircraft were used in the Operation Ranch Hand defoliation program. It is not disputed that the defoliation program continued during the time period the veteran worked on the Hayes Dispenser weapons system. It is not disputed that the veteran developed a lympho histiocytic type of malignant lymphoma shortly after his discharge from active service.
On the other hand, it could not be verified that B-57G aircraft were used to spray herbicides during 1970 and 1971, and it could not be confirmed that Ranch Hand aircraft flew missions out of Ubon, Thailand.
The RO essentially used a lack of information concerning herbicide exposure as the evidence to sever service connection. This had the effect of placing the burden of proof on the veteran, impermissible under 38 C.F.R. § 3.105(d), and insufficient to justify a finding of clear and unmistakable error in the grant of service connection.
While, in hindsight, the decision to grant service connection for histiocytic type malignant lymphoma in 1995 may certainly be second-guessed, it may not be overturned based on the evidence of record. Accordingly, service connection for histiocytic type malignant lymphoma is restored. 38 U.S.C.A. § 5109A(b); 38 C.F.R. § 3.105(d).
ORDER
The appeal is granted, and service connection for histiocytic type malignant lymphoma is restored.
____________________________________________
RONALD W. SCHOLZ Acting Veterans Law Judge, Board of Veterans' Appeals
YOUR RIGHTS TO APPEAL OUR DECISION
The attached decision by the Board of Veterans' Appeals (BVA or Board) is the final decision for all issues addressed in the "Order" section of the decision. The Board may also choose to remand an issue or issues to the local VA office for additional development. If the Board did this in your case, then a "Remand" section follows the "Order." However, you cannot appeal an issue remanded to the local VA office because a remand is not a final decision. The advice below on how to appeal a claim applies only to issues that were allowed, denied, or dismissed in the "Order."
If you are satisfied with the outcome of your appeal, you do not need to do anything. We will return your file to your local VA office to implement the BVA's decision. However, if you are not satisfied with the Board's decision on any or all of the issues allowed, denied, or dismissed, you have the following options, which are listed in no particular order of importance:
? Appeal to the United States Court of Appeals for Veterans Claims (Court)
? File with the Board a motion for reconsideration of this decision
? File with the Board a motion to vacate this decision
? File with the Board a motion for revision of this decision based on clear and unmistakable error.
Although it would not affect this BVA decision, you may choose to also:
? Reopen your claim at the local VA office by submitting new and material evidence.
There is no time limit for filing a motion for reconsideration, a motion to vacate, or a motion for revision based on clear and unmistakable error with the Board, or a claim to reopen at the local VA office. None of these things is mutually exclusive - you can do all five things at the same time if you wish. However, if you file a Notice of Appeal with the Court and a motion with the Board at the same time, this may delay your case because of jurisdictional conflicts. If you file a Notice of Appeal with the Court before you file a motion with the BVA, the BVA will not be able to consider your motion without the Court's permission.
How long do I have to start my appeal to the Court? You have 120 days from the date this decision was mailed to you (as shown on the first page of this decision) to file a Notice of Appeal with the United States Court of Appeals for Veterans Claims. If you also want to file a motion for reconsideration or a motion to vacate, you will still have time to appeal to the Court. As long as you file your motion(s) with the Board within 120 days of the date this decision was mailed to you, you will then have another 120 days from the date the BVA decides the motion for reconsideration or the motion to vacate to appeal to the Court. You should know that even if you have a representative, as discussed below, it is your responsibility to make sure that your appeal to Court is filed on time.
How do I appeal to the United States Court of Appeals for Veterans Claims? Send your Notice of Appeal to the Court at:
Clerk, U.S. Court of Appeals for Veterans Claims 625 Indiana Avenue, NW, Suite 900 Washington, DC 20004-2950
You can get information about the Notice of Appeal, the procedure for filing a Notice of Appeal, the filing fee (or a motion to waive the filing fee if payment would cause financial hardship), and other matters covered by the Court's rules directly from the Court. You can also get this information from the Court's web site on the Internet at www.vetapp.uscourts.gov, and you can download forms directly from that website. The Court's facsimile number is (202) 501-5848.
To ensure full protection of your right of appeal to the Court, you must file your Notice of Appeal with the Court, not with the Board, or any other VA office.
How do I file a motion for reconsideration? You can file a motion asking the BVA to reconsider any part of this decision by writing a letter to the BVA stating why you believe that the BVA committed an obvious error of fact or law in this decision, or stating that new and material military service records have been discovered that apply to your appeal. If the BVA has decided more than one issue, be sure to tell us which issue(s) you want reconsidered. Send your letter to:
Director, Management and Administration (014) Board of Veterans' Appeals 810 Vermont Avenue, NW Washington, DC 20420
VA
FORM
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2003 (RS)
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CONTINUED
Remember, the Board places no time limit on filing a motion for reconsideration, and you can do this at any time. However, if you also plan to appeal this decision to the Court, you must file your motion within 120 days from the date of this decision.
How do I file a motion to vacate? You can file a motion asking the BVA to vacate any part of this decision by writing a letter to the BVA stating why you believe you were denied due process of law during your appeal. For example, you were denied your right to representation through action or inaction by VA personnel, you were not provided a Statement of the Case or Supplemental Statement of the Case, or you did not get a personal hearing that you requested. You can also file a motion to vacate any part of this decision on the basis that the Board allowed benefits based on false or fraudulent evidence. Send this motion to the address above for the Director, Management and Administration, at the Board. Remember, the Board places no time limit on filing a motion to vacate, and you can do this at any time. However, if you also plan to appeal this decision to the Court, you must file your motion within 120 days from the date of this decision.
How do I file a motion to revise the Board's decision on the basis of clear and unmistakable error? You can file a motion asking that the Board revise this decision if you believe that the decision is based on "clear and unmistakable error" (CUE). Send this motion to the address above for the Director, Management and Administration, at the Board. You should be careful when preparing such a motion because it must meet specific requirements, and the Board will not review a final decision on this basis more than once. You should carefully review the Board's Rules of Practice on CUE, 38 C.F.R. 20.1400 -- 20.1411, and seek help from a qualified representative before filing such a motion. See discussion on representation below. Remember, the Board places no time limit on filing a CUE review motion, and you can do this at any time.
How do I reopen my claim? You can ask your local VA office to reopen your claim by simply sending them a statement indicating that you want to reopen your claim. However, to be successful in reopening your claim, you must submit new and material evidence to that office. See 38 C.F.R. 3.156(a).
Can someone represent me in my appeal? Yes. You can always represent yourself in any claim before VA, including the BVA, but you can also appoint someone to represent you. An accredited representative of a recognized service organization may represent you free of charge. VA approves these organizations to help veterans, service members, and dependents prepare their claims and present them to VA. An accredited representative works for the service organization and knows how to prepare and present claims. You can find a listing of these organizations on the
Internet at: www.va.gov/vso. You can also choose to be represented by a private attorney or by an "agent." (An agent is a person who is not a lawyer, but is specially accredited by VA.)
If you want someone to represent you before the Court, rather than before VA, then you can get information on how to do so by writing directly to the Court. Upon request, the Court will provide you with a state-by-state listing of persons admitted to practice before the Court who have indicated their availability to represent appellants. This information is also provided on the Court's website at www.vetapp.uscourts.gov.
Do I have to pay an attorney or agent to represent me? Except for a claim involving a home or small business VA loan under Chapter 37 of title 38, United States Code, attorneys or agents cannot charge you a fee or accept payment for services they provide before the date BVA makes a final decision on your appeal. If you hire an attorney or accredited agent within 1 year of a final BVA decision, then the attorney or agent is allowed to charge you a fee for representing you before VA in most situations. An attorney can also charge you for representing you before the Court. VA cannot pay fees of attorneys or agents.
Fee for VA home and small business loan cases: An attorney or agent may charge you a reasonable fee for services involving a VA home loan or small business loan. For more information, read section 5904, title 38, United States Code.
In all cases, a copy of any fee agreement between you and an attorney or accredited agent must be sent to:
Office of the Senior Deputy Vice Chairman (012) Board of Veterans' Appeals 810 Vermont Avenue, NW Washington, DC 20420
The Board may decide, on its own, to review a fee agreement for reasonableness, or you or your attorney or agent can file a motion asking the Board to do so. Send such a motion to the address above for the Office of the Senior Deputy Vice Chairman at the Board.
VA
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WEST MIDLANDS POLICE Force Policy Document
| POLICY TITLE: |
|---|
| POLICY REFERENCE NO: |
Executive Summary
West Midlands Police is committed to protecting the rights of individuals with regard to the processing of personal data. It will comply with, and process personal data in accordance with the provisions of the Data Protection Act 1998 in all respects.
**Any enquiries in relation to this policy should be made be made directly with that of the policy contact / department shown below.
Intended Policy Audience
This policy applies to every police officer, member of police staff, police community support officer, special constable, volunteer, contractor, and approved persons working for or on behalf of West Midlands Police whether responsibilities include updating or simply using West Midlands Police information containing personal data.
| | V.1.5 |
|---|---|
| Current Version And Effective Date. | |
| Business Area Owner | |
| Department Responsible | |
| Policy Contact | |
| Policy Author | |
| Approved By | |
| Policy Initial Implementation Date | |
| Review Date | |
| Protective Marking | |
| Suitable For Publication – Freedom | |
| Of Information | |
Supporting Documents
- ACPO Data Protection Manual of Guidance Part I: Standards v5.2
- Guidance on the Management of Police Information (MoPI)
- ACPO Community Security Policy
- Government Protective Marking Scheme
- Code of Ethics (http://www.college.police.uk/docs/Code_of_Ethics.pdf)
- Data Protection e-learning D-11
Evidence Based Research
Full supporting documentation and evidence of consultation in relation to this policy including that of any version changes for implementation and review, are held with the Force Policy Co-ordinator including that of the authorised original Command Team papers.
Please Note.
PRINTED VERSIONS SHOULD NOT BE RELIED UPON. THE MOST UPTO DATE VERSION OF ANY POLICY OR DIRECTIVE CAN BE FOUND ON THE EQUIP database on the Intranet.
Force Diversity Vision Statement and Values
"Eliminate unlawful discrimination, harassment and victimisation. Advance equality of opportunity and foster good relations by embedding a culture of equality and respect that puts all of our communities, officers and staff at the heart of everything we do. Working together as one we will strive to make a difference to our service delivery by mainstreaming our organisational values"
"All members of the public and communities we serve, all police officers, special constables and police staff members shall receive equal and fair treatment regardless of, age, disability, sex, race, gender reassignment, religion/belief, sexual orientation, marriage/civil partnership and pregnancy/maternity. If you consider this policy could be improved for any of these groups please raise with the author of the policy without delay."
Code of Ethics
West Midlands Police is committed to ensuring that the Code of Ethics is not simply another piece of paper, poster or laminate, but is at the heart of every policy, procedure, decision and action in policing.
The Code of Ethics is about self-awareness, ensuring that everyone in policing feels able to always do the right thing and is confident to challenge colleagues irrespective of their rank, role or position
Every single person working in West Midlands Police is expected to adopt and adhere to the principles and standards set out in the Code.
The main purpose of the Code of Ethics is to be a guide to "good" policing, not something to punish "poor" policing.
The Code describes nine principles and ten standards of behaviour that sets and defines the exemplary standards expected of everyone who works in policing.
Please see http://www.college.police.uk/docs/Code_of_Ethics.pdf for further details.
The policy contained in this document seeks to build upon the overarching principles within the Code to further support people in the organization to do the right thing.
CONTENTS
1. INTRODUCTION
1.1. West Midlands Police has a legal obligation to comply with the Data Protection Act 1998; this Act establishes standards and governs the processing of personal data.
1.2. The Chief Constable is the Data Controller for West Midlands Police. The Data Controller has appointed a Data Protection Manager to direct the day to day operation of the Act within West Midlands Police
1.3. The Data Protection Act 1998 regulates the use of information from which a living individual can be identified. It applies to the processing of personal data (including holding, collecting, receiving, viewing, transmitting).
1.4. This policy outlines:
- How the Data Protection Act applies to employees of West Midlands Police (and any person processing personal data on our behalf);
- The responsibility of every employee of West Midlands Police under the Act who processes personal data on behalf of West Midlands Police;
- Provides basic information about how to deal with disclosures; and
- Aids the compliance aspects of the ACPO/ACPOS Community Security Policy.
The Data Protection Act and Definitions
1.5. The Data Protection Act 1998 (the Act) imposes a set of rules on all organisations that collect, process and disclose personal data. For the purpose of the Act, personal data is defined as follows:
Personal Data (or information):
1.6. Any information that may be used to identify a living individual, either from that data alone, or from that data and any other information held, or is likely to be held by the Data Controller. This includes any expression of opinion about the individual and any indication of the intentions of the Data Controller or any other person in respect of the individual. This may include information on or in:-
- Computer records and printouts
- Backup / archive systems
- Emails – Including emails of a confidential nature specifically naming individuals
- Pocket Note books
- CCTV recordings
- Word-processed documents
- Audio / Video recordings
- Some card indices
- Microfiche
- Some manual filing systems
- Radio Transmissions
- Notice Boards
- Personal files
- Internet/intranet
- Social networking sites
Data Subject:
1.7. An individual who is the subject of personal data
Sensitive Personal Data (which merits extra protection under the terms of the Act):
1.8. Personal data consisting of information as to:-
- an individual's racial or ethnic origin,
- their religious beliefs (or other similar beliefs),
- their political opinions,
- whether they are a member of a trade union,
- their sexual life,
- their physical or mental health or condition,
- proceedings for any offence committed or alleged to have been committed, the disposal of such proceedings or the sentence of any court in such proceedings.
Data Processing:
1.9. Processing in relation to information or data, means obtaining, recording or holding the information or data or carrying out any operation or set of operations on the information or data including:-
- Organising, adapting or altering the information or data;
- Retrieval, consultation or use of the information or data (which, in relation to personal data, includes using the information contained in the data);
- Disclosure of the information or data (which in relation to personal data, includes disclosing the information contained in the data) by transmission, dissemination or otherwise making available; or
Alignment, combination, blocking, erasure or destruction of the information or data
-
Data Controller
1.10. A person who (either alone or jointly or in common with other persons) determines the purpose for which and the manner in which any personal information are, or are to be, processed. The Chief Constable is the Data Controller for West Midlands Police.
2.0 DATA PROTECTION PRINCIPLES
2.0.1 All personal data must be collected, processed, maintained and disclosed in accordance with the eight Data Protection Principles (Schedule One, Part One of The Data Protection Act), which specify that personal data must:
1. Be processed fairly and lawfully;
2. Be processed for a specified purpose
3. Be adequate, relevant and not excessive
4. Be accurate and up to date
5. Not be kept longer than is necessary
6. Be processed in accordance with individual's rights
7. Be kept secure
8. Not be transferred to other countries without adequate protection
2.1 Notification
2.1.1 The national body for the supervision of Data Protection is the Information Commissioners' Office (ICO) to whom the Chief Constable notifies his purposes for processing personal data.
2.1.2 This notification process serves to provide transparency and openness about the processing of personal data. It is a fundamental principle of the Data Protection Act 1998 that the public should know, or be able to find out who is carrying out the processing of personal data and for what purpose.
2.2. Lawful Processing of Personal Data
2.2.1 The principal purpose for which West Midlands Police processes information is for a 'Policing Purpose' which is defined as:-
- Protecting life and property;
- Preventing the commission of offences;
- Preserving order;
- Bringing offenders to justice
- Any duty or responsibility arising from statute or common law
2.2.2 Data is also processed for specific purposes connected with the administration of the Force, its employees and the provision of necessary services to support the 'Policing Purpose'.
2.2.3 Access to information systems or personal data, including browsing, use or disclosure, is only permitted to employees, agents and approved persons working for or with West Midlands Police, where it is necessary in the course of their official duties for policing purposes and in accordance with Force policies and procedures.
2.2.4 Where a member of West Midlands Police is involved in or witnesses a crime or incident whilst off duty, no access to the recorded information can be made without prior authorisation from their supervisor.
2.2.5 Access to any force ICT equipment must be controlled. Only authorised users in the course of official police business should have access.
2.2.6 The use of police information systems for a private purpose or any other purpose other than that declared by the Chief Constable to the Information Commissioner is strictly prohibited.
2.2.7 It is NOT acceptable for a member of West Midlands Police to conduct checks on:
- Nominal's living in close proximity to them / family / friends;
- Prospective employees of friends or family;
- Friends or friends of family members;
- Individual applying for membership of social / other clubs;
- Individuals subject to enquiries by private detective agencies.
- The desirability of property;
- Celebrities or high profile arrests
This list is not exhaustive.
2.2.8 Deliberate unauthorised access to, copying, destruction and/or alteration of, or interference with any computer or ancillary equipment or data (soft or hard copy) is also strictly prohibited.
2.2.9 In order to meet the requirements for lawful processing, particular consideration will be given to:-
a) Confidentiality arising from the relationship between West Midlands Police and any individual;
b) The ultra vires rule and the rule relating to the excess of delegated powers, under which officers may only act within the limits of their legal powers;
c) The legitimate expectations of any individuals in relation to the processing of information about them; and
d) Article 8 of the European Convention on Human Rights (the right to respect for private and family life, home and correspondence).
2.3. Fair Processing
2.3.1 In meeting any obligation to ensure that processing of information is fair, due consideration will be given to the adoption of any recognised standards or advice to provide individuals with such information as is necessary to ensure that they are likely to understand:-
a) the purposes for which their personal data are to be processed;
b) the likely consequences of such processing and;
c) whether particular disclosures can be reasonably envisaged
2.3.2 Staff collecting information about individuals will, wherever possible, give a brief explanation as to what their information may be used for. Individuals should also be told if their information is likely to be passed to a third party.
2.4. Disclosure of Personal Data
2.4.1 Disclosure of information may take many forms, including viewing records on a terminal, computer printouts, typewritten material, by word of mouth or radio transmission including telephone and Airwave.
2.4.2 Information from police systems will, in the first instance, only be disclosed to serving officers or other police personnel who require such information in order to carry out their official duties.
2.4.3 Requests for the disclosure of any personal data will only be considered once the member of staff is fully satisfied that the requestor is authorised to receive the information.
2.4.4 Care will be taken to ensure that any disclosure is within that allowed by any prevailing policy, guidance, Information Sharing Agreement, Memorandum of Understanding or statutory obligation and is authorised at the appropriate level.
2.4.5 Further specific advice and guidance concerning any aspect of information sharing or disclosure may be obtained from the Data Protection Unit or the Information Commissioners' website.
2.5. Police Enquiries – Access to personal data held by other organisations
2.5.1 Sometimes it is necessary to seek information relevant to a police enquiry from other organisations (credit details, bank details, medical details etc)
2.5.2 In these circumstances, the organisation receiving the police enquiry may request a Section 29(3) Disclosure of Information Form (Force Standard Form WA170) stating the reason and what specific information is sought.
2.5.3 The exemption to the rules of non-disclosure, which is most likely to affect police officers, provides that personal data is exempt from the non-disclosure provisions of the Act in cases where the disclosure is for any of the following purposes:-
- the prevention and detection of crime
- the apprehension or prosecution of offenders
2.5.4 These exemptions only apply to the extent that if the data were not disclosed to the police it would be likely to prejudice police investigations.
2.5.5 It should be noted that although we are able to use Section 29(3) of the Data Protection Act for legitimate police enquiries it is still a matter for the organisation to determine whether or not to disclose the information as there is no element of compulsion in this respect.
2.5.6 For audit purposes, a copy of the request is to be kept with the associated crime papers.
2.5.7 If an Information Sharing Agreement is in existence the rules of that agreement should be followed.
Where disclosure is in the vital interest of the data subject
2.5.8 There are provisions under the Data Protection Act 1998 which cater for circumstances where there is a genuine life or death situation (severe medical emergency or a potential suicide for example) and where the usual approach for a disclosure is not possible.
2.5.9 These provisions are contained within Schedules 2 & 3 of the Data Protection Act and refer to the Vital Interests of the data subject.
2.5.10 Officers making use of this process should ensure that the events are adequately documented and retained pending any future challenge over possible unlawful processing of personal data.
Use of Section 29(3) exemption by other organisations
2.5.11 Other organisations may also request information from the police under the nondisclosure exemption provided by Section 29(3). Normally such use will be by organisations that have the ability to investigate and/or prosecute offences.
2.5.12 It should be noted that there is no obligation for West Midlands Police to comply with such a request and any disclosure must only be made in accordance with relevant Force policies and/or prevailing legislation.
2.5.13 Each request should be considered on its individual merits and disclosures made only where the relevant considerations are satisfied. The receipt of such requests together with the decision and any relevant responses should be recorded and retained on the appropriate file and available for any future audit or inspection.
2.6. Adequacy and Relevance of Data
2.6.1 The reliability of information held in police information systems depends primarily on the professional competence of police officers and staff who obtain and record information.
2.6.2 Information held on police systems must be adequate i.e. fit for purpose, unambiguous and professionally worded. All abbreviations, warning signals and information markers must comply with national standards.
2.6.3 Forms designed for the collection of information should only record that information which is pre-determined to be relevant in relation to the purpose for which it is required.
2.6.4 Criminal intelligence will be graded using the 5x5x5 evaluation system in accordance with the National Intelligence Model and Management of Police Information (MoPI) standards, which gives an indication of the quality of the information and the reliability of the source.
2.7 Accuracy of Data
2.7.1 It is the responsibility of the person who receives the original information to ensure, as far as is possible, that it is accurate, valid and up-to-date.
2.7.2 All staff will ensure wherever possible, that all information entered on police records is adequate, relevant, unambiguous and professionally worded. Where errors are found on any personal data held they will be reported to a supervisory officer and corrected at the earliest opportunity.
2.7.3 Cancellations, amendments and deletions will be carried out as a matter of priority.
2.7.4 The source of information received from an individual or from a third party will be recorded accurately. Notations of this nature will assist into any investigation, should the information or its source be challenged.
2.7.5 Where it is known that inaccurate information may have been disclosed to a third party, the corrected information will be disclosed to that party with explanation, together with any other action necessary to minimize any harm, loss or damage arising from such disclosure.
2.8. Review, Retention and Disposal of Data
2.8.1 Unless a system incorporates automatic facilities or other structured procedures, reviews of personal data must be carried out at frequent intervals to ensure immediate cancellation or amendment of unwanted or out-of-date material. This is good practice that should be applied to all information held.
2.8.2 Current procedures on the MoPI Review, Retention and Disposal (RRD) Policy and other legal requirements for the retention of documents should be referred to for further guidance on this subject.
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Exceptional Case Review
2.8.3 The processing of requests for the deletion of PNC records, fingerprints and DNA samples will be carried out in accordance with the advice and guidance provided by the ACPO Criminal Records Office (ACRO) and will be managed by the Data Protection Unit.
3.0 SUBJECT ACCESS
3.1. Under Section 7 of the Data Protection Act every individual has the right of access to their personal data. The force Subject Access policy and procedure is available separately.
3.2. As previously stated, the Information Commissioner is the body that oversees compliance with the Data Protection Act 1998. Where a data subject is unhappy with some aspect of the processing of their personal data, or a disclosure they have or have not received from the Force, they have the right of appeal to the Information Commissioner.
3.3. Any request for an assessment or correspondence from the Information Commissioner should be responded to promptly and co-ordinated through the Data Protection Manager.
4.0 FREEDOM OF INFORMATION ACT 2000 (FOI)
4.1. The FOI Act extended the provisions of the rights given under the Data Protection Act for individuals to request information held by any public sector organisations. The effect of those changes is that (subject to certain exemptions) the subject access and FOI provisions now cover most forms of information held by the Police, including computer, manual records and other media.
4.2. FOI enables any individual to request information from any UK Public Sector organisation. The FOI policy and procedure is available separately.
5.0. INFORMATION SECURITY
5.1. Principle 7 of the Data Protection Act 1998 requires that appropriate technical and organisational measures shall be taken to protect data against:
- Unauthorised access;
- Accidental loss, destruction or damage
- Unauthorised or unlawful processing;
5.2. Appropriate technical and organisational security measures will include:
a) using and developing technological solutions to ensure compliance with the data protection principles
b) using and developing physical measures to protect Force assets
c) ensuring the reliability of any persons who have access to police information
d) reporting and investigating security breaches
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5.3. These obligations include the need to consider the nature of the data to be protected and the harm that might arise from such unauthorised or unlawful processing or accidental loss, destruction or damage. The Government Protective Marking Scheme (GPMS) provides for such considerations and is adopted by West Midlands Police as part of its compliance with the ACPO Community Security Policy.
5.4. All printout material, magnetic tape, diskettes, CD's or DVD's, manual files, hand written notes etc. which contain personal data and are no longer required, will be treated as confidential waste and disposed of securely
5.5. Where processing of police data is to be carried out by a third party on behalf of the Force, the Chief Constable must ensure that the third party provides sufficient guarantees in respect of the technical and organisation measures governing
5.6. the processing to be undertaken. This means that appropriate contractual terms and conditions will be imposed on any third party data processor to ensure that they act only on instructions given by the Chief Constable in regard to that processing.
5.7. In those circumstances where West Midlands Police use the services of a third party processor but there are no financial or procurement considerations, advice will be sought from the Data Protection Manager to ensure the Chief Constables' responsibilities under the Act are fulfilled.
5.8. Good information security is also achieved through policy and procedural controls. For further guidance please refer to:-
- Force Vetting Policy
- Government Protective Marking Scheme (GPMS)
- Force Information Security Policy (FISP)
- Email Security Policy
- Records Management Policy
- Internet / Intranet Security Policy
- Police National Computer Policy
- Information Sharing Agreement Policy
- Information Disclosure Policy
- Information Management Strategy
- FOI Policy
- Social Networking Policy
- Confidential / Secure Waste Policy
5.9. In accordance with the Force Information Security Policy all members of the Force should note and report any breach of information security or suspected security weakness as quickly as possible through line management channels to the Information Security Officer. Under no circumstances should users attempt to prove a suspected weakness.
5.1 Audit and Monitoring
5.1.1 In order to ensure compliance with the Data Protection Act 1998, the Code of Practice on the Management of Police Information and other relevant standards for the management of police information, the Chief Constable is obliged to have an audit regime to measure performance to comply with legislative and policy requirements and thereby help in endorsing the effectiveness and efficiency of operational policy.
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5.1.2 The purpose of the Audit is to provide a systematic and independent examination to determine whether activities involving the processing of police information are carried out in accordance with the organisation's policies and procedures and whether this processing meets the requirements of relevant legislation and standards.
5.1.3 The Force Record Manager will develop a Strategic Audit Programme and annual plan from comprehensive risk analysis in accordance with the framework and standards provided by the ACPO Data Protection Manual of Guidance Part II; Audit and the Home Office.
5.1.4 This will determine the nature and scope of the audit, taking into account available resources and provide a strategy which will form the basis of audit activity for the period under consideration. This Strategy will be subject to annual review and lead to a documented Strategic Audit Plan which will outline:
- Areas to be audited;
- Resource allocation
- Target dates and;
5.1.5 It is recognised that limited resources may restrict the number of applications or systems, which may be audited. However, the decision regarding which applications or systems will be audited and the scope and frequency of such audit will be subject to a formal risk assessment process and current business needs.
5.1.6 The Strategic Audit Programme and annual plan will be subject to review and approval by the Strategic Information Board chaired by the Chief Information Officer. The Plan and associated risk analysis documentation will be available for inspection by external auditors as required.
5.1.7 Individual audits (as specified in the Strategic Audit Programme) will be subject to a separate planning process, with the aim of performing the audit in an effective and efficient manner. The audit plan will set out the follow:
- The scope and objectives of the audit;
- Audit programme (detailing error classification and audit tests to be carried out);
- Conduct/methodology (e.g. sample size, sample selection) of the audit;
- Resource allocation and target timescales
5.1.8 The Audit programme will be supplemented by quality assurance and monitoring processes undertaken by supervisors and managers in each business area.
5.1.9 Transaction checks will also be carried out on a regular basis in order to:-
- Deter and detect unauthorised access to police information or systems;
- To ensure that all required transaction fields are completed to provide an adequate audit trail for retrospective investigations into transactions that have been carried out.
- To raise staff awareness of data protection issues and maintain public confidence in the use of police information and
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5.2 Legislative Requirements/National Guidance/Policy Requirement
5.2.1 West Midlands Police recognises that personal data is a primary asset to the Force. The legal basis for this policy is the Data Protection Act 1998 which provides the legal parameters for the processing of personal data.
5.2.2 However, compliance with other legislation, Codes of Practice, policies and guidance also has relevance, such as:
- The Freedom of Information Act 2000
- The Copyright, Designs and Patents Act 1988
- The Computer Misuse Act 1990
- The Official Secrets Acts and
- The Crime and Disorder Act 1998
- The Code of Practice on the Management of Police Information
- Human Rights Act 1998
- ACPO Data Protection Manual of Guidance
- Rehabilitation of Offenders Act 1974
5.2.3 All systems must also comply with the relevant ACPO policy including:-
- ACPO Community Security Policy
- Police National Standard Operating Rules applicable to all Police computer applications.
5.3. Criminal Offences, Liability and Compliance
5.3.1 There are a number of criminal offences contained within the Data Protection Act 1998. The Data Controller is guilty of an offence if they:
- Are processing without notification;
- Fail to comply with written requests for particulars;
- Fail to notify the Commissioner of changes required to update the notification register entry;
- Fail to comply with an enforcement notice/information notice/special information notice;
- Intentionally obstruct, or fail to give reasonable assistance in the execution of a warrant.
- Knowingly or recklessly make a false statement in compliance with an enforcement notice or special information notice;
5.3.2 All employees of West Midlands Police can be personally criminally liable if they disclose or obtain personal data without the authority of the Data Controller. To make, or encourage another person to make an unauthorised disclosure knowingly or recklessly may result in criminal liability. The offences that apply are Section 55 of the Data Protection Act and are as follows:-
a) Without the consent of the Data Controller, knowingly or recklessly to unlawfully obtain or disclose personal data or the information contained in personal data.
b) Without the consent of the Data Controller to knowingly or recklessly procure the disclosure to another person of the information contained in personal data.
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5.3.3 It is also an offence for any person to sell personal data if it has been obtained in contravention of the above.
5.3.4 Examples of relevant activities that may amount to an offence include, but are not limited to:
- Browse 999 calls/other information for personal interest/out of curiosity;
- Disclose information to a friend who works for a partner agency and is seeking information about an individual (without going through the designated Information Sharing Agreement/procedures);
- Access crime or intelligence nominal records/other information to check the progress of a family matter, advise a concerned relative of their partner's background, check their daughter's new boyfriend's history;
- Offer to sell police intelligence to a member of a criminal gang;
- Obtain personal data using the s29(3) exemption form to obtain bank details for own purposes.
- Remove confidential waste/computer printouts to show family members;
Monetary Penalty Notice
5.3.5 Under sections 55A and 55B of the Data Protection Act 1998 introduced by the Criminal Justice and Immigration Act 2008, the ICO may, in certain circumstances, serve a monetary penalty notice on a data controller.
5.3.6 A monetary penalty notice is a notice requiring a data controller to pay a monetary penalty of an amount determined by the ICO and specified in the notice. The amount of the monetary penalty determined by the ICO can not exceed £500,000.
5.3.7 The ICO may impose a monetary penalty notice if a data controller has seriously contravened the data protection principles and the contravention was of a kind likely to cause substantial damage or substantial distress. In addition the contravention must either have been deliberate or the data controller must have known or ought to have known that there was a risk that a contravention would occur and failed to take reasonable steps to prevent it.
Other Relevant Offences
5.3.8 It should be noted that the misuse of official personal data can also be dealt with as an offence of 'Misconduct in Public Office', which can attract a custodial sentence.
5.3.9 The Computer Misuse Act also contains offences relating to the unauthorised access to information (not limited to personal data) and includes accessing information held in systems that the offender has authorised access to for official purposes, but where the access on the relevant occasion was unauthorised.
5.3.10 In addition, the Freedom of Information Act 2000 creates the following offence in relation to personal data:
Section 77: Altering, defacing, blocking, erasing, or concealing any record to prevent disclosure under Section 7 of the Act which refers to Subject Access.
5.4. Breaches of the Data Protection Act.
5.4.1 All breaches or suspected breaches of the Data Protection Act 1998 must be reported promptly to the Professional Standards Department.
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5.4.2 The ACPO Data Protection Manual of Guidance sets out the procedures for the recording and handling of allegations of criminal offences committed in contravention of the Data Protection Act 1998. It describes the role of the police and the ICO and the actions to be taken when criminal offences under the Act are suspected.
5.5 Roles and Responsibilities
5.5.1 Data Controller:
The Data Controller is the person who (either alone or jointly or in common with other persons) determines the purposes and manner for which any personal data are, or are to be, processed. The Chief Constable is the Data Controller for West Midlands Police.
5.5.2 Data Protection Manager
Within West Midlands Police, this is an appointed police staff member within Information Services and is responsible for managing the Chief Constable's statutory obligations in respect of the Data Protection Act inclusive of the notification to the Information Commissioner of the processing of personal information
5.5.3 All Managers/Supervisors:
It is the responsibility of all Officers and staff who have a supervisory role to ensure that their staff operate within the terms of the Data Protection Act and any associated Force policies and procedural guidance. This must include regular checks of work to identify training and development needs in this area and to ensure that the quality of Force information assets is of a high standard.
5.5.4 All Staff
Every police officer, member of police staff, police community support officer, special constable, volunteer, data processor, contractor and approved persons working for or on behalf of West Midlands Police having access to personal data is required to comply with the requirements of the Data Protection Act and guidance contained in operating rules, conventions, policies and procedures for each system or business area designed to help achieve compliance.
6. EQUALITY IMPACT ASSESSMENT (EQIA).
6.1.
The Policy has been reviewed and drafted against all protected characteristics in accordance with the Public Sector Equality Duty embodied in the Equality Act 2010.
The policy has therefore been Equality Impact Assessed to show how WMP has evidenced ‘due regard’ to the need to:
- Eliminate discrimination, harassment, and victimisation.
- Advance equality of opportunity between persons who share a relevant protected characteristic and persons who do not share it.
- Foster good relations between persons who share a relevant protected characteristic and persons who do not share it.
Supporting documentation in the form of an EQIA has been completed and is available for viewing in conjunction with this Policy.
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7. HUMAN RIGHTS
7.1 This policy has been implemented and reviewed in accordance with that set out with the European Convention and principles provided by the Human Rights Act 1998. The application of this policy has no differential impact on any of the articles within the Act. However, failure as to its implementation would impact on the core duties and values of WMP (and its partners), to uphold the law and serve/protect all members of its community (and beyond) from harm.
8. FREEDOM OF INFORMATION (FOI)
8.1 Public disclosure of this policy document is determined by the Force Policy Coordinator on agreement with its owner. Version 1.5 of this policy has been GPMS marked as not protectively marked.
8.2 Public disclosure does not automatically apply to supporting Force policies, directives and associated guidance documents, and in all cases the necessary advice should be sought prior to disclosure to any one of these associated documents.
| Which exemptions apply and to | Whole | Section |
|---|---|---|
| which section of the document? | document | number |
9. TRAINING
9.1. Successful completion of the on-line NCALT training 'Lawful Handling of Information' is a pre-requisite to obtain access to force systems including obtaining an email account.
9.2. This training is an introduction to the Data Protection Act, the Freedom of Information Act and to Information Assurance (including the GPMS). It is designed to assist police officers and staff to meet their responsibilities with regards to the information contained within police systems.
9.3. The course is an on-line, self-teach programme, delivered via NCALT and can be accessed from any terminal connected to the Intranet, anywhere in the force, at any time of day.
9.4. All details of training commenced, progress, and completion are held centrally and accessible by the Data Protection Manager.
9.5. Non-completion will result in the individual being denied access to the force network and all systems until the training is completed. In this event, the individuals line manager / supervisor should assess the risk of leaving the individual in any role with unsupervised access to personal data and take action accordingly.
9.6. Individuals who re-join the force in a new role i.e. as a special constable; or who have had a break in service of more than 6 months, or are returning from long term sick are required to repeat the training.
9.7. All Managers and supervisors should encourage individuals to refresh their knowledge of data protection and the requirements the Act places upon them at every opportunity.
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10. PROMOTION / DISTRIBUTION & MARKETING
10.1. The following methods will be adopted to ensure full knowledge of the Policy: Details of this policy will be available on the force Intranet within the force policy portal and specific guidance available from the Data protection Unit, Information Services.
11. REVIEW
11.1 The Policy business owner maintains outright ownership of the policy and any other associated documents and in-turn delegate responsibility to the department/unit responsible for its continued monitoring.
11.2 The policy should be considered a 'living document' and subject to regular review to reflect upon any Force, Home Office/ACPO, legislative changes, good practice (learning the lessons) both locally and nationally, etc.
11.3 A formal review of the Policy document, including that of any other potential impacts i.e. EQIA, will be conducted by the date shown as indicated on the first page.
11.4 Any amendments to the Policy will be conducted and evidenced through the Force Policy Co-ordinator and set out within the version control template.
11.5 Feedback is always welcomed by that of the author/owner and/or Force Policy Coordinator as to the content and layout of the policy document and any potential improvements.
CHIEF CONSTABLE
12. VERSION HISTORY
| | Version | | Date | | Reason for Change | Amended/Agreed by. |
|---|---|---|---|---|---|---|
| 1.1 | | 05/09/12 | | Policy Review (supersedes Part 1 order 14/2000) | | |
| 1.2 | | 18/09/12 | | Presentation amendments | | |
| 1.3 | | 03/01/2013 | | To Command Team for approval | | |
| 1.4 | | 11.01.2013 | | To CC for authorisation | | |
| 1.5 | | 12/01/2015 | | Review; section 9 updated to include Lawful of Handling Information training. | | |
| 1.5 | | 13/01/2015 | | Formatting adjusted before publication, Standard Code of Ethics section included | | |
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TOWN OF TROY 654 GLOVER ROAD
REGULAR TOWN BOARD MEETING – December 14 th , 2017
Chairperson, Dan Pearson convened the regular Town Board meeting on Thursday, December 14 th , 2017 at 7:00 p.m. Supervisors Ray Knapp, Suzanne Van Mele, and Jason. Kjos were present. Supervisor Jan Cuccia was absent.
Staff present: Jill Berke, Rob Jones and Ron Roen. Attorney's Ron Siler, Gwen Kuchevar and Catherine Munkittrick arrived later in the meeting.
The following people signed the attendance sheet: No one. Others were present that did not sign the attendance sheet.
APPOINTMENT OF CLERK/TREASURER – S. Van Mele moved to appoint Jennifer Clark for another 3-year term to begin December 14 th , 2017. Seconded by J. Kjos. Motion carried.
Town Chair, Dan Pearson administered the official oath of office.
APPROVE MINUTES – The November 9 th , 2017 Regular Town Board and November 16 th , 2017 Special Town Board meeting minutes were distributed to the board.
S. Van Mele moved to approve the minutes of November 9 th , 2017. Seconded by J. Kjos. R. Knapp abstained. Motion carried.
J. Kjos moved to approve the meeting minutes of the Special Town Board meeting on November 16 th , 2017 as presented. Seconded by S. Van Mele. R. Knapp abstained. Motion carried.
CITIZEN INPUT –Ben Fochs, 680 County Rd MM. 1) Thanked the board for their work through the annexation lawsuit 2) Feels his address is still a concern as GPS is unable to find his residence. 3) Expressed concern with the River Falls transit.
Chris Kusilek, owner of Total Excavating, wanted to discuss the Glover Road project and disparities of quantities as well as request a reduction in project retainage. He also expressed his displeasure over the lack of communication between Cedar Corp. and Total Excavating throughout the project. Chris and Travis Ostby, project manager will return after closed session.
PARK BOARD REPORT – J. Berke provided the November Park Board report.
PARK RANGER, HUMANE OFFICER & SHERIFF REPORTS – Copies of the Park Ranger, Humane Officer and Sheriff's reports were distributed and reviewed by the board.
Ranger R. Roen provided the Park Ranger Report.
ZONING ADMINISTRATOR REPORT – Cedar Corp provided a written and oral report of zoning activity.
DISCUSS AND CONSIDER FIRE WELL PROTECTION PROJECT – ADDITIONAL WORK
PERFORMED – R. Jones began the discussion by explaining that as part of the original site plan bid, it was anticipated that the site plan contractor would perform the work related to running the irrigation line under the road bed to the well. The work scope was beyond the capability of BS Construction and it was
recommended that Kimmes-Bauer perform the work. BS Construction reduced their submitted expense by $495.00. Kimmes-Bauer completed the work at a cost of $5,776.95.
R. Knapp moved to approve the Kimmes-Bauer Irrigation Invoice Number #43270 for $5,776.95. Seconded by J. Kjos. Discussion followed. S. Van Mele moved to amend motion to include a bill be sent to Cliff Jennings for $1,000. Amendment failed due to lack of 2 nd . Roll call vote on the original motion was taken: R. Knapp – Yes; S. Van Mele – No; D. Pearson – Yes and J. Kjos – Yes. Motion carried
S. Van Mele moved to send a bill to Cliff Jennings for $1,000 as his portion of payment for the invoice for Kimmes-Bauer in the amount of $5,776.95. Seconded by R. Knapp. Discussion followed. Motion failed.
DISCUSS AND CONSIDER 2018 TOWN OF TROY AND CITY OF HUDSON FIRE
PROTECTION CONTRACT – J. Kjos moved to approve the 2018 Town of Troy and City of Hudson Fire Protection Contract as presented. Seconded by R. Knapp. Roll call vote taken: R. Knapp – Yes; S. Van Mele – Yes; D. Pearson – Yes and J. Kjos – Yes. Motion carried.
DISCUSS AND CONSIDER 2018 EMERGENCY MEDICAL AND AMBULANCE SERVICE CONTRACT WITH THE TOWN OF TROY AND CITY OF HUDSON – J. Kjos moved to approve the 2018 Emergency Medical and Ambulance Service Contract with the Town of Troy and City of Hudson as presented. Seconded by S. Van Mele. Roll call vote taken: R. Knapp – Yes; S. Van Mele – Yes; D. Pearson – Yes and J. Kjos – Yes. Motion carried.
DISCUSS AND CONSIDER LETTER OF UNDERSTANDING FOR IMPOUND HOUSING SERVICES WITH THE ANIMAL HUMANE SOCIETY – S. Van Mele moved to approve the Letter of Understanding for Impound Housing Services with the Animal Humane Society. Seconded by J. Kjos. Roll call vote taken: R. Knapp – Yes; S. Van Mele – Yes; D. Pearson – Yes and J. Kjos – Yes. Motion carried.
DISCUSS AND CONSIDER TOWN BUSINESS OWNERS POLICY AND WORKERS COMPENSATION AND EMPLOYERS LIABILITY – The Town Board reviewed the updated policy with the changes discussed and approved at the November Town Board meeting.
DISCUSS AND CONSIDER DESIGNATION OF PUBLIC DEPOSITORIES – R. Knapp moved to adopt
TOWN OF TROY RESOLUTION 2017-09 RESOLUTION DESIGNATING PULIC DEPOSITORY OR DEPOSITORIES Town of Troy St. Croix County
The Town Board of the Town of Troy, St. Croix County, Wisconsin, by this resolution, adopted by a majority of the town board on a roll call vote with a quorum present and voting and proper notice having been given, resolves and orders as follows:
The following financial institution(s) is designated as the public depository or are designated public depositories for the Town of Troy:
Citizens State Bank 375 Stageline Road Hudson, WI 54016
First American Bank
2424 Monetary Blvd
Suite 107
Hudson, WI 54016
The town clerk shall properly post or publish this resolution as required under s. 60.80 Wis. stats.
Seconded by S. Van Mele. Roll call vote taken: R. Knapp – Yes; S. Van Mele – Yes; D. Pearson – Yes and J. Kjos – Yes. Motion carried.
EMPLOYEE COMPENSATION REVIEW, RECOMMENDATION AND POSSIBLE ACTION- S.
Van Mele moved to accept the recommended increases in wages for 2018 compensation rates as proposed by D. Pearson and S. Van Mele, as the committee assigned. Seconded by J. Kjos. Motion carried.
APPOINTMENT OF ELECTION INSPECTORS – R. Knapp moved to approve the 2018/2019 election Inspectors as presented by the Town Clerk on attachment #15. Seconded by S. Van Mele. Motion carried.
MOBILE HOME COURT LICENSES – J. Kjos moved to approve the Mobile Home Court Licenses for Mike Hilbelink for Hilltop Partnership and Aaron Cudd for Country Cove Court. Seconded by S. Van Mele. Motion carried.
APPROVE TOWN CALENDAR – The board reviewed the proposed 2018 Town Calendar.
UTILITY PERMITS – R. Jones provided the annual summary for 2017 as no new utility permits were issued in the 4 th quarter.
BUILDING PERMITS –
DRIVEWAY PERMITS –
CLERK/TREASURER REPORT – Copies of the bank account reconciliations, impact fee summary, legal and engineering, and 2017 budget to actual summary reports were distributed and reviewed by the board. J. Clark reported that Nomination Papers need to be received by January 2 nd, 2018 by 5:00pm for the (2) open Town Board seats. Non-Candidacy papers have been received from J. Kjos and R. Knapp.
APPROVE BILLS – J. Kjos moved approve check #28287 – check #28363 including the Elan payment for a grand total of $164,054.81. Seconded by S. Van Mele. Roll call vote taken: R. Knapp – Yes; S. Van Mele – Yes; D. Pearson – Yes and J. Kjos – Yes. Motion carried.
CORRESPONDENCE – Correspondence was reviewed by the board.
COMMITTEE REPORTS – None
MOVE INTO CLOSED SESSION PURSUANT TO WISCONSIN STATE STATUTES §19.85(1)€ FOR THE PURPOSE OF DELIBERATING OR NEGOTIATING THE PURCHASE OF PUBLIC PROPERTIES, THE INVESTING OF PUBLIC FUNDS, OR CONDUCTING OTHER SPECIFIED PUBLIC BUSINESS WHENEVER COMPETITIVE OR BARGAINING REASONS REQUIRE, REGARDING THE GLOVER ROAD CONSTRUCTION PROJECT AND OVERAGE BEING CHARGED BY TOTAL EXCAVATING
AND
MOVE INTO CLOSED SESSION PURSUANT TO WISCONSIN STATE STATUTES §19.85(1)(g) TO CONFER WITH THE TOWN'S LEGAL COUNSEL WHO WILL RENDER ORAL OR WRITTEN ADVICE CONCERNING STRATEGIES TO BE ADOPTED BY THE TOWN BOARD WITH RESPECT TO THE TOWN'S LEGAL ACTION AGAINST THE CITY OF RIVER FALLS CONTESTING THE CITY'S ANNEXATION OF NONCONTIGUOUS LAND IN MANN VALLEY AND THE CITY'S REZONING OF A PORTION OF THE ANNEXED AREA FROM EXCLUSIVE AG TO AN INDUSTRIAL ZONE – J. Kjos moved to go into closed session pursuant to Wisconsin State Statutes §19.85(1)(e) for the purpose of deliberating or negotiating the purchase of public properties, the investing of public funds, or conducting other specified public business whenever competitive or bargaining reasons require, regarding the Glover Road reconstruction project aned overages being charged by Total Excavating; and to move into closed session pursuant to Wisconsin State Statutes §19.85(1)(g) to confer with the Town's legal counsel who will render oral or written advice concerning strategies to be adopted by the Town Board with respect to the Town's legal action against the City of River Falls contesting the City's annexation of noncontiguous land in Mann Valley and the City's rezoning of a portion of the annexed area from Exclusive Ag to an Industrial Zone
Seconded by S. Van Mele. Roll call vote taken: R. Knapp – Yes; S. Van Mele – Yes; D. Pearson – Yes and J. Kjos – Yes. Motion carried.
RECONVENE INTO OPEN SESSION TO TAKE ACTION ON CLOSED SESSION ITEMS, AS NECESSARY – J. Kjos moved to end closed session. Seconded by S. Van Mele. Roll call vote taken: R. Knapp – Yes; S. Van Mele – Yes; D. Pearson – Yes and J. Kjos – Yes. Motion carried.
No action taken in closed session.
Chris Kusilek and Travis Ostby, returned for further discussion regarding the Glover Road reconstruction project.
J. Kjos moved to add quantities in the construction contract of 14,632 yards in both common excavating and granular sub-base categories at the agreed upon contract per unit price and process that through the normal process and add that net amount to the $29,111.83 that is undisputed. Seconded by S. Van Mele. Discussion followed. R. Knapp clarified that the payment being made tonight does not reflect the idea that the board is necessarily agreeing to additional payments for excavating and filling. This payment is not intended to end the negotiating process. Roll call vote taken: R. Knapp – Yes; S. Van Mele – Yes; D. Pearson – Yes and J. Kjos – Yes. Motion carried.
ADJOURN - J. Kjos moved to adjourn. Seconded by S. Van Mele. Motion carried.
The meeting adjourned at 11:43 p.m.
These minutes were taken at a meeting of the Troy Town Board on the 14 th day of December 2017.
__________________________________
Jennifer Clark, Clerk/Treasurer
__________________________________
Jan Cuccia, Town Vice-Chairperson
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How long will it take to achieve universal primary and secondary education?
Co-organized by :
How long will it take to achieve universal primary and secondary education?
Technical background note for the Framework for Action on the post-2015 education agenda
May 2015
Introduction
This note is a contribution of the EFA Global Monitoring Report team to the Framework for Action document for the post-2015 education agenda, which will be discussed at the World Education Forum in Incheon, Republic of Korea. It is based on and extends a background paper to the 2015 EFA Global Monitoring Report (Lange, 2015).
This short paper uses evidence from recent household surveys to project future trends in primary, lower secondary and upper secondary education completion rates in low and middle income countries. The results of this projection exercise indicate how long it is likely to take for universal completion to be achieved at each respective level of education for different groupings of countries. The analysis seeks to inform on-going discussions around the feasibility of achieving the currently proposed global education targets by 2030.
In addition, as in the case of the MDGs, there is some confusion regarding the relationship between, on the one hand, global targets and, on the other hand, targets that would apply to the circumstances of individual countries. In principle, according to one of the architects of the MDGs, such confusion should not exist:
"Global targets apply at the global level. Unfortunately, the global MDG canon has turned them into yardsticks for measuring and judging performance at the national level. Hence the MDG debate suffers from misplaced concreteness. Interpretation of the MDGs as one-size-fits-all targets neglects the historical background of each country (…) Performance can be measured by absolute or relative benchmarks. Both are valid but neither gives a complete picture. Most MDGs are expressed in relative terms, such as reducing poverty by half (…) Since proportional changes tend to be inversely related to the initial situation, the misinterpretation of the MDGs as one-size-fits-all targets puts the least developed and the low income countries at a disadvantage. Global goals and targets were earlier expressed in either absolute terms or as combined relative and absolute benchmarks."
Source: Vandemoortele and Delamonica, 2010.
In other words, global targets were mistakenly considered as applicable to individual countries as well. This should be avoided in the development of the post-2015 agenda. And yet there is an expectation that the global target framework be used as a basis to develop consistent national targets as part of an accountability process. This note therefore also aims to inform a discussion about target setting at the level of individual countries and country groups.
The two sections that follow describe the data sources and main results. A concluding section discusses some caveats and tentative implications.
1. Data and indicators
The analysis in this note is based on data from the Demographic and Health Survey, Multiple Indicator Cluster Survey, and national household surveys from 78 of the 142 low- and middle-income countries, which represent 88% of the total population. The surveys were carried out between 2008 and 2013 (see Annex 1). These surveys are also used for the World Inequality Database in Education (www.education-inequalities.org).
Three indicators are considered, namely the fraction of a cohort that has completed primary, lower secondary and upper secondary school respectively. In the remainder of this note, the three completion rate indicators refer respectively to the three-year age group of individuals who were 3-5 years older than the official age of entry into the last grade of the respective education level. For example, in the case of primary education, if the official age of entry into the last grade of primary school is 11 years, the completion rate is calculated over the age group 14 to 16 years. 1 The reason is that in many countries late entry means that the completion rate does not peak until well after the official expected graduation age.
Ideally, historic completion rates would be available through surveys for every country and every year. In the absence of such data, a retrospective / pseudo-cohort approach is followed to re-create the evolution of completion rates. In other words, if the primary education completion rate in year t is calculated over the age group 14 to 16 years, the completion rate for year t-1 is calculated over the age group 15 to 17 years and so on. This approach leads to potential selectivity problems. For example, more educated people have a higher life expectancy and may be overrepresented in older cohorts, although this problem is partly overcome by focusing only on cohorts going back no more than 20 years where differential mortality rates are too small to bias the results. Conversely, more educated people have a higher chance of emigrating to high income countries and may be under-represented in older cohorts, although this bias is also small and can be safely ignored.
A source of potentially more serious bias is the fact that children enrol in school late and/or tend to repeat grades in relatively large numbers in some countries. As a result, for example, they have not reached the final grade of primary even by the age of 14. The completion rate therefore appears to be slowing down at the younger ages, when in fact all that is captured is delayed completion of an education level. For that reason, observations for up to three of the most recent years are trimmed if they are lower by at least three percentage points relative to the maximum level observed to prevent an artificial bias from being introduced. The estimation for the three completion rates is based on a balanced panel of observations from the period 1992-2008 for these 78 countries.
2. Results
Annex 2 presents the methodology. The model allows the average transition speed towards universal primary, lower secondary and upper secondary completion to be calculated. This is done by regressing the transformed indicator on time and on a complete set of country fixed effects. The resulting estimates are 0.050 for primary completion, 0.046 for lower secondary completion, and 0.039 for upper secondary completion, and are highly significant. This means that countries that have a primary completion rate close to zero have on average a cohorton-cohort change of about 5 percent. We can use this estimate to plot the average transition curve (Figure 1).
1. The relevant age group for calculating the lower (upper) secondary completion rate would be 17 to 19 years (20 to 22 years) if the official age of entry into the last grade of lower (upper) secondary school were 14 years (17 years).
2. http://esa.un.org/wpp/ASCII-Data/ASCII_FILES/WPP2012_DB04_POPULATION_ANNUAL.CSV
FIGURE 1
Projected completion rates by country income group and level, 2010-2100
Four curves are plotted for each of the three completion rates over the period 2010-2100 according to the World Bank country income group classification (June 2013): low income countries, lower middle income countries, upper middle income countries, and all low and middle income countries. Results are weighted with the projected population until 2100 for each country using the World Population Prospects (2012 Update) of the United Nations Population Division. 2 As the share of today's low income countries in the total population is expected to grow, the average for all low and middle income countries is pulled closer to the low income country average from 2030 onwards.
TABLE 1
Projected completion rates (2015, 2030 and 2050) and year of achieving 95%-97% completion rates
| | Low income | Lower middle income | Upper middle income | Low & middle income | Low income | Lower middle income | Upper middle income | Low & middle income | Low income | Lower middle income | Upper middle income |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2015 (%) | 64 | 85 | 96 | 84 | 39 | 68 | 86 | 67 | 18 | 39 | 50 |
| 2030 (%) | 76 | 92 | 98 | 89 | 50 | 80 | 92 | 76 | 26 | 52 | 63 |
| 2050 (%) | 87 | 96 | 99 | 94 | 66 | 90 | 96 | 85 | 38 | 70 | 78 |
| 95% | 2073 | 2042 | 2010 | 2053 | after 2100 | 2067 | 2044 | 2086 | after 2100 | after 2100 | 2094 |
| 97% | 2085 | 2054 | 2021 | 2066 | after 2100 | 2079 | 2056 | 2100 | after 2100 | after 2100 | after 2100 |
The following table summarises the results (Table 1). Neither universal lower secondary nor universal upper secondary will be reached by 2030 at recent rates of progress. For example, it is projected that across low and middle income countries, the lower secondary completion rate will be 76% in 2030, while a rate of 95% will only be achieved in the 2080s. Likewise, it is projected that across low and middle income countries, the upper secondary completion rate will be 50% in 2030, while a rate of 95% will not be achieved before the end of the century. This should not come as a surprise. High income countries are still far from achieving universal upper secondary completion education rates. For example, among the 28 European Union countries, only 79% of 20-24 year olds
3. http://ec.europa.eu/eurostat/tgm/table.do?tab=table&init=1&language=en&pcode=tps00186&plugin=1
attained upper secondary education in 2010. 3 Annex 3 presents the equivalent results broken down by region (which only apply to low and middle income countries in the respective regions).
Note that the results are somewhat pessimistic for two reasons. First, the projected completion rates refer to the above-mentioned (older) age groups. In practice, the primary completion rate of 14-16 year olds is achieved four years earlier if problems of late enrolment and repetition are overcome; and, in fact, the completion rate refers to the cohort of individuals born 15 years earlier. In other words, the projected primary completion rate in 2030 for all low and middle income countries will be: 87% for those aged 14-16 in 2030; 89% if the cohort completes their education in time (i.e. by age 11); and 92% for those children born in 2030.
Second, the results exclude high income countries: if the calculations include the latter, then these targets will be achieved at the global level a few years earlier than indicated above.
3. Discussion
The above results suggest that the currently proposed targets are too optimistic given recent rates of progress. The unfinished business, i.e. universal primary education, will be achieved at best only in the early 2050s. A completion rate of 95% in lower education secondary will be reached at best in the late 2080s, while the Open Working Group Target 4.1 of universal upper secondary education will not be achieved this century in low and middle income countries.
Nevertheless, it is important to keep in mind some limitations of these indicative projections. First, as mentioned above, the projections are based on recent trends; they are not forecasts. Yet, these countries have seen some major changes since 2000 and are called upon to intensify their efforts after 2015. These projections may not be capturing the effects of the most recent changes and do not capture the anticipated changes post-2015; therefore they should be seen as the baseline scenario, in other words a picture of how completion rates will evolve if nothing else changes.
Second, the projections are based on a very simple model. They are, in effect, linear projections based on a particular transformation of completion rates. This model (i) accounts well for historical rates well and (ii) has some theoretical basis embedded in the human capital approach (Clemens, 2004). However, the model may not be capturing important non-linearities, for example in the relationship between income and schooling (i.e. if the income elasticity of demand for schooling is context-specific, households more likely to face credit constraints may exhibit a higher elasticity).
Last but not least, projecting current low rates in some countries to a point beyond 2050 is highly uncertain. Nevertheless, they do put into perspective the level of ambition embedded in the agenda under discussion. For example, they raise the question of what level of mobilisation will make it possible to bring forward the achievement of universal lower secondary education by 60 years.
The projections also highlight that achieving a global target and achieving national targets are two issues that should be treated separately. For example, the achievement of a lower secondary education completion rate of 68% in low and middle income countries by 2030 on average is compatible with the fact that one in four of these countries will have completion rates below 50%.
The household surveys used as sources in this note are not always recognised by the respective governments as their official source of information on educational progress. More work would be needed at the country level to cross-check these results with other sources of information.
This brief note shows that in deciding how different countries should contribute to reaching the global target, two parameters will need to be taken into account. First, countries follow an S-shaped path to universal completion; therefore a simple relative target (e.g. halve the proportion of the cohort who do not attain, say, lower secondary education) will not be fair. Second, the overall influence of low income countries on the chances of achieving a global target will grow, as their share of global population will grow disproportionately; therefore, demographic projections will need to be taken into account.
REFERENCES
1. Clemens, M. 2004. The Long Walk to School: International Education Goals in Historical Perspective Washington, DC, Center for Global Development. (Working Paper 37.)
2. Lange, S. 2015. Have Education Goals Accelerated Progress? Background paper for 2015 Education For All Global Monitoring Report
EFA Global Monitoring Report c/o UNESCO 7, place de Fontenoy 75352 Paris 07 SP, France Email: email@example.com
3. Meyer, J. W., F. O. Ramirez and Y. N. Soysal. 1992. World Expansion of Mass Education, 1870-1980. Sociology of Education, Vol. 65, No. 2, pp. 128-149
4. Vandemoortele, J. and E. Delamonica. 2010. Taking the MDGs Beyond 2015: Hasten Slowly. Poverty in Focus. Number 19. http://www.ipc-undp.org/pub/IPCPovertyInFocus19.pdf
Tel: +33 (1) 45 68 10 36
Fax: +33 (1) 45 68 56 41
www.efareport.unesco.org
Developed by an independent team and published by UNESCO, the Education for All Global Monitoring Report is an authoritative reference that aims to inform, influence and sustain genuine commitment towards Education for All.
© UNESCO ED/WEF2015/REF/11
Annex 1: Sources
| COUNTRY | SURVEY | YEAR |
|---|---|---|
| Afghanistan | MICS | 2010 |
| Albania | DHS | 2008 |
| Argentina | EPH | 2012 |
| Armenia | DHS | 2010 |
| Bangladesh | DHS | 2011 |
| Belarus | MICS | 2012 |
| Belize | MICS | 2011 |
| Benin | DHS | 2011 |
| Bhutan | MICS | 2010 |
| Bolivia, P. S. | DHS | 2008 |
| Bosnia and Herzegovina | MICS | 2011 |
| Brazil | PNAD | 2012 |
| Burkina Faso | DHS | 2010 |
| Burundi | DHS | 2010 |
| Cambodia | DHS | 2010 |
| Cameroon | DHS | 2011 |
| Central African Republic | MICS | 2010 |
| Chad | MICS | 2010 |
| China | CHNHS | 2009 |
| Colombia | DHS | 2010 |
| Congo | DHS | 2011 |
| Costa Rica | MICS | 2011 |
| Côte d’Ivoire | DHS | 2011 |
| D. R. Congo | MICS | 2010 |
| Ecuador | ENEMDU | 2013 |
| Egypt | DHS | 2008 |
| Ethiopia | DHS | 2011 |
| Gabon | DHS | 2012 |
| Ghana | MICS | 2011 |
| Guatemala | ENCOVI | 2011 |
| Guinea | DHS | 2012 |
| Guyana | DHS | 2009 |
| Haiti | DHS | 2012 |
| Honduras | DHS | 2011 |
| India | NSS | 2011 |
| Indonesia | DHS | 2012 |
| Iraq | MICS | 2011 |
| Jamaica | MICS | 2012 |
| Jordan | DHS | 2012 |
| COUNTRY | SURVEY |
|---|---|
| Kazakhstan | MICS |
| Kenya | DHS |
| Kyrgyzstan | DHS |
| Lao PDR | MICS |
| Lesotho | DHS |
| Madagascar | DHS |
| Malawi | DHS |
| Maldives | DHS |
| Mali | DHS |
| Mexico | ENIGH |
| Mongolia | MICS |
| Morocco | HYS |
| Mozambique | DHS |
| Nepal | DHS |
| Nicaragua | ENMV |
| Niger | DHS |
| Nigeria | DHS |
| Pakistan | DHS |
| Palestine | MICS |
| Peru | DHS |
| Philippines | DHS |
| Rwanda | DHS |
| Sao Tome and Principe | DHS |
| Senegal | DHS |
| Serbia | MICS |
| Sierra Leone | MICS |
| South Africa | GHS |
| Suriname | MICS |
| Swaziland | MICS |
| Tajikistan | DHS |
| TFYR Macedonia | MICS |
| Timor-Leste | DHS |
| Togo | MICS |
| Tunisia | MICS |
| U. R. Tanzania | DHS |
| Uganda | DHS |
| Ukraine | MICS |
| Viet Nam | MICS |
| Zimbabwe | DHS |
Annex 2: Methodology
All three completion indicators are bounded between zero and one. In order to account for floor and ceiling effects, the logistic growth (or S-shaped) model is estimated (e.g. Meyer et al., 1992; Clemens, 2004). For example, progress towards education indicators is more difficult to achieve, and therefore slows down, the closer a country gets to universal completion (e.g. getting the last children to complete primary education) 4 .
This logistic growth-model is based on two-parameters:
y = 1 / (1 + e)
where β determines the slope of the S-shaped function and a its point of inflection. The greatest changes in absolute terms are observed when yt = 0.5. Taking the derivative of with respect to t yields:
Changes in relative terms are approaching zero as yt → 1. In what follows, β is referred to as the transition speed but is actually the rate at which the indicator changes initially, when yt is close to zero. A uniform transition speed was imposed across countries. Re-arranging the first equation, replacing −βa = α, a country-specific intercept, and adding the error term, we obtain:
it
where i and t are subscripts referring to countries and years respectively. The left hand-side maps from the unitinterval, on which the indicator is defined, onto the real line. This motivates the introduction of country-fixed effects αi: introducing a country-specific intercept is equivalent to shifting the regression line for each country horizontally, accounting thus for country-specific levels of educational completion at a given point in time. If yit is interpreted as the probability that a member of cohort t attains, for example, primary education, then the left hand-side of the equation can be interpreted as minus the logarithm of the inverse odds of attaining a particular level of education. Coefficient estimates can thus be interpreted as the change in this quantity as the variable changes by one unit. In particular, β can be interpreted as an estimate of the annual percentage change in the odds 5 .
4. While the ceiling effects for primary and lower secondary education have been observed for richer countries and is therefore safe to assume that a similar path will be followed by poorer countries, it is not entirely certain that the same will be the case for upper secondary education, as no country has achieved universal completion so far.
5. In some cases, completion rates are very close to one. For that reason, weights were applied w = y (1 − y), which gave little weight to observations close to zero or one and maximum weight to observations on rates around 0.5.
Annex 3: Results by region
FIGURE A1
Projected completion rates by region and level, 2010-2100
TABLE A1
Projected completion rates (2015, 2030 and 2050) and year of achieving 95%-97% completion rates
| | Sub-Saharan Africa | South/ West Asia | Latin America/ Caribbean | East Asia/ Pacific | Sub-Saharan Africa | South/ West Asia | Latin America/ Caribbean | East Asia/ Pacific | Sub-Saharan Africa | South/ West Asia | Latin America/ Caribbean |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2015 (%) | 68 | 82 | 93 | 96 | 44 | 65 | 77 | 85 | 27 | 30 | 47 |
| 2030 (%) | 79 | 90 | 96 | 98 | 56 | 78 | 86 | 92 | 37 | 43 | 60 |
| 2050 (%) | 90 | 96 | 99 | 99 | 72 | 90 | 94 | 96 | 51 | 60 | 75 |
| 95% | 2068 | 2046 | 2023 | 2006 | after 2100 | 2068 | 2056 | 2044 | after 2100 | after 2100 | after 2100 |
| 97% | 2079 | 2057 | 2034 | 2020 | after 2100 | 2080 | 2068 | 2056 | after 2100 | after 2100 | after 2100 |
Note: The estimates are representative of the low and middle income countries in each region. In the case of East Asia and the Pacific, they are therefore not inclusive of high income countries such as Australia and Japan.
|
Stephen Simmons v. State of Maryland, No. 29, September Term 2013, Opinion by Greene, J.
CRIMINAL LAW – DOUBLE JEOPARDY – MANIFEST NECESSITY
There is no abuse of discretion in granting a mistrial two days after defense counsel made an improper comment during opening statements and the court gave an immediate curative instruction, where the trial judge carefully weighed the prejudice generated by the improper statement against the effectiveness of the curative instruction in negating the prejudice and the State's ability to proceed with a fair trial.
IN THE COURT OF APPEALS OF MARYLAND
No. 29 September Term, 2013
STEPHEN SIMMONS
v.
STATE OF MARYLAND
```
Barbera, C.J. Harrell Battaglia Greene Adkins McDonald Cathell, Dale R. (Retired, Specially Assigned),
```
```
JJ. Opinion by Greene, J.
```
Filed: December 18, 2013
"In criminal prosecutions, the polygraph test is a pariah; 'polygraph' is a dirty word." State v. Hawkins, 326 Md. 270, 275, 604 A.2d 489, 492 (1992). In this case, we consider whether defense counsel's reference, during opening statement, to his client's willingness to take a lie detector test creates manifest necessity for a mistrial, where the trial judge gave a curative instruction to the jury immediately following the improper reference and the prosecutor did not request a mistrial for reason of that improper remark until two days further into the trial. We shall affirm the judgment of the Court of Special Appeals and hold that the trial judge did not abuse his discretion in granting a mistrial two days after the improper statement and immediate curative instruction.
I. FACTUAL AND PROCEDURAL HISTORY
Petitioner Stephen Simmons was charged in the Circuit Court for Prince George's County with murder and other related offenses arising out of the shooting death of Christopher Wright on July 1, 2009. On that date, Petitioner was standing outside the apartment building where the victim and his roommate, Razaq Sarumi, resided. Simmons became angry after Sarumi spit out of his apartment window overlooking the building entrance where Simmons was standing. Sarumi joined Simmons outside, where the two engaged verbally. Simmons displayed a firearm, began "rubbing" it, and then went into an apartment on the first floor of the building. He shortly returned outside with the gun and fired one shot, which grazed Sarumi's leg. After he was shot, Sarumi ran toward the road and heard more shots in the building. He turned around and saw Simmons come out of the building and fire a shot from the sidewalk. Sarumi ran across the road, got in a car with some friends also present during the incident, and began driving to the hospital. None of the witnesses saw the shooting of Wright or who shot him, but he was dead when the police arrived. Simmons was arrested in connection with this incident. He was held for a nearly ten hour recorded interrogation and gave the police a taped statement. During the interrogation, Simmons offered to take a lie detector test. No test was ever performed.
Prior to trial, Simmons moved to suppress the taped statement given to police during his interrogation, arguing that it was involuntary. After a hearing on June 11, 2010, the
Circuit Court denied the motion to suppress. Trial began on August 16, 2010. Defense counsel’s opening statement proceeded as follows:
[DEFENSE COUNSEL]: You will hear that when my client was arrested, he was held for ten hours in a frigid interrogation room. He was given no food. He was allowed to make no phone calls. He had no grandmother or paid lawyers rushing down to help him. He was entirely alone. And a rotation of experienced homicide detectives tried every trick in the book to try to get Stephen Simmons to admit that he had shot Christopher Wright.
They even lied to him. They told Stephen Simmons that Christopher Wright had survived and had identified him as the shooter. But even though he was shivering cold, he was exhausted and utterly alone, Stephen Simmons had one thing on his side that protected him. He was actually innocent of the death—
[PROSECUTOR]: Objection.
[DEFENSE COUNSEL]:—of Christopher Wright.
THE COURT: The objection is sustained as to innocence. The State's burden is to prove guilt beyond a reasonable doubt. That's a factual issue for you. The assertions by the attorneys are to be ignored in that regard.
You may continue, counsel.
2
You will hear him protest his innocence through the long hours of questioning, tell the detectives over and over again the one thing that he knew to be true, "I did not shoot that man. I did not shoot that man." Stephen Simmons offered to take a lie detector test.
[PROSECUTOR]: Objection.
THE COURT: The objection is sustained. Let me just tell you jurors when all the evidence begins, you’re going to have to consider the evidence as opposed
to what counsel says, what the State says, and what the defense says. But I sustained the objection with regard to the reference to a lie detector test.
That's not something you can consider. It's not something you can be permitted to consider.
(Emphasis added). The State made no further objection to defense counsel's reference to a lie detector test and did not protest the adequacy or effectiveness of the court’s instruction.
Between the first two days of trial, August 16 and 17, 2010, the State presented the testimony of four witnesses. On August 17, 2010, the court recessed early, around 1:00 PM, to consider
the admissibility of testimony by the State's firearms expert, which was ultimately excluded.
At the beginning of proceedings on August 18, 2010, the State moved for a mistrial claiming that defense counsel's reference to the lie detector test had prejudiced the jury, such prejudice could not be overcome, and the State was deprived of a fair trial. The prosecutor acknowledged the time delay between the improper statement and the motion for mistrial, stating that he "spent all night thinking about whether to make this motion." Defense counsel objected to the motion, arguing that any prejudice arising from his "fleeting reference" to the lie detector test was cured by the court's immediate instruction, and suggested that the prosecutor's timing in requesting a mistrial was evidence of an improper motive on the part of the State, particularly where the motion for a mistrial came immediately after the court excluded the State's firearms expert.
In considering the motion for mistrial, the trial judge stated that "[t]he State made a timely objection[.]" He then "characterized the [c]ourt's response to be somewhat of a blurt, so to speak, in an effort to cure what the [c]ourt accepts as an absolute transgression as to presenting to a jury the notion that that which is inadmissible might be considered." The trial judge then granted the State's motion, stating:
An opening statement is a powerful setting when counsel has the opportunity to introduce into the minds of the jury what will and what will not be presented to them in determining the issues in the case. The [c]ourt would accept that a lot of flourish is allowed with regard to opening statements and closing arguments, but the [c]ourt believes that each counsel is charged with respecting and appreciating certain limits.
In this particular instance, we're dealing with a statement not made by a witness, not unexpectedly presented by a witness, but a statement carefully made as part of a preview of the evidence to the jury. Indeed, considering that the jury has no right to expect that Mr. Simmons would testify, and that even if he were to testify, his testimony would be, "I did not shoot anyone," the statement, in effect, constituted a substitute for the defendant's testimony.
The [c]ourt, especially upon the cross-examination quite skillful of Mr. Sarumi, is satisfied that credibility is central to the prosecution of this case. It's central to the defense of the case. The [c]ourt considers the motion to be timely. The [c]ourt believes that the prejudice to the State's ability to have a fair trial is clear, because in a case so close as this, that relies upon the credibility of witnesses, there is no way to erase the potential infection of the jurors' minds as to, well, he offered to take a lie detector test. That satisfies it for me. It may not be articulated, but that might be the determining factor.
The [c]ourt finds that as a matter of manifest necessity, a mistrial must be declared to ensure that the State is not deprived of a fair trial, and to ensure that the jurors are not permitted to allow knowledge that there was an offer of a lie detector test to cause them to find that the State was not able to meet its burden.
A mistrial is declared.
Petitioner thereafter filed a "Motion to Dismiss," arguing that retrial was prohibited under double jeopardy principles. The trial court denied the motion the same day. On appeal, the Court of Special Appeals affirmed the judgment of the trial court, holding that the trial judge did not abuse his discretion in determining that manifest necessity existed for a mistrial and therefore double jeopardy principles do not prevent a retrial. Simmons v. State, 208 Md. App. 677, 694-95, 57 A.3d 541, 551 (2012). We granted certiorari, Simmons v. State, 431 Md. 219, 64 A.3d 496 (2013), to answer the following question:
Did manifest necessity exist to justify the declaration of a mistrial in a case where during defense counsel's opening statement the jury was told that Petitioner had offered to take a lie detector test, where the prosecutor's objection to that statement was sustained and an immediate curative jury instruction was given, and where the prosecutor waited to request a mistrial for two days, until after four State witnesses had testified and after the trial court had ruled that an expert witness for the State would not be allowed to testify?
We shall affirm the judgment of the Court of Special Appeals, and hold that there was no abuse of discretion by the trial judge in making a determination of manifest necessity to declare a mistrial where the trial court considered its own previously issued curative instruction and found that it was insufficient to cure the prejudice caused by defense counsel's improper remark.
II. DISCUSSION
Petitioner argues that there existed no manifest necessity for a mistrial because the trial judge's immediate curative instruction was a reasonable alternative to the declaration of a mistrial. He contends that the instruction apparently satisfied the prosecutor, because the prosecutor did not protest the adequacy or effectiveness of the trial court's instruction or ask for further relief at the time of the statement, and did not request a mistrial until two days later. In addition, Petitioner asserts that the instruction apparently satisfied the trial judge, because the trial court could have declared a mistrial sua sponte in the immediate aftermath, but chose to give a curative instruction instead.
On the other hand, Respondent argues that the curative instruction is not a reasonable alternative–"the bell cannot be unrung"–and therefore the trial judge did not abuse his discretion in making a determination of manifest necessity at the time he did. As the trial court observed, Respondent continues, "defense counsel's remarks were an effort to establish the credibility of [Petitioner's] claims of innocence without even the assurance that [Petitioner] would take the stand and expose his claims to cross-examination." Thus, Respondent contends, defense counsel placed highly prejudicial, inadmissible evidence before the jury in his opening statement, which "was tantamount to improper vouching, effectively stating to the jury that the offer to take a lie detector test was proof of his client's innocence[,]" therefore, the trial court's instruction was not enough to cure the prejudice and manifest necessity existed to grant a mistrial.
A. Standard of Review
As a threshold matter, we address the appropriate standard to guide our analysis. The parties before us disagree on this issue. Petitioner urges us to review the trial judge's finding of manifest necessity for legal correctness, meanwhile Respondent contends that we should review this case for an abuse of discretion. Petitioner relies on State v. Fennell, 431 Md. 500, 66 A.3d 630 (2013) for the proposition that "[a]lthough we accord great deference to the decision of a trial judge . . . whether there was a manifest necessity for a mistrial implicates principles of double jeopardy. We review without deference, considering the totality of the circumstances, the legal conclusions of the trial court." 431 Md. at 513, 66 A.3d at 638 (reviewing a grant of mistrial where the trial judge concluded that the jury was unlikely to reach a unanimous decision on all counts). Despite this language, the Court in Fennell applied an abuse of discretion analysis, holding that "before a proper finding of manifest necessity for a mistrial could have been made, the trial judge should have inquired into the jury's status of unanimity prior to its discharge. Failure to do so was an abuse of discretion[.]" 431 Md. at 526, 66 A.3d at 646 (emphasis added).
Moreover, our cases make clear that we apply the abuse of discretion standard of review in cases of mistrial. "It is well-settled that a decision to grant a mistrial lies within the sound discretion of the trial judge and that the trial judge's determination will not be disturbed on appeal unless there is abuse of discretion." Carter v. State, 366 Md. 574, 589, 785 A.2d 348, 356 (2001). "In the environment of the trial the trial court is peculiarly in a superior position to judge the effect of any of the alleged improper remarks." Wilhelm v. State, 272 Md. 404, 429, 326 A.2d 707, 723 (1974). "The judge is physically on the scene, able to observe matters not usually reflected in a cold record. The judge is able . . . to note the reaction of the jurors and counsel to inadmissible matters. That is to say, the judge has his finger on the pulse of the trial." Hawkins, 326 Md. at 278, 604 A.2d at 489.
Reading Fennell along with both United States Supreme Court precedent and our own prior case law demonstrates that although a reviewing court should not simply "rubber stamp" a trial judge's ruling of a mistrial, the trial judge is "far more 'conversant with the factors relevant to the determination' than any reviewing court can possibly be" and, therefore, we review the trial judge's grant of a mistrial for abuse of discretion. Arizona v. Washington, 434 U.S. 497, 514, 98 S. Ct. 824, 834, 54 L. Ed. 2d 717, 733 (1978) (citing Wade v. Hunter, 336 U.S. 684, 687, 69 S. Ct. 834, 836, 93 L. Ed. 974, 976 (1949)); Watters v. State, 328 Md. 38, 50, 612 A.2d 1288, 1294 (1992), cert. denied, 507 U.S. 1024, 113 S. Ct. 1832, 123 L. Ed. 2d 460 (1993) ("[A] trial judge is ordinarily in a uniquely superior position to gauge the potential for prejudice in a particular case, and therefore to determine whether a mistrial is appropriate or required."). That is, we look to whether the trial judge's exercise of discretion was "manifestly unreasonable, or exercised on untenable grounds, or for untenable reasons." Stabb v. State, 423 Md. 454, 465, 31 A.3d 922, 928 (2011) (citations and quotations omitted); Wilson v. John Crane, Inc., 385 Md. 185, 198, 867 A.2d 1077, 1084 (2005) ("There is an abuse of discretion where no reasonable person would take the view adopted by the trial court . . . or when the court acts without reference to any guiding rules or principles. . . . or when the ruling is violative of fact and logic.") (citations and quotations omitted).
B. Double Jeopardy
The Double Jeopardy Clause of the Fifth Amendment to the United States Constitution, made applicable to the states through the Fourteenth Amendment, provides that, ". . . nor shall any person be subject for the same offense to be twice put in jeopardy of life or limb." See Benton v. Maryland, 395 U.S. 784, 89 S. Ct. 2056, 23 L. Ed. 2d 707 (1969). Although there is no double jeopardy clause in the Maryland Constitution, it is well established that "Maryland common law double jeopardy principles also 'protect an accused against twice being put in jeopardy for the same offense.'" State v. Woodson, 338 Md. 322, 328, 658 A.2d 272, 276 (1995) (quoting Gianiny v. State, 320 Md. 337, 342, 577 A.2d 795, 797 (1990). In a jury trial, the Double Jeopardy Clause generally bars the retrial of a criminal defendant for the same offense once a jury has been empaneled and sworn. See Illinois v. Somerville, 410 U.S. 458, 467, 93 S. Ct. 1066, 1072, 35 L. Ed. 2d 425, 433 (1973); Taylor v. State, 381 Md. 602, 610-11, 851 A.2d 551, 555 (2004). Double jeopardy principles do not per se bar a retrial, however, when the case is terminated prematurely. Washington, 434 U.S. at 505, 98 S. Ct. at 830, 54 L. Ed. 2d at 728 ("[R]etrial is not automatically barred when a criminal proceeding is terminated without finally resolving the merits of the charges against the accused."). When a mistrial is granted over the objection of the defendant, double jeopardy principles will not bar a retrial if there exists "manifest necessity" for the mistrial. 1 In that situation, the prosecutor bears the heavy burden of demonstrating manifest necessity. As the Supreme Court stated in Arizona v. Washington:
Because of the variety of circumstances that may make it necessary to discharge a jury before a trial is concluded, and because those circumstances do not invariably create unfairness to the accused, his valued right to have the trial concluded by a particular tribunal is sometimes subordinate to the public interest in affording the prosecutor one full and fair opportunity to present his evidence to an impartial jury. Yet in view of the importance of the right, and the fact that it is frustrated by any mistrial, the prosecutor must shoulder the burden of justifying the mistrial if he is to avoid the double jeopardy bar. His burden is a heavy one.
434 U.S. at 505, 98 S. Ct. at 830, 54 L. Ed. 2d at 728 (footnote omitted).
In the instant case, at the time the proceedings were aborted, jeopardy had already attached, the jury having been empaneled and sworn. Simmons objected to the State's request for a mistrial. Our inquiry, therefore, is whether the trial judge abused his discretion in granting the mistrial over Simmons's objection, based upon the judge's finding of manifest necessity.
C. Manifest Necessity
The question of whether manifest necessity exists for the purposes of double jeopardy in the case of a mistrial depends on the unique facts and circumstances of the case. Indeed, the United States Supreme Court has declined to create a rigid test for determining manifest
We note that the double jeopardy analysis is different in the case of a mistrial granted 1 with the consent of the defendant or a mistrial requested by the defendant. See Hubbard v. State, 395 Md. 73, 89 n.6, 909 A.2d 270, 279 n.6 (2006).
necessity. See Blueford v. Arkansas, 132 S. Ct. 2044, 2052, 182 L. Ed. 2d 937, 945 (2012). Instead, that determination is left to the sound discretion of the trial judge, as stated by Justice Story in United States v. Perez, 9 Wheat. 579, 580, 6 L. Ed. 165 (1824):
We think, that in all cases of this nature, the law has invested [c]ourts of justice with the authority to discharge a jury from giving any verdict, whenever, in their opinion, taking all the circumstances into consideration, there is a manifest necessity for the act, or the ends of public justice would otherwise be defeated.
More recently, in Arizona v. Washington, the Supreme Court expounded upon Justice Story's "classic formulation" of manifest necessity, noting that "[t]he words 'manifest necessity' appropriately characterize the magnitude of the prosecutor's burden." 434 U.S. at 505, 98 S. Ct. at 830, 54 L. Ed. 2d at 728. The Supreme Court recognized that although "those words do not describe a standard that can be applied mechanically or without attention to the particular problem confronting the trial judge. . . . we assume that there are degrees of necessity and we require a 'high degree' before concluding that a mistrial is appropriate." Washington, 434 U.S. at 506, 98 S. Ct. at 830-31, 54 L. Ed. 2d at 728-29. See also In re Mark R., 294 Md. 244, 249-50, 449 A.2d 393, 397 (1982).
To meet this "high degree" of necessity, our cases establish that "to determine whether manifest necessity to declare a mistrial over defense objection exists, the trial judge must engage in the process of exploring reasonable alternatives and determine that there is no reasonable alternative to the mistrial." Hubbard v. State, 395 Md. 73, 92, 909 A.2d 270, 281 (2006). In Hubbard, this Court held that a reasonable alternative to the declaration of a mistrial existed. Accordingly, in that case, the mistrial was not manifestly necessary. We noted that "the decision to grant a mistrial arose because of two mutually antagonistic decisions made by the State–the first, to proceed against Hubbard and [his co-defendant] Earl jointly, and the second, to call Sabrina Rogers to the stand in the joint trial." 395 Md. at 93, 909 A.2d at 281. In Hubbard, Sabrina Rogers's in- and out-of court identification of Earl had been suppressed prior to trial. When the State called Sabrina Rogers to testify against Hubbard, the identification of whom had not been suppressed, defense counsel objected because Hubbard's counsel would use her identification of Earl to impeach her, thereby causing prejudice to Earl. Upon further objection by Hubbard's counsel and the prosecutor regarding the trial judge's proposed remedy, the trial judge declared a mistrial before allowing Sabrina Rogers to testify, i.e. before the jury had the opportunity to hear any prejudicial statements. On appeal, this Court reversed, holding that the
"exclusion of Sabrina Rogers's testimony against Hubbard would have remedied the situation caused by the joint prosecution," and, therefore, exclusion of the testimony was a reasonable alternative to declaring a mistrial. Hubbard, 395 Md. at 93, 909 A.2d at 282.
In the present case, defense counsel knew or should have known that it was improper to mention to the jury that Simmons requested to take a polygraph exam to prove his innocence. Here, unlike in Hubbard, the trial judge was correctly concerned about the 2
Petitioner's argument that the reference was not an "absolute transgression" because 2 the statement would be admissible under Johnson v. State, 31 Md. App. 303, 355 A.2d 504 (1976), is without merit. Johnson is inapposite because in that case, the Court of Special (continued...)
prejudice that the State would suffer from the statement directly presented to and heard by the jury during defense counsel's opening statement. In evaluating the prejudice in obtaining a fair trial, the trial judge concluded that there was no reasonable alternative to the declaration of a mistrial.
Although certainly there are alternative actions available in the trial court's arsenal to counteract prejudice caused by an improper statement, such as curative instructions to the jury, the Supreme Court in Arizona v. Washington also cautioned that "[t]hose actions, however, will not necessarily remove the risk of bias that may be created by improper argument." 434 U.S. at 513, 98 S. Ct. at 834, 54 L. Ed. 2d at 732-33. The Supreme Court recognized that in cases of potential prejudice to the jury caused by one of the parties, "the extent of the possible bias cannot be measured," and, therefore, "[the Court] accord[s] the highest degree of respect to the trial judge's evaluation of the likelihood that the impartiality of one or more jurors may have been affected by the improper comment." Washington, 434 U.S. at 511, 98 S. Ct. at 833, 54 L. Ed. 2d at 32.
As the Court of Special Appeals noted in this appeal below, Arizona v. Washington is factually analogous to the case at bar. In that case, the defendant was being tried a second time due to the prosecutor's failure to disclose exculpatory evidence during the defendant's
(...continued)
Appeals held that a polygraph test may be admissible if it is used in a coercive manner to render a confession involuntary, not where the accused himself made an offer to take a lie detector test. 31 Md. App. at 308, 355 A.2d at 508 ("We do hold that if such devices are utilized, the State takes the chance that a given jury will consider the device or procedure so coercive as to declare the confession to have been involuntary.").
first trial. Washington, 434 U.S. at 498, 98 S. Ct. at 827, 54 L. Ed. 2d at 724. During defense counsel's opening statement, he made an improper comment about the "hidden evidence" in the first trial and stated that the second trial was granted because of that prosecutorial misconduct. Washington, 434 U.S. at 499, 98 S. Ct. at 824, 54 L. Ed. 2d at 724. The prosecutor moved for a mistrial at the end of opening statements. The motion was denied at that time, and the state proceeded with its case, calling two witnesses. The next morning, the prosecutor renewed his motion for a mistrial. As noted by the Supreme Court, "[f]ortified by an evening's research, [the prosecutor] argued that there was no theory on which the basis for the new trial ruling could be brought to the attention of the jury, that the prejudice to the jury could not be repaired by any cautionary instructions, and that a mistrial was a 'manifest necessity.'" Washington, 434 U.S. at 500, 98 S. Ct. at 827-28, 54 L. Ed. 2d at 725. The trial judge then granted the motion over the defendant's objection and argument that "any prejudice could be avoided by curative instructions." Washington, 434 U.S. at 501, 98 S. Ct. at 828, 54 L. Ed. 2d at 725.
The Supreme Court upheld the trial court's ruling, noting that the particular situation leading to the mistrial in that case "falls in an area where the trial judge's determination is entitled to special respect." 434 U.S. at 510, 98 S. Ct. at 833, 54 L. Ed. 2d at 731. The Supreme Court further observed:
An improper opening statement unquestionably tends to frustrate the public interest in having a just judgment reached by an impartial tribunal. Indeed, such statements create a risk, often not present in the individual juror bias situation, that the entire panel may be tainted. The trial judge, of course, may instruct the jury to disregard the improper comment. In extreme cases, he may discipline counsel, or even remove him from the trial as he did in United States v. Dinitz, 424 U.S. 600[, 96 S.Ct. 1075, 47 L.Ed.2d 267]. Those actions, however, will not necessarily remove the risk of bias that may be created by improper argument. Unless unscrupulous defense counsel are to be allowed an unfair advantage, the trial judge must have the power to declare a mistrial in appropriate cases. The interest in orderly, impartial procedure would be impaired if he were deterred from exercising that power by a concern that any time a reviewing court disagreed with his assessment of the trial situation a retrial would automatically be barred.
434 U.S. at 512-13, 98 S. Ct. at 834, 54 L. Ed. 2d at 732-33 (footnote omitted). The Supreme Court also noted that although "some trial judges might have proceeded with the trial after giving the jury appropriate cautionary instructions[,]" the trial judge's evaluation of the likelihood of prejudice was given "the highest degree of respect." 434 U.S. at 511, 98 S. Ct. at 833, 54 L. Ed. 2d at 732.
Similarly, in Carter v. State, this Court discussed the discretion afforded the trial judge in weighing the effectiveness of a curative instruction, holding that "when the court finds that inadmissible evidence has been presented to the jury, it is within the discretion of the trial court to decide whether a cautionary or limiting instruction should be given." 366 Md. at 588, 785 A.2d at 356. In that case, we held that the trial court abused its discretion in denying the defendant's motion for mistrial although it gave curative instructions, because the curative instruction was inadequate to cure the prejudice based on the circumstances surrounding the improper remarks. Carter, 366 Md. at 591, 785 A.2d at 358. Moreover, the analysis of the curative instruction in Carter is particularly instructive because the Court recognized that the curative instruction "highlighted the inadmissible evidence rather than curing it." Carter, 366 Md. at 592, 785 A.2d at 358. See also Guesfeird v. State, 300 Md. 653, 666, 480 A.2d 800, 807 (1984) (concluding that the prejudice to the defendant could not be effectively cured by the trial judge's timely curative instruction and noting that "rather than being curative, such an instruction might only serve to emphasize the prejudice"). Thus, we reaffirm that a trial judge must use his discretion to weigh the prejudice caused by an improper remark against the effectiveness of a curative instruction.
Whether a curative instruction is a reasonable alternative to a mistrial depends on whether the prejudice was so substantial as to deprive a party of the right to a fair trial and therefore warrant a mistrial. See Bruton v. United States, 391 U.S. 123, 135, 88 S. Ct. 1620, 1627, 20 L. Ed. 2d 476, 485 (1968) ("[T]here are some contexts in which the risk that the jury will not, or cannot, follow instructions is so great, and the consequences of failure so vital to the defendant, that the practical and human limitations of the jury system cannot be ignored."). See also Washington, 434 U.S. at 516, 98 S. Ct. at 835-36, 54 L. Ed. 2d at 734-35 ("Neither party has a right to have his case decided by a jury which may be tainted by bias[.]"); Whittlesey v. State, 326 Md. 502, 534, 606 A.2d 225, 240 (1992) ("Justice is not a one-way street. A fair trial is the entitlement of the 'People' as well as of an accused.") (citation and quotation omitted). When a party makes or introduces an improper statement at trial, "[t]he trial judge must assess the prejudicial impact of the inadmissible evidence and assess whether the prejudice can be cured. If not, a mistrial must be granted. If a curative instruction is given, the instruction must be timely, accurate, and effective." Carter, 366 Md.
at 589, 785 A.2d at 356.
Petitioner relies on a Florida appellate court case to assert that the curative instruction would have sufficed to cure any prejudice caused by the improper remark about the polygraph test. McFadden v. State, 540 So.2d 844 (1989), is factually similar to the instant case. In McFadden, defense counsel during his opening statement made a reference to the defendant's perceived acceptance of an offer to take a lie detector test. The prosecutor objected and then moved for a mistrial. The trial court gave a curative instruction and then granted the mistrial. The Florida appellate court held that particularly where the reference to the lie detector test did not involve any reference to the results of the test, defense counsel's remarks did not constitute legitimate grounds for mistrial, and even if they "had been improper or erroneous they were not so egregious as to vitiate the entire trial[,]" and "[a]t the very worst a curative instruction would have sufficed to expiate the alleged harm." McFadden, 540 So.2d at 846. Petitioner's reliance on McFadden is misplaced because Florida case law is inconsistent with our own established precedent. Florida cases indicate that the real concern and prejudice caused by polygraph references arise from an inference as to the result of the test. If no inference is made as to the result of the test, there is no real prejudice. McFadden, 540 So.2d at 846. By contrast, in Maryland, "it is universally held that evidence of the defendant's willingness or unwillingness to submit to a lie detector examination is inadmissible." Kosmas v. State, 316 Md. 587, 593, 560 A.2d 1137, 1140 (1989). An inference as to result is not necessary to conclude that a reference to a polygraph test caused prejudice warranting a mistrial. As we have stated, "[i]n criminal prosecutions, the polygraph test is a pariah; 'polygraph' is a dirty word." Hawkins, 326 Md. at 275, 604 A.2d at 492.
As discussed by the Court of Special Appeals in the case below, to evaluate the prejudice caused by an improper reference to a lie detector test in the face of a request for mistrial, this Court in Guesfeird v. State, enumerated a number of factors:
The factors that have been considered include: whether the reference to a lie detector was repeated or whether it was a single, isolated statement; whether the reference was solicited by counsel, or was an inadvertent and unresponsive statement; whether the witness making the reference is the principal witness upon whom the entire prosecution depends; whether credibility is a crucial issue; whether a great deal of other evidence exists; and, whether an inference as to the result of the test can be drawn.
300 Md. at 659, 480 A.2d at 803. Although "[n]o single factor is determinative," id., these factors "should be considered [by the trial judge] in determining whether the evidence was so prejudicial that it denied [a party] a fair trial." Kosmas, 316 Md. at 594, 560 A.2d at 1141. Although both Guesfeird and Kosmas involved mistrials granted due to prejudice to the defendant, these factors are equally applicable to a trial judge's evaluation of prejudice to the State in considering the effectiveness of a curative instruction versus granting a mistrial. See Carter, 366 Md. at 587, 785 A.2d at 355 ("A curative instruction is not always for the sole benefit of the defendant. The public has an interest in the conduct of 'fair trials designed to end in just judgments.'") (citation omitted).
In the case at bar, defense counsel made an improper reference to Petitioner's
willingness to take a lie detector test during his opening statement. See Kosmas, 316 Md. at 593, 560 A.2d at 1140 ("[E]vidence of the defendant's willingness or unwillingness to submit to a lie detector examination is inadmissible."); Wilhelm, 272 Md. at 412, 326 A.2d at 714 ("[O]pening statement[s] should not include reference to facts which are plainly inadmissible . . . ."). The State objected to the statement, and the trial judge, apparently immediately aware of the possibility of bias caused by the improper reference to inadmissible evidence, issued a curative instruction sua sponte. Then, upon a later request by the State to revisit that potential bias and after hearing argument by both parties, the trial judge "acted responsibly and deliberately," see Washington, 434 U.S. at 516, 98 S. Ct. at 835, 54 L. Ed. 2d at 734, and applied the relevant Guesfeird factors, albeit not by name, to the situation before him. Specifically, in making his finding of manifest necessity, the trial judge noted that "an opening statement is a powerful setting," and that "in this particular instance, we're dealing with a statement not . . . unexpectedly presented by a witness, but a statement carefully made as part of a preview of the evidence to the jury." The trial judge further stated, "the statement, in effect, constituted a substitute for the defendant's testimony. . . [and] credibility is central to the prosecution of this case." Therefore, according to the judge, "there is no way to erase the potential infection of the jurors' minds as to [Petitioner's] offer[] to take a lie detector test."
Moreover, in considering the motion for mistrial, the trial judge essentially reviewed
the efficacy of his own prior curative instruction. Although "[w]hen curative instructions 3 are given, it is generally presumed that the jury can and will follow them. . . . the trial judge is in the best position to determine whether his instructions achieved the desired curative effect on the jury." Owens–Illinois, Inc. v. Gianotti, 148 Md. App. 457, 476, 813 A.2d 280, 291 (2002) (citations and quotations omitted). In the present case, when the State requested a mistrial, the trial judge considered whether the prejudice caused by the improper statement "transcended the curative effect of the instruction." See Kosmas, 316 Md. at 594, 560 A.2d at 1141. The trial judge expressly "characterized the [c]ourt's [curative instruction] to be somewhat of a blurt, so to speak, in an effort to cure what the [c]ourt accepts as an absolute transgression as to presenting to a jury the notion that that which is inadmissible might be considered." In concluding that "there is no way to erase the potential infection of the jurors' minds," the trial judge determined that the curative instruction was not enough to overcome the prejudice caused by the reference to Simmons's offer to take a lie detector test. Based on these findings by the trial court, we conclude that the trial judge did not abuse his discretion in determining that manifest necessity existed to warrant a mistrial and that the curative instruction was insufficient to cure the prejudice caused by the reference to
Generally, trial judges have the discretion to revisit and reverse or modify their own 3 previously entered interlocutory orders prior to the entry of final judgment. See Black's Law Dictionary 1130 (8th ed. 2004) (defining "interlocutory order" as "[a]n order that relates to some intermediate matter in the case; any order other than a final order"); Quartertime Video & Vending Corp. v. Hanna, 321 Md. 59, 66, 580 A.2d 1073, 1076 (1990) (noting that interlocutory orders are "subject to the full discretionary revisory power of the trial court").
Petitioner's willingness to take a lie detector test. See Kosmas, 316 Md. at 598, 560 A.2d at 1143 ("It is akin to the placing of a nail in a board. The nail can be pulled out, but the hole made by the nail cannot be removed.") (citations and quotations omitted).
We now address Petitioner's argument that the delay between the improper remark and the State's request for a mistrial demonstrates both that there existed no manifest necessity because the trial judge could have declared a mistrial sua sponte, and that the delay was evidence of the prosecutor's improper motive in requesting a mistrial because the State waited until after its expert witness was excluded to make the motion. As to Petitioner's first contention, we simply note that although Petitioner is correct that a trial court may declare a mistrial sua sponte, there is no obligation on a trial judge to do so. See State v. Frazier, 79 Md. App. 118, 128, 555 A.2d 1078, 1083 (1989) (noting that "a trial judge has the inherent discretion to declare a mistrial sua sponte or to declare it pursuant to the State's motion").
Additionally, with regard to motive, the trial judge specifically stated when ruling on the motion that "[t]he [c]ourt does not question the motive of the State in filing a motion for a mistrial at this point in time." Moreover, the trial judge explained that the State's expert witness was "really [] not powerful evidence . . . and the prosecution of this case within the [c]ourt's assessment . . . is going to rise and fall upon whether or not the jury believes the testimony of Mr. Sarumi and/or other persons who will testify." Ultimately, the trial judge concluded that "the [c]ourt does not see the motion, [sic] any reason for the State to be trying to make a runaround the evidence that has been allowed or not allowed and to seek refuge in an opportunity to get those things in by virtue of the declaration of a mistrial." He pointed out that "[t]his is an assessment I would make if it were the defendant who was moving for a mistrial by virtue of the State making a statement such as was made here."
In sum, the record in this case confirms that the trial judge carefully considered and ruled on the issues presented to him in what we see as, in the words of Justice Story, the "faithful, sound, and conscientious exercise of [his] discretion," Perez, 9 Wheat. 579, 580, 6 L. Ed. 165. It was also within the trial judge's discretion to revisit the propriety and effectiveness of his earlier curative instruction. Just as the trial judge has the discretion to make a ruling on issuing a curative instruction, he or she has the discretion to revisit that ruling and reverse or modify it, before the termination of the proceedings, upon a determination that the prejudice to the jury outweighs the curative effect of the instruction. Where that discretion has been properly exercised, this Court will not disturb such rulings on appeal.
JUDGMENT OF THE COURT OF SPECIAL APPEALS AFFIRMED. COSTS IN THIS COURT AND THE COURT OF SPECIAL APPEALS TO BE PAID BY PETITIONER.
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Wynnstay Properties PLC
Interim Results for the six months ended 29th September 2013
Wynnstay Properties PLC
Interim Results for the six months ended 29th September 2013
Chairman's Statement
I am pleased to report to you with the results of your company's performance for the first half of the financial year to 29 th September 2013 which may be summarised as follows:-
Property income for the half-year was marginally reduced at £821,000 (2012 - £838,000) and, as we did not sell any properties in the period, we were unable to match the additional £100,000 of profits realised in the corresponding period in 2012. As a result, our operating income of £579,000 (2012 - £601,000) and our pre-tax profit of £528,000 (2012 - £641,000) were both lower than at the same time last year.
Management activity of the portfolio has been busy but rather less intense than in the recent past, reflecting a greater stability amongst our tenant base. During the period, we renewed leases with existing tenants at our office building at Cosham, and on two industrial units at each of St Neots and Norwich as well as welcoming two new tenants there.
In my statement accompanying the annual report and financial statements in June, I reported on the business failure of our longstanding tenant at Hertford. I am pleased to say that we have now leased one of the two units, which fronts onto the main road, to a national retail business on a new ten year lease with no tenant breaks and at a rent in excess of valuation and instructed solicitors in connection with the sale of the other unit to an owner occupier at what we consider to be an attractive sale price.
As a result of this activity, we have been successful in improving the lease profile of the portfolio and providing continuity of income while minimising, as far as possible, the costs associated with vacant properties.
There is little doubt that the continuing economic difficulties are causing problems for some of our tenants, particularly small local traders and those in the retail trade affected by the growth in e-commerce. In this regard, we will be sorry to lose one of our Colchester retail tenants early in the new year.
Nevertheless, I am pleased to report that we did not suffer any material bad debts resulting from the failure of tenants in this period, and we do our best to work with tenants who are in difficulty in order to assist them. Any business failures among our tenants affects Wynnstay's rental income and, as well, we incur costs while properties are vacant and in reletting them. However, as I have previously noted, we have a broad spread of tenants ranging from the Government through national businesses to small and medium-sized enterprises and the voluntary and charitable sectors and it is pleasing to note that, at the time of writing, we have collected over 95% of the rental income due for the current quarter commencing 29 September 2013.
I have reported to you regularly on the changes that we have made to the portfolio, the latest of which is the acquisition of Crown Close Industrial Estate in Hailsham in Sussex, details of which were given to you in my Chairman's statement in June. It is worth noting that properties acquired over the past five years now account for just under one-half of our rental income and represent just under one-half of the value of the portfolio. The Board considers that the changes we have made to the portfolio over recent years provide a solid base for the future, including the further growth of your company.
In my Chairman's statement in June, I reported on the negotiations for a new five-year £10 million facility with our bankers, Svenska Handelsbanken and commented on the increase in margins over LIBOR now being sought by banks from business customers. Whilst we will have an increase in the total amount of the facility, the rate of interest will be at 2.65% above 3 month LIBOR as opposed to the 1.25% that we are currently paying. We are very close to concluding our refinancing, with the documentation currently being negotiated and we will make an announcement to shareholders as soon as this is completed.
When I wrote to you in June, I noted that although we increased the interim dividend paid last December, we did not recommend payment of an increased final dividend, but would consider increasing the interim dividend in December 2013 assuming favourable conditions for the Company and in order to provide a better balance between the interim and final dividends. In the light of the performance reported above, the Directors have decided to pay
an increased interim dividend of 4.2p per share (2012: 3.2p per share). The interim dividend will be paid on 13th December 2013 to those Shareholders on the register on 29th November
2013. This should not be taken as any indication that the final dividend will also be increased.
I would repeat the reminder that I gave you last year and in my Chairman's statement in June
2013 concerning unsolicited approaches to shareholders over the telephone in relation to their shares in Wynnstay and I would refer you to the letter distributed with the Annual Report and
Financial Statements in June. On Wynnstay's website www.wynnstayproperties.co.uk, shareholders will also find a warning and a link to other information about unsolicited
approaches regarding shares on the Financial Conduct Authority's website.
Our Annual General Meeting next year will again be held at the Royal Automobile Club, 89
Pall Mall, London SW1 on Thursday 10th July 2014
at 12 noon. I hope that as many shareholders as possible can make arrangements to be in London to attend the meeting and
talk to the Board and fellow shareholders. It is an extremely valuable event for the Board to be able to engage with shareholders who also benefit from meeting each other. The interest
and support shown by Wynnstay shareholders in the company's affairs is greatly appreciated by the Board.
Finally, on behalf of the Board, I hope that all shareholders enjoy a Happy Christmas and convey our best wishes for contentment, health and success in 2014.
Philip G.H. Collins
15th November 2013
For further information please contact:
Wynnstay Properties Plc Toby Parker, Finance Director
Charles Stanley Securities – Nominated Adviser Dugald J. Carlean / Carl Holmes
020 7554 8766
020 7149 6000
Chairman
UNAUDITED STATEMENT OF COMPREHENSIVE INCOME FOR THE SIX MONTHS ENDED 29TH SEPTEMBER 2013
The company has no other items of comprehensive income.
UNAUDITED STATEMENT OF FINANCIAL POSITION AT 29TH SEPTEMBER 2013
UNAUDITED STATEMENT OF CASH FLOW FOR THE SIX MONTHS ENDED 29TH SEPTEMBER 2013
STATEMENT OF CHANGES IN EQUITY FOR THE SIX MONTHS ENDED 29TH SEPTEMBER 2013
SIX MONTHS ENDED 29 SEPTEMBER 2012
YEAR ENDED 25 MARCH 2013
NOTES
1. ACCOUNTING POLICIES
Wynnstay Properties PLC is a public limited company incorporated and domiciled in England and Wales. The principal activity of the Company is property investment, development and management. The Company's ordinary shares are traded on the Alternative Investment Market.
Basis of Preparation
These unaudited condensed interim financial statements have been prepared in accordance with International Financial Reporting Standard (IFRS) IAS 34 Interim Financial Reporting. They do not constitute statutory accounts within the meaning of section 435 of the Companies Act 2006.
The unaudited condensed interim financial statements should be read in conjunction with the financial statements of the Company as at and for the year ended 25th March 2013 which were prepared in accordance with IFRS as adopted by the European Union and those parts of the Companies Act 2006 applicable to companies reporting under IFRS, and have been reported on by the Company's auditors. The financial information for the interim periods ended 29th September 2013 and 29th September 2012 has not been audited and the auditors have not reported on or reviewed these interim financial statements. The information for the year ended 25th March 2013 has been extracted from the latest published audited financial statements.
Key Sources of Estimation Uncertainty
The preparation of the financial statements requires management to make judgements, estimates and assumptions that may affect the application of accounting policies and the reported amounts of assets and liabilities, income and expenses.
Revisions to accounting estimates are recognised in the period in which the estimate is revised if the revision affects only that period. The key sources of estimation uncertainty that have a significant risk of causing material adjustment to the carrying amounts of assets and liabilities within the next financial year are those relating to the fair value of investment properties.
Investment Properties
All the Company's investment properties are revalued annually and stated at fair value at 25th March. The aggregate of any resulting surpluses or deficits are recognised through the statement of comprehensive income.
Depreciation
In accordance with IAS 40, freehold and leasehold investment properties are included at the reporting date at fair value, and are not depreciated.
Depreciation of other plant and equipment is on a straight line basis calculated at annual rates estimated to write off each asset over its useful life of 5 years.
Disposal of Investments
The gains and losses on the disposal of investment properties and other investments are included in the statement of comprehensive income in the year of disposal.
Property Income
Property income represents the value of accrued charges under operating leases for rental of the Company's properties. Revenue is measured at the fair value of the consideration received. All income is derived in the United Kingdom.
Taxation
The tax expense represents the sum of the tax currently payable and deferred tax. Current tax is the expected tax payable on the taxable income for the year based on the tax rate enacted or substantially enacted at the reporting date, and any adjustment to tax payable in respect of prior years. Taxable profit differs from income before tax as reported in the income statement because it excludes items of income or expense that are deductible in other years, and it further excludes items that are never taxable or deductible.
Deferred taxation is the tax expected to be payable or recoverable on differences between the carrying amounts of assets and liabilities in the financial statements and the corresponding tax bases used in the computation of taxable profits, and is accounted for using the financial position liability method. Deferred tax liabilities are recognised for all taxable temporary differences (including unrealised gains on revaluation of investment properties) and deferred tax assets are recognised to the extent that it is probable that taxable profits will be available against which deductible temporary differences can be utilised. The Company provides for deferred tax on investment properties by reference to the tax that would be due on the sale of the investment properties.
Deferred tax is calculated at the rates that are expected to apply in the period when the liability is settled, or the asset is realised. Deferred tax is charged or credited in the statement of comprehensive income, including deferred tax on the revaluation of the asset.
Investments
Quoted investments are recognised as held at fair value, and are measured at subsequent reporting dates at fair value, which is either at the bid price, or the latest traded price, depending on the convention of the exchange on which the investment is quoted. Changes in fair value are recognised in profit or loss.
Trade and other accounts receivable
Trade and other receivables are initially measured at fair value as reduced by appropriate allowances for estimated irrecoverable amounts. All receivables do not carry any interest and are short term in nature.
Cash and cash equivalents
Cash comprises cash at bank and on demand deposits. Cash equivalents are short term (less than three months from inception), repayable on demand and which are subject to an insignificant risk of change in value.
Trade and other accounts payable
Trade and other payables are initially measured at fair value. All trade and other accounts payable are not interest bearing.
Comparative information
The information for the year ended 25 March 2013 has been extracted from the latest published audited financial statements.
Pensions
Pension contribution towards employees' pension plans are charged to the statement of comprehensive income as incurred. The pension scheme is a defined contribution scheme.
2. DIVIDENDS
3. EARNINGS PER SHARE
Basic earnings per share are calculated by dividing income after taxation attributable to Ordinary Shareholders of £417,000 (2012: £487,000) by the weighted average number of 2,711,617 ordinary shares in issue during the period (2012: 2,711,617). There are no instruments in issue that would have the effect of diluting earnings per share.
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On 20 March, 2012, Herakles Farms/SG Sustainable Oils published a response to criticisms of their planned 70,000 hectares oil palm plantation in South West Cameroon (see: http://www.business-humanrights.org/media/documents/company_responses/heraklesresponse-re-ced-cameroon-20-mar-2012.pdf )
The following letter, written by a Cameroonian with intimate knowledge of the plantation, responds to Herakles Farms
Responses to Inquiries Regarding the Sustainability and Interventions of Herakles Farms SG Sustainable Oils Project in South West Cameroon-20 March, 2012
It is difficult for anyone conversant with this matter to remain silent when a company enjoying the reputation it says it has makes glaring misleading statements on such a topical issue as the SG SOC operations in Cameroon, in purported response to the worldwide criticism of the project and more especially so for someone like I who is a native of the proposed project area and who has been watching SG SOC manures to illegal grab our land very closely over the past few years.
Herakles Farms should stop playing the ostrich and address the important issues environmental concerns, human rights issues,the social cultural and any rights of the local communities involved, the impact of the project (both positive and Negative) much more objectively and sincerely than they have been doing so far. They can hardly justify their attitude by saying that "unfortunately we launched the project at a time when there have been an increasing number of speculative investors seeking land in African Countries.
For the purpose of their reaction, I shall not concern myself with the success claims by Herakles Farms regarding their other business ventures elsewhere but with the Herakles Farms SG SOC Oil palm project in Cameroon; under the following subhead. However, I should state that to compare mining and telecommunication projects with an oil palm project is only to muddy the waters for the issues raised by these projects are quite different.
a) Jobs and Food Security:
Up to now, Herakles Farms has being trying to justify the SG SOC project by saying that it will create about 7.500 jobs for the Cameroonians jobs seekers. Now they have introduced the concept of "food security" into their scheme. For anyone who really knows Cameroon, if there is any food item which is not in abundant supply, it is certainly not palm oil. The oil palm tree does very well in almost three-quarters of the territory of Cameroon, and palm oil is produced every where by corporations and individuals. Of the giant corporations which are cultivating oil palm in Cameroon, Pamol Plantations, PLC is located in Ndian Division where SG SOC also wants to implant its own plantation. According to statistics provided by the NGO, CED, Cameroon produces 200.000MT of palm oil per year and exports 35.00MT. In addition, another company called Good Hope Asia Holding LTD already operating in Cameroon has the capacity of producing another 20.000 to 30.000MT per year. In my mind the question of food security raised palm oil falls flat to the ground.
The employment equation which Herakles Farms is raising to justify the SG SOC project in Cameroon is also suspect. What employment are they talking about. The people of working age who reside in the project area are activity occupied with their farming activities. The produce cash crops such as cocoa, coffee, palm oil etc to sustain their lives. Recently the Pamol, C.D.C. SOCAPALM all have viable programmes for small out growers for crops such as palm, rubber etc.Government of Cameroon employed 25.000 young Cameroonian graduates. At least the unemployment situation in Cameroon is not as acute as it is in many countries today. If Herakles Farms want to play the role of a father Christmas, why not take their benevolence elsewhere it is more in need?
The critical question here is why is Herakles Farms trying to hide its profit motive in its proposed investments in Cameroon? why did Herakles Farms not consider the option of cultivate the crop and supply to them, SG SOC. supply only technical, financial and logistical support? I do not intend to say anything about the many incentives offered Herakles Farm for its SG SOC venture in Cameroon which greatly guarantee them a high profit margin on their investment and many other advantages. Herakles Farms have themselves acknowledge this. Herakles Farms have said somewhere else that they expect to earn an annual return of $70m on its expected investment of about $700m in the project. In the light of these figures, Herakles Farms should desist from giving the impression that they came to Cameroon for charity.
Herakles Farm desire to get a law concession in Cameroon for 99years is driven by the motive to make super profits, if I may say so, pure and simple. Going by their figures if they make an annual return of $70m, they would realize the whole of their investment within a period of only ten years. If granted the lease for 99years, Herakles Farms will be earning super profit for the rest of 89years.
b) Timber: SG SOC./Herakles have denied on several occasion and in various reports that it will not cut down primary forest in order to palm oil trees.Indeed, they have tried to convince people that there is very little primary forest in the proposed project area. They now contradict themselves when they now admit that the government bear the cost of harvesting it, thereby resulting in immediate profits for the country. "If one may ask where is the agreement between the Cameroon government and the SG SOC. concerning the handling of the timber which will be felled? What Herakles Farms is saying here is not contained in the establishment convention.
C) Relations will the customary communities:
Herakles Farms claims to have signed memorandae of understanding with the in and around the concession area as well as Common Commitments with local officials. Unfortunately, since these documents are private documents one cannot compel Herakles Farms to publish them. However some of us, being members of the affected communities have read the socalled M.O.U'S and common commitments. The so-called, M.O.U'S (besides other weaknesses) are so deficient in content and written in so loose languages which is likely lead to serious problems of interpretation in the event of a dispute,that I am embarrassed that a company such Herakles Farms should even mention them when talking to the international community.
It is not true that Herakles Farm shads signed the M.O.U'S with the local communities in and around the proposed project area. There are only two M.O.U'S which I know off-one for Nguti Subdivision and the other for Mundemba and Toko Subdivisions. Apart from the fact that these M.O.U'S were not the result of a comprehensive, and popular discussions with the local people, they were signed by a few individuals hand picked by some local bullies who cannot pretend to speak for anybody and worst of all no statutorily competent official of SG SOC signed them. So the so-called M.O.U'S are not an agreement. As to the common commitments, whatever that means, they were made by local S.D.O's without holding any dialogue whatever with the members of the communities.
Herakles Farms claims that over 1000farms have been jointly demarcated with the participation of local people, government officials and company representatives. This is news to me and I am in a position to know if any such exercise had taken place at all any where within the project area. Herakles Farms should tell the world where and when did this demarcation take place. Was it before, during or after their ESIA for this report says nothing about that?
Herakles Farms further claim that they have had positive talks with a number of local nongovernmental organization (NGO) with which they will partner. Which are these NGO's? when and where the talks held?
Herakles Farms in its so-called social programme claims to have commitments to provide schools, hospitals, water etc. If their project takes off, Herakles are, by Cameroonian law, required to provide these facilities to their plantation workers. If at all they do anything like that it is in furtherance of their business and nothing more. As regards schools and colleges, the Cameroon government is already doing much in the domain of providing education to her
citizens, and we do need Herakles/SG SOC for that purpose.
These is one issue which Herakles has all along been skirting around, not wanting to articulate on it properly in relation to the resistance of the local communities to the project, and that is the quantity of land which may reasonably be available for a plantation in the area under discussion. The worries of the local populations concerning the SG SOC project are two fold:(i) the delimitation of the SG SOC concession. The area over which is presenting in the form of a map which does not show the present land use systems in the area. this area, therefore, includes the local peoples' existing farms, land left fallow for future cultivation, hills, valleys, swamps and village settlements. The legal implication if a lease is granted to SG SOC without the necessary adjustments made on the map, SG SOC would become the owner of all the area covered by the map for the next 99years. The local peoples inhabiting the area will become tenants at will of SG SOC who can be pushed out at any time without any other legal process. Further more, if this unfortunate situation should occur, the inhabitants of the area will not also be able to obtain "land "certificates" aver their individual farms since the government cannot derogate from its grant to SG SOC. Recently the government of Cameroon announced the setting up of a special bank to assist farmers. That bank will obviously require collateral security for the loans it will grant, ane one of the most accepted collateral by our banking institution is titled land. If the farmers in the SG SOC project area do not have land certificates, they would surely be disadvantage as far as the facilities provided by the Farmers' Bank are concerned what alternatives has SG SOC provided?
(ii) the other worry is the quantity of available land. Herakles states that there are only 8.299 people living in the area according to their surveys the details of which are not provided, and this contrary to will established population statistics. Herakles Farm s have either deliberately or negligently not taken also into consideration the population growth rate and what the population figure will likely b ein the years too come, and the consequent increase in the demand for land. The true fact is that taking into consideration the other into which the land has been put there is no way that SG SOC can have 70.00hectares of land in the proposed project area unless they intend to eliminate everybody in the area.SG SOC has not even given a thought to the fact that establishing the plantation would attract other people from other regions of Cameroon, and that there Plantation Population would need land to cultivate their food crops. Where will the extra land come from?
If at all there is a a human face in the ambitions of Herakles Farms to grabs our land, then I agree with the recommendation of Mr. John De Marco as published in this reaction to Herakles Notification to RSPO of his new plantings dated March 2012, that Herakles Farms should go back to the drawing board to redesign the project on a smaller scale (possibly up to 5.000ha in each Division while the affected people and other stakeholders.
d) Outcome of the Litigation against SG SOC in Ndian High Court.The statements of Herakles Farm regarding the conduct and outcome of the litigation are so much embarrassing that I wonder who is telling who a lie here. On 31/8/2011, the President of the High Court of Ndian placed an injunction on the activities of SG SOC pending the final determination of the substantive matter before the Court. Instead of complying with the Court Order, SG SOC wrote an unfounded petition +against the judge. Herakles Farm estate that the judge was only replaced due to his afflictions that could have produced a biased outcome, but that could have failed to state those "affliction" they allude to. However, the judgment was replaced by another judge who handed down his judgment on 27/02/2012 granting all the prayers of SEFE, the Plantiff in the case. the Court ordered, in part, as follows while confirming the previous orders of 31/8/2011:-
(i) that SG SOC should carry out a proper environmental and social impact assessment in the proposed project area so as to ascertain the negative impacts of its project and to propose appropriate solutions.
(ii) that the activities of SG SOC are temporarily suspended until they sign appropriate Mou's with the local people.
(iii) that SG SOC pay compensation to the local people for the loss of their land and customary rights.
To Herakles Farms, does this amount to a dismissal of the Plaintiff's case as they say? e) Environment : The experts have already written about this issue that there is nothing I can add nothing to the expert's opinions. We of SEFE have, however, been vindicated on this issue since Herakles Farms themselves have impliedly admitted the inaccuracies in the SG SOC ESIA which they published in September 2011.
Malle Adolf, March 2012
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Overview and Contact
Category: Implementation
Country:
Name of Nomination and Location
*Name of the Entry: Cincinnati, Ohio Central Riverfront Re-Birth Through Planning
*City:
Cincinnati
*State:
OH
*Zip:
45202
USA
Criteria
*Summary of the Entry
1 page (100 to 200 words)
The Cincinnati Central Riverfront redevelopment is an excellent example of plan brought to reality. It is succeeding to convert 195 acres between the Ohio River and Cincinnati's Central Business District from a vast wasteland of multiple single use auto related zones--mostly devoted to auto circulation and storage--to an economically successful, vital, mixed-use live/work/play development supported by multiple forms of transportation. The secret to its continuing success is a broad-based comprehensive plan rooted in an inclusive process that brought multiple governmental entities together and engaged citizens in the discussions and formulation, evolution, implementation and celebration of its birth.
The first wave of activity from 1998 to 2002 reconstructed the freeway separating the project area from the central business district, recapturing land and allowing two new sports stadia to replace the 1960s-era Riverfront Stadium and the construction of The National Underground Railroad Freedom Center. Although it took an additional six years to identify a developer, The Banks Project--Greater Cincinnati's largest single, mixed-use development to date--has successfully completed its first phase by staying true to that plan first proposed in 1997.
Response: 178 words
*1. Originality and innovation
Document how your entry presents a visionary approach or innovative concept to address needs. Explain how the use of the planning process in this context broadened accepted planning principles within the context of the situation. (150 to 300 words)
Although the physical development plan for the riverfront from the mid-1990s carried many innovations now recognized as smart growth--mixed-use sustainable brownfield redevelopment, universal access or promotion of an active life style, multi-modal transportation--the true innovation in the implementation of the Cincinnati Central Riverfront Plan was rooted deeply in the planning process itself. The process presented a framework for cooperation and collaboration that has made the project a success. The first parts of the project saw the City and the County individually constructing the elements that they traditionally would undertake; the County constructing the stadia and garages and the City, the transportation and utility infrastructure. It took 10 years from the development of the first physical plan in 1997 for them to realize that to construct the hoped-for mixed-use development, they would have to join forces in a new and innovative manner, around a multi-part implementation plan.
Cincinnati and Hamilton County developed an innovative design for the project based on lifting the street grid and the buildings out of the 100-year floodplain to above the 500 year flood level and tying it to excellent transportation facilities and fronting it with an inviting riverfront park. All this could be done in a flood plain without measurable effect on the flow of the river. Drawn up with the leadership of The Banks Working Group (a citizens group appointed by the City and the County), the implementation plan recognized the partnerships, cooperation and collaboration required to mobilize resources and then keep the effort on track to deliver the multiple expectations of the project's key stakeholders. The resulting first phase is projected to return more than $276 million in annual economic impact once completed, while the park is already being enjoyed by thousands.
Response: 288 words
*2. Effectiveness
Indicate the level of consistency of this implementation effort since its start. State how your entry addressed the need or problem that prompted its initiation. Be explicit about how the results have made a difference in the lives of the people affected. Convey the level of effectiveness your entry can have over time. (150 to 300 words)
Because Cincinnati's front door, the Central Riverfront, is in the Ohio River Flood Plain, it has been the subject of multiple planning activities and attempts at development since the end of the 18th century. Until the mid-1990s, little progress had been made. At that point the Ohio Department of Transportation and the Ohio-Kentucky-Indiana Regional Council of Government with Parsons Brinckerhoff as their lead consultant were engaged with the City of Cincinnati in redesigning Fort Washington Way, the urban freeway separating the riverfront from the Central Business District.
They joined forces in 1997 with Urban Design Associates, jointly employed by the City of Cincinnati and Hamilton County and drafted the Urban Design Plan for the Central Riverfront and the Fort Washington Major Investment Study-- key documents that consistently guided the work in that area. The involved entities have used the guidance from those plans and the resulting legal agreements to bring the shared vision to reality.
First, the Public Parties settled any questions on resource management and contracting procedures with an Inter-Government Cooperation Agreement. Then the Master Development Agreement laid out the Public Parties' relationship with the developer, Carter-Dawson of Atlanta GA. The Infrastructure Development Management Agreement assigned responsibilities for project's utility and physical infrastructure. Lastly, the Joint Policy laid out social and economic
goals.
A 45-acre public park, apartments for 300 residents, and entertainment venues now actively contribute to the 24/7 neighborhood transforming the Central Riverfront while creating 900 jobs from construction and ongoing business operations, improving the quality of life for all.
According to a University of Cincinnati study, Economic Impact of The Banks Project in the Redevelopment of the Cincinnati Central Riverfront, the ongoing impact of The Banks, once Phase 1A achieves full-occupancy, is projected to reach $91.6 million annually, a good return on investment in planning.
Response: 299 words
*3. Overcoming challenges
Address what steps have been taken to build momentum and public support for your entry. Detail any changes, derailments, or improvements throughout the implementation phase. Identify funding challenges or support for this effort. Report any political changes that might affect, for better or worse, the effort's long-term funding. (150 to 300 words)
The Banks Project broke ground on an 18-acre site on Cincinnati's central riverfront in 2007 and completed its first development phase in 2011, a clear indication of its challenges. Overcoming them required City and the County to collectively plan, design, and finance $128 million for coordinated infrastructure work and to engage the successful private developer.
Challenges to this effort were many:
- Planners and citizens called for risky mixed-use development, difficult to finance for the developer in an economic downturn and with eligibility problems for federal transportation dollars;
- The area lies in the Ohio River Flood Plain;
- It required a Public-Private partnership, not yet supported in Ohio Law, but clearly because of public involvement requiring economic inclusion, a balanced budget, and prevailing wage rates, and
- Strong public and political expectations for success.
To lift the development above the flood plain, designers devised a foundation comprised of an intermodal transit center with floodable garages capped with a flood-proof development podium, new street grid, replacement of all underground utilities, and a new 45-acre riverfront park. First phase of the private sector share on top of those public garages delivered a 24/7 neighborhood: 300 fully-occupied luxury apartments and over 90,000 square feet of commercial space now 92% leased. An economic study commissioned by the developer revealed a projected $91 million annual economic impact from residential and retail first phase, a gratifying return.
The City and the County each fielded a team of professionals and hired a Project Executive to work with the developer to implement the plan and keep all parties informed through press releases, a website, and publishing monthly progress reports documenting performance against budget, schedule, inclusion, and safety targets, all met including over 416,000 hours worked without a lost-time accident.
Response: 292 words
*4. Participation
Explain how various public interests were involved and the extent of that involvement. Describe how your entry obtained public and private support. Clarify the role, significance, and participation of planners. (150 to 300 words)
The Central Riverfront from day one was planned by--and for--the public interest and benefit. Starting with the Fort Washington Way Major Investment Study and the concurrent Central Riverfront Plan, the process has been engaging, interactive and innovative. The general public and key stakeholders alike helped shape the development, funding, implementation and oversight of the plans. General agreement existed that the disjointed and under-developed sea of surface parking, home only to an obsolete stadium, needed to be reinvented into a cohesive, attractive and productive magnet for people to live, work and play along the banks of the Ohio River in downtown Cincinnati. It took multiple public workshops, presentations to every imaginable group, networking at events, roving displays, websites, to some extent social media, and even a voter referendum on the location of the ballpark.
The critical difference in citizen participation that made the biggest impact was a citizens' advisory group jointly appointed by the City and the County: the Joint Banks Steering Committee (JBSC). The JBSC devised the implementation plan that ultimately got the job done. Within that blend of physical design and implementation planning, elected and appointed officials weighed in on the best return for their investment. Business leaders helped shape policy and held the City and County and their contractors accountable for results. State and federal funding and operating agencies described the outcomes they would support. City and County project team members kept efforts on schedule and within budget, and supported ongoing dialogue with the general public through monthly progress reports and presentations, dedicated website, events, news media and social media outreach.
All members of the team collaborated to coordinate the involvement in Master Development Plan iterations and implementation, an integral role that ensured timely delivery of critical construction milestones within budget and meeting inclusion goals.
Response: 297 words
*5. Achievement
Describe how the longevity of this effort has increased the community's appetite for planning and the pursuit of similar initiatives. Clarify the extent that this effort's sustained success has been achieved beyond its general audience. (150 to 300 words)
Proving that the Central Riverfront Plan only increased the region's desire to plan a sustainable future, both the City of Cincinnati and Hamilton County each undertook comprehensive planning efforts: Hamilton County's Community COMPASS and the City's Plan Cincinnati. Both efforts have enjoyed success and spawned follow-on efforts to deliver specificity and develop implementation plans similar to those focused on the riverfront. These initiatives have deep roots, both in planning history and in public process, reflecting a collective shared vision.
Community COMPASS resulted from a process by the Planning Partnership, an alliance of governments and planning commissions in Hamilton County, as well as civic and private sector organizations engaged in planning for the future of the county. It continues today, building off its Hamilton County 2030 Plan and Implementation Framework to further develop implementation plans reflecting the diversity of the 49 communities within Hamilton County.
Similarly, in 2009 the City of Cincinnati began developing Plan Cincinnati. Concurrent with the launch of that effort, Cincinnati received a 2010 Community Challenge Planning Grant through the Partnership for Sustainable Communities to consolidate existing zoning, subdivision regulation, building, and environmental codes. With tools such as Form-based Code, Complete Streets, Transit Oriented Development, Inclusionary Zoning, Transfer of Development Rights, Incentive Zoning, and Crime Prevention through Environmental Design, Cincinnati's new unified Land Development Code will promote the six Livability Principles and position the City's innovative approach on a national level.
Regionally, the Ohio-Kentucky-Indiana Regional Council of Governments (OKI) has undertaken a series of planning efforts coordinated through its Regional Planning Forum. Ohio-based Agenda360, and Vision2015, based in Northern Kentucky, pick up themes of economic development and job growth and align them to both general policy and specific implementation for the region.
Planning is alive and well, driven by the success of the Central Riverfront and other projects.
Response: 300 words
Letters of Support
- from Todd, Kinskey, AICP, Executive Director, Hamilton County Regional Planning Commission; Director, Grea
Hamilton County Regional Planning Commission
To the APA 2012 Awards Jury:
It is my honor to submit a letter of support on behalf of "The Cincinnati Central Riverfront, Rebirth Through Planning" Nomination in the Implementation Category of the 2013 2012 National APA Awards.
As a long-time resident of the City of Cincinnati and a professional planner, the redevelopment of the riverfront makes me so proud of my City as well as the planning profession. In planning terms, a project that goes from a concept to implementation in less than twenty years is impressive to say the least. It is that much more impressive because, in this case, the implementation involved, what at the time seemed insurmountable physical, economic, and political barriers.
Prior to redevelopment, the riverfront in downtown Cincinnati was a large brownfield, blocked off from the rest of the city by interstate highways, railroad tracts, and warehouses. Cincinnati was largely ignoring its riverfront preventing any use or enjoyment of the riverfront by its residents. The Cincinnati Central Riverfront redevelopment, which we, Cincinnatians, tend to refer to as "The Banks," was prominently identified as a strategy in the Hamilton County COMPASS (Community Master Plan and Strategies). The Banks addresses the goals of the development of the CBD as a key component in reinventing Hamilton County as the core of the region. In such capacity it anchors investments and redevelopment efforts not only for the City of Cincinnati, but for Hamilton County and the other 13 counties that makeup the OKI region. All the plans that have come after COMPASS continue to build around the vision and goals condensed there. The Banks was listed as a prominent strategy to achieve multiple goals.
The Cincinnati Central Riverfront aka The Banks redevelopment implementation has resulted in:
* Public and private collaboration, and the private donations that have aided its construction illustrate the community's commitment
* Public access to the riverfront
* Implementation brought not just transportation improvement, but over 900 new jobs by the end of 2012 in the businesses located there, 300 apartments, and cultural and recreational improvements
* National Underground Railroad Freedom Center, the project's first structure after the sports stadia, has brought value as a focus for historical, cultural and inter-racial understanding. Based on a comprehensive transportation approach, the project has addressed both immediate as well
* The Cincinnati Bike Center provides locker rooms and bike storage for commuters, and bike rental and repair for the enthusiast or casual biker
as future needs including an Intermodal Transportation Center for future use with accommodations to enable development of both rubber tired and rail transit along with event bus staging
* Public investments have fostered missed use – smart growth with minimal disturbance to the Ohio River floodplain
* It is a walkable, bikeable, work, play 24/7 neighborhood where accessibility was one of the first considerations
* Resulted in 300 LEED certified apartments in its first two buildings
* A spectacular new riverfront park includes amenities suitable for regional and local users, features with a solid business plan for its maintenance and growth ensuring the sustainability of the facility
* It is a great example for planning students, professionals, elected officials that long-term planning is not a book on a shelf but a clear path to investments and community development.
As an engaged professional planner who has watched this impressive project unfold, from an idea to a vision to bricks and mortar, transforming the riverfront of Cincinnati, I cannot imagine another project that embodies plan implementation better. I strongly recommend "The Cincinnati Central Riverfront, Rebirth Through Planning" Nomination for the Implementation Category Award by National APA for 2013. Please feel free to contact me at 513.946.4454 or email@example.com with any questions.
Sincerely,
Todd Kinskey, AICP Executive Director, Hamilton County Regional Planning Commission Director, Greater Cincinnati Section of APA-Ohio Secretary, APA-Ohio Board of Trustees
Attached document: TheBanks.KinskeyAPA_Riverfront_letter.pdf(0.05 MB)
- Hamilton Co Ohio from Christian Sigman, Hamilton County OH Administrator
To the 2012 APA Awards Jury:
I am happy to endorse this nomination for the American Planning Association National Award for Implementation. The citizens of Hamilton County are justifiably proud of the progress on the Cincinnati Central Riverfront.
The Central Riverfront has seen its share of ineffective planning efforts, but based on the lessons learned from those activities, the Central Riverfront Urban Design Master Plan from 2000 and The Master Development Plan for The Banks from 2007; based on that plan from 2000, have put forth the blueprint for that desired dynamic, 24/7 neighborhood on the banks of the Ohio River. Citizens worked collectively with their transportation and development agencies, elected officials, and a group of consultants jointly hire by Hamilton County and the city of Cincinnati (the Public Parties) to redefine that space with an inspired urban design plan. Residents who witnessed the riverfront in the mid-1990s can see the incredible transformation that has happened—funded mostly by their tax dollars through a voted sales tax increase and an innovative public-private partnership, augmented by funds from several state and federal agencies.
Today the fruits of these labors are becoming reality; however, little would have happened without the continuous planning and design process that has kept everyone focused on constructing the desired result: a new mixed-use, live/work/play neighborhood built out of the flood plain on County-owned garages, anchored by a dramatic new riverfront park and two professional sports stadia for the Cincinnati Reds and the Cincinnati Bengals. The fact that this development happened during an economic downturn demonstrates the strength of the plan and the importance of the public commitment that brought it into being. Much of the infrastructure, starting with the freeway reconstruction and realignment and continued with many basic infrastructure improvements, occurred more than 10 years ago. When The Banks Working Group, the citizens' steering committee and the Public Parties finally identified a successful developer in Carter-Dawson, activity picked up where it left off because the joint plan provided the critical framework to keep the project focused.
Many projects promise job growth, but in its mixed-use development, The Banks will have created over 700 non-construction jobs by year's end. Where once there was what seemed to be an undevelopable flood plain, people now earn a living, make their home, and recreate.
My congratulations go out to the diligent and determined members of The Banks Public Partnership team and their ability to turn a great plan into a great project.
Christian Sigman
Attached document: TheBanks.SigmanLetterSupportapa 2012 awards.pdf(0.09 MB)
- City of Cincinnati from Milton Dohoney, Jr., Cincinnati City Manager
To the 2012 American Planning Association Awards Jury:
The Cincinnati Central Riverfront is a strong witness to the value of effective planning. Good planning requires teamwork and true teamwork is based on trust. In Cincinnati's case, trust has been established through collaboration, starting the formulation of the common plan for that riverfront. Very little that is worthwhile gets accomplished today without some form of collaboration, sharing of risk and resources for a common goal. Teamwork and communication continue to fuel the collaboration of The Banks Public Partnership, bringing the City of Cincinnati together with Hamilton County to realize a shared vision to revitalize the City's 'front door' along the Ohio River.
Based on learnings dating back to planning efforts in the 1930s, the Central Riverfront Urban Design Master Plan from 2000 and The Master Development Plan for The Banks from 2007, we have put forth the blueprint for a dynamic, 24/7 neighborhood on the banks of the Ohio River at Cincinnati – a place where people can live, work and play to take advantage of all that a compact, walkable urban environment such as our city has to offer. Itself a result of government, business and citizen involvement and input, the Master Development Plan and plans for construction in phases became reality only through the teamwork and persistence of subject matter experts on City and County staffs and their ability to work with a private developer in a unique public-private partnership.
The complexities of blending the talents and resources of two government entities, facing a softening economy, managing multiple funding sources and reporting requirements were all challenges we were able to meet through the coordinated, candid and consistent communication between City and County, between these Public Parties and the private developer, and with the citizens of our region. Again, this collaboration has been based in the trust and commitment built through joint planning and execution.
With the Plan for the rebirth of our riverfront as our guide, The Banks has succeeded in creating an entirely new neighborhood above the flood plain, transforming undeveloped and underdeveloped land into a one-of-a-kind driver of sustainable economic growth in our region. This could only have been possible, and productive, because we share a vision throughout our respective organizations of the value of a Plan and implementing that Plan to benefit both today's residents and generations to come.
I congratulate the diligent and determined members of the Banks Public Partnership team, and attest to the great value planning has, and will continue to have, on transforming Cincinnati's riverfront.
Sincerely,
Milton Dohoney, Jr. City Manager
Attached document: TheBanks.DohoneyAPA Nomination Letter of Support.pdf(0.79 MB)
- Ohio Department of Transportation from Steve Mary, P.E., District 8 Deputy Director
To the 2013 APA Awards Jury,
I am pleased to provide a letter of support for an outstanding combination of projects tied together with an innovative comprehensive redevelopment plan, delivered with a strong sense of purpose and teamwork. The City of Cincinnati and Hamilton county (the Public Parties) came together with the Ohio-Kentucky-Indiana Council of Governments (OKI) and the Ohio Department of Transportation (ODOT) to craft a plan that would not just solve transportation problems but also create a new southern gateway to the state that would be an entertainment center for the region and a new 24/7 neighborhood: quite an ambitious undertaking but it had results. I had a unique perspective, first from the Office of the Hamilton County Engineer, then from my current position at ODOT.
ODOT played a pivotal role in the launching of this transformation of Cincinnati's Central Riverfront by providing strategic transportation investments. ODOT provided federal and state funds worth over $133 million, a State Infrastructure Bank loan, technical support for the Fort Washington Way Project, and entrusted the City and the County to accomplish what they were setting out to do. That relationship grew out of the planning effort resulting in the State allowing the City and the County to manage the implementation of the freeway and subsequent projects for ODOT. That critical early project—the Fort Washington Way Reconstruction—rebuilt the I-71 freeway that connected three interstates and a major US highway in much less space than the existing highway. This reconstruction brought positive impact to the area by lowering the freeway into a trench, extending the Central Business District street grid over it, and building an innovative below-street-grade transit center. Carefully drawn implementation plans and resulting construction contracts tied these investments together over a 15-year period and enabled the resulting development, reduced accidents on the freeway while greatly improving accessibility for all modes of transportation to the Central Business District and the project area.
The innovative floodable parking garage adjacent to the transit center provided the structural support for The Banks development, lifting it out of the 500 year flood, but with minimal effect on the flood plain. The only way that this incredibly complex set of interrelated projects could happen was through the joint continuous planning and implementation effort. ODOT is proud that its investments help trigger a transformation which has delivered $91 million dollars of ongoing annual economic impact from its first phase, and over $160,000,000 in construction spending over the past three years with $55 million being private investment.
I am happy to recommend The Cincinnati Central Riverfront Plan for a National American Planning Association Implementation Award. If you have additional questions, please contact me at 513-933-6594.
Respectfully,
Steve Mary District 8 Deputy Directory
Attached document: ODOT APA Support Letter.pdf(0.04 MB)
(0.27 MB) Fort Washington Way pre-reconstruction (1998)
(0.01 MB) July 2009--This phase of the project added 2021 ga...
(0.01 MB) The project from the southeast, highlighting the i...
(0.32 MB) Reconstructed Fort Washington Way (2005)
(0.01 MB) June 2010--With the 'underbuild' completed (parkin...
(0.34 MB) Close-up of the Main Street Fountain with the Moer...
(0.01 MB) June 2008--The Banks is a project on paper, soon t...
Supplemental Materials
(www.thebankspublicpartnership.com/planning) This page on The Banks Public Partnership website contains all pertinent planning documents forming the basis of The Banks project development and implementation.
(www.thebankspublicpartnership.com/videos) This page on The Banks Public Partnership website contains The Banks Video, an upbeat visual review of the progress made since Fort Washington Way was reconfigured, the ground was broken for The Banks, and the construction of the mixed-use development tha
©Copyright 2012 American Planning Association All Rights Reserved
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October 2009
ittc-news
No. 59
CONTENTS
New ITTC Executive Committee Chairman
The newly elected EC Chairman Dr. Koh retired from NSWCCD in January of 2009 due to health reasons. This happened quickly, and presently, In-Young is doing well. At that point Dr. Jessup was nominated and selected to replace Dr. Koh as the AC member of NWSCCD and the Americas representative to the ITTC EC. The latter position is typically selected by the American Towing Tank Conference(ATTC) during it's biannual conference. In this case the nomination and selection was done via email from the participants of the ATTC conference in August 2007.
Dr. Jessup was a member of the Propulsor Committee of the 21st ITTC in 1996 which was combined with the Cavitation Committee to form the Propulsion Committee of the 22nd ITTC in 1999. There he served as secretary. Dr. Jessup was Chairman on the Propulsion Committee of the 23rd ITTC in 2002.
Mr Aage Damsgaard
FORCE Technology
Hjortekaersvej 99
2800 Kgs. Lyngby, Denmark
Dr. Jessup's background is in the area of Propulsors, working at NSWCCD since 1976. He has performed propeller designs for a number of U.S. Navy ships. He also conducted research developing LDV specifically to measure model propeller blade flows, including blade boundary layers, wakes and tip vortices. Dr. Jessup is currently the Naval Surface Warfare Center Senior Scientist for Hydrodynamics. He has received numerous awards, including the ASNE Gold Medal award, The SNAME Davidson Medal, and is a member of the National Academy of Engineering.
26 th Conference Organisation
Preparation of the 26 th ITTC Conference to be held 2011 in Rio de Janeiro is proceeding well. The Conference is being organised by LabOceano in cooperation with IPT, USP and UniCamp and with the support of the Arquimedes Network (coordinated by Petrobras).
The conference logo has been designed as shown at the top of this entry.
The 26 th ITTC Full Conference will take place from 28 th August through 3 rd September 2011, the venue being the sophisticated Windsor Barra Hotel, which is situated right in front of the famous Barra da Tijuca Beach. The local organising committee has been established with Dr. Antonio Carlos Fernandes as Chairman and Dr. Marcelo Neves as Co-Chairman (both from LabOceano (COPPE/UFRJ). Dr. Carlos Padovezi of IPT has been appointed Secretary.
Published by:
ITTC Secretariat
26th International Towing Tank Conference
Tel.: +45 72 15 77 00 Fax: +45 72 15 77 01
Further information about the 26 th ITTC Full Conference will be displayed on the ITTC website.
News from the Executive Committee
The Executive Committee held two meetings during the 25 th Conference, the final meeting of the 25 th ITTC and the first meeting of the 26 th .
The 26 th EC saw a substantial number of new faces, including Prof. WENG from China representing East Asia, Susanne Abrahamsson from Sweden representing Northern Europe, Antonio Fernandes and Marcelo Neves from Brasil as organisers of the next Full Conference, and Prof. Strasser from Austria as AC Chairman. Subsequently, Dr. In-Young Koh and Dr. Bulgarelli have both retired and have been replaced by Stuart Jessup and Dr. Ranocchia as EC Chairman/Americas representative and Southern Europe representative, resspectively. In consequence of some of the discussions which took place during the Conference EC decided to set up three working groups addressing global warming (headed by Cornell Thill, DST), ice (headed by F. Mary Williams, NRC) and, finally, the structure of the ITTC technical committees (headed by Gerhard Strasser, Vienna Model Basin). The objective of the first two working groups would be to monitor the development in these areas of relevance to ITTC and develop Terms of Reference for new specialist committees, which may be considered for the 27 th ITTC. The objective of the third working group should be to create a structure with less overlap between the committees and a more balanced workload. The working groups will report to the EC.
The main action of the last meeting of the 25 th EC was to finalise matters for the Conference, including the final report of the EC, final amendments of the proposal for the new ITTC Rules, and selection of members and chairmen of the technical committees of the 26 th ITTC.
The next EC meetings are tentatively planned for Istanbul October 2009, Rio de Janeiro Fall 2010, Vienna Spring 2011 and again Rio de Janeiro at the 26 th Full Conference.
AC Chairman's Comment
Having been elected as chairman of the Advisory Council of the ITTC one of the first questions is how are we going to proceed. Do we need some change or is it sufficient to go on as before.
Procedures can only be produced if there is an accepted way of proceeding either in testing or in calculation. For both, validation to the full scale ship should be the criteria. I know that this is not easy to achieve and also a question of costs. Up to now, asking for procedures which we would like to have but which were not ready for general acceptance failed. To my opinion, this is somewhat different with guidelines which just point out the items of interest and caution. By the way, there has been guidelines published by committees in the proceedings and these were not published in the ITTC Recommended Procedures and Guidelines. In future, I think, we shall not produce as many new procedures as in the recent years (this does not mean that we are not going to update existing procedures according to necessity).
During the last periods the rules were put into a new shape and a big effort of the committees was put on the updating of the existing and the production of new ITTC Recommended Procedures. This was important with respect to improvement of quality and also useability. Partly, this was overloading the committees.
Some people stated that our work has changed. This, I deem, is with regard to more calculation before or during testing. However, the aim of our work has not changed: "To help our customers to improve the performance with regard to powering, manoeuvring, seakeeping, and safety of floating structures as best as we can, notwithstanding whether it be by calculation or by testing or just by experience".
The ITTC rules cover quite a big range of activities, amongst them:" Organising and encouraging meetings to review progress in the research". This was usually documented in the proceedings and should for sure be continued with some more esteem. The members of ITTC will receive the overview of the progress of the last three years. However, we have to make sure that we do not limit ourselves too much to special areas. Continuous improvement of standard test procedures does not really lead to too much innovation. As long as the validation has not improved, the increase of accuracy of these, by our clientele already now well accepted, standard procedures is not really of help.
ITTC has followed the trend to CFD and we are going to get a state of the art survey over calculation methods during the next conference. Still, we will have a discussion whether we are following the development in this and in other fields adequately, and if not, how to react. For sure, ITTC has to assure that the member organsations can be considered as up to date and as competent in all fields of hydrodynamics and should be preferred to competitors who only perform calculations without an adequate standard of validation.
The AC is open to contributions from all members.
Gerhard Strasser
News from the Advisory Council
The 25 th Advisory Council held its final meeting in Fukuoka in connection with the Full Conference.
In addition to the past AC members the meeting was attended by the new AC member Neil Bose from Australian Maritime College as well as a number of new representatives for the 26 th AC. These included Dr. F. Mary Williams fron NRC, Prof. Yang from SJTU, Prof. Weng from CSSRC, Dr. Cornell Thill from DST, Dr. Ranocchia from INSEAN, Dr. Kawakita from MHI, Dr. Yamakita from Meguro and Dr. Sasaki from NMRI.
New Chairman of the AC is Prof. Gerhard Strasser, Vienna Model Basin, and ViceChairman is Dr. S.W.Hong, MOERI.
One of the main items of this AC meeting was the finalisation of the Terms of Reference for the new technical committees. The AC had been working on these using a systematic procedure introduced at the previous AC meeting, and the final hand was laid on them after having overheard the presentations and discussions at the Full Conference.
The AC Working Group structure introduced during this period to monitor the work of the technical committees had appeared to be a great success and will be further strengthened during the 26 th ITTC. The Working Group structure and membership is shown in the tables below. Some of the AC members have later been replaced by others. New members will select their appropriate Working Group.
| WG1 | WG2 | WG3 | WG4 |
|---|---|---|---|
| Resistance | Propulsion | Manoeuvring | Ocean en- gineering |
| Uncertainty | Wake scal- ing | Seakeeping | VIV |
| CFD | Surface treatment | Stability in wawes | Flow meas- urements |
| | | High speed craft | |
AC Working Group structure
The QSG will report directly to the AC Chairman.
AC Working Group membership
| WG1 | WG2 | WG3 |
|---|---|---|
| Abrahamsson | Mehmel | Hubregtse |
| Strasser | Yossifov | Itou |
| Djigas | Sasaki | Yamakita |
| Caprino | Soininen | Bayliss |
| Bose | Friesch | Sand |
| Toda | Lee | Koh |
| Hélou | Wilczynski | Weng |
| Thill | Pustoshny | |
| Ranocchia | Sevilla | |
| | Atlar | |
| | Kawakita | |
Member News
BVT Surface Fleet is the new name of ITTC member VT Shipbuilding and the new representative to ITTC is Crispin Fetherstonhaugh, who has replaced Paul Tucker in this capacity. Andres Cura-Hochbaum, Chairman of the Manoeuvring Committee, has been appointed full professor at the Technical University of Berlin. Bassin d'Essais des Carènes has appointed a new representative to ITTC and AC, Thierry Benne-Darses, Head of Technical Division. He replaces Christian Hélou in the AC.
News from Technical Committees
Resistance Committee
The committee has held its first meeting in Madrid on 14-15 January, 2009, and its second meeting in Pusan on 15-16 September, 2009. Dr. Stephen Turnock, University of Southampton was appointed secretary. The work proceeds well according to the TOR given to the committee. The worldwide campaign on resistance measurements for facility bias continues. However, there is some confusion regarding the apparent disappearance of some of the data. This is being investigated.
The committee has asked the AC for clarification regarding the form factor concept. This will be discussed at the next AC meeting. The next committee meeting is planned for May 2010 at ECN, France.
Propulsion Committee
The first meeting of the 26 th ITTC Propulsion Committee was held during 11-13 of March 2009 at MOERI(Maritime and Ocean Engineering Research Institute) in Daejon, Korea.
Eight members were present and one member was absent. Dr. Scott Black was elected as the Committee Secretary unanimously. At this meeting, the Terms of References given to the Committee were reviewed in detail. For each task and subtask, a lead and other supporting members were assigned and the action items for the next meeting were arranged. The web server for the communication of information and materials among members was settled. There are tasks which require liaison with other related ITTC Committees including the Resistance Committee and Specialist Committee on Uncertainty Analysis. The Chairman will coordinate with these Committees in due course in order to minimise duplication of effort.
The next meeting of the Committee is scheduled for 4-6 November 2009 at BEC(Bassin d'Essais des Carènes, France, hosted by Dr. Didier Fréchou.
Manoeuvring Committee
The committee has held two meetings, 21-22 January, 2009, at INSEAN, Italy, and 24-25 September at Shanghai Jiao Tong University, China. Dr. Frans Quadvlieg, MARIN, was appointed secretary. The committee chairman Andrés Cura-Hochbaum has moved from HSVA to TU-Berlin, where he has taken up a position as full professor and head of the department "Dynamics of Maritime Systems". He will continue in his function as committee chairman. The committee work proceeds well. Minor clarifications of the TOR have been made with AC.
During and after the first meeting held in Rome in January 2009 discussions on how to work out the given tasks related with review- ing and developing ITTC procedures on Uncertainty Analysis (UA) for manoeuvring tests have taken place. The result of this and some exchange with members of the Specialist Committee on UA lead to the conclusion that the MC will be able to work out these tasks. Work on several other tasks has been started already and was presented and discussed during the 2 nd meeting in Shanghai in September.
Seakeeping Committee
The first meeting of the committee was held on 14-15 January, 2009, at TU Delft, The Netherlands. Dariusz Fathi, Marintek, Norway, was appointed secretary. The next meeting is scheduled for October, 2009, in Shanghai. The work according to the TOR proceeds well, and just minor clarifications have been needed. The committee has close contact with ISSC, and a member of the ITTC Seakeeping Committee has been elected to the ISSC Environment Committee. A joint meeting between the two committees is being considered. The Seakeeping Committee is planning to arrange a workshop on V&V of non-linear seakeeping analysis in October, 2010, at Seoul National University, Korea. This is partly in response to the task given by the TOR for the committee. The announcement of the workshop is appended to this ITTC News.
Ocean Engineering Committee
The first committee meeting was held on 3031 March, 2009, at Newcastle University, UK, and the second is scheduled for 22-23 October, 2009, at MUN, Canada. The work proceeds according to the TOR. The committee is planning a workshop on wave run-up and vortex shedding from circular cylinders to be held in St. Johns, Canada, in 2010. For the development of a procedure for DP testing, the committee is seeking consultancy with MARIN and Marintek to supplement the committee experience.
Specialist Committee on CFD in Marine Hydrodynamics
The first meeting was held 7-8 January, 2009, at INSEAN, Italy, the second 8-9 September, 2009, at IIHR, USA. T. Hino was appointed secretary. The work is proceeding well and will benefit from the next workshop on CFD in ship hydrodynamics (Gothenburg 2010). The committee is working on a questionnaire on application of CFD for marine hydrodynamics to be diffused among the ITTC members. The committee is furthermore developing a practical guideline for for CFD use in marine applications.
Specialist Committee on Surface Treatment
The committee has held one or two meetings, and the third is planned for February, 2010. An extensive litterature study is ongoing to collect relevant information on the tasks given to the committee. The committee is considering the possibility of developing a new standard or guideline for skin friction measurements.
Mr. Dazheng Wang, Newcastle University, has left the committee for personal reasons. The committee has suggested that Prof. Mehmet Atlar, also Newcastle University, steps into the committee. This will be discussed at the next EC meeting.
Specialist Committee on Scaling of Wake Field
The first meeting of Specialists Committee on Scaling of Wakes was held on February 10-11, 2009 at CHEIPAR – Canal De Experiencas Hidrodinamicas De El Pardo in Madrid – Spain, hosted by M.J. Bobo. All committee members attended the meeting. A.C. Takinacı was selected as secretary.
The committee decided to poll member organizations on their current wake scaling procedures. An initial draft questionnaire was developed and is currently under revision. A distribution list of more than 50 e-mail contact addresses (ITTC Members, Universities and other special organizations) has been established. Two model wake experiment results have been accepted as the test cases. These cases will be part of the questionnaire. The questionnaire form, e-mail contact address, and test cases will be made available by web site, http://www.gidb.itu.edu.tr/staff/takinaci/26ITT C_SCSW.html.
At the meeting, current ITTC Procedures with references to wake scaling were identified. The five existing procedures that refer to the wakefield scaling are:
o Procedure 7.5-02-03-03.1: Model-Scale Cavitation Test Cavitation Induced Pressure
o Procedure 7.5-02-03-03.3: Fluctuations
Model Scale Experiments
o Procedure 7.5-02-03-03.5: Cavitation Induced Erosion on Propel- lers, Rudders and Append- ages Model Scale Experi- ments
o Procedure 7.5-02-03-03.6: Podded Pro- pulsor Model-Scale Cavita- tion Test
o Procedure 7.5-02-03-01.4: Perform- ance, Propulsion 1978 ITTC Performance Prediction - section 2.4.3
Theses five ITTC Procedures will be reviewed.
At the meeting, it was discussed that
o Procedure 7.5-02-03-01.4, section 2.4.3 the scaling of the average wake is presented and what is needed for that procedure. It was decided to leave this procedure intact and develop the procedure necessary to scale the wake distribution.
o Procedures 7.5-02-03 -03.1, -03.3, -03.5, and -03.6 refer to scaled wakes. Will recommend those procedures be revised to refer to the wake scaling procedures being developed.
Future meeting dates and locations were also decided:
o 3 rd Meeting will by in late June to early July 2010, hosted by J. Wang at MARIC in Shanghai, CHINA.
o 2 nd Meeting will be hosted by C. Johannsen at HSVA in Hamburg, GERMANY, the week of 26 October 2009
o 4 th Meeting most likely in Jan/Feb 2011 location TBD.
Specialist Committee on High Speed Craft
A preliminary meeting was held at the 25 th Conference, and the first ordinary meeting on 5-6 May, 2009, at the Brodarski Institute, Croatia. Dr. G. Thomas was appointed secretary. The second meeting is scheduled for 8-9 October, 2009, in connection with the FAST09 conference in Athens, Greece. A clarification of the TOR has been made, and the committee work proceeds well. The committee has established a website for exchange of information and data.
Specialist Committee on Stability in Waves
The committee held its first meeting on 18-19 February, 2009, at Texas A&M, USA, and the second is planned for 4-6 November in Genova, Italy. Minor clarifications have been made of the TOR, and the work proceeds accordingly. The benchmark testing of numerical codes for the presiction of parametric rolling is being planned. It is likely that it will not be a blind test as some of the participants are likely to know the results of the physical model tests being used as reference.
Specialist Committee on Detailed Flow Measurements
The committee held its first meeting on 25-26 February, 2009, at INSEAN, Italy. The second meeting was held in conjunction with the attendance of the AMT'09 conference organised by the European Network of Excellence HydroTesting Alliance (HTA) in Nantes, France, on 12 September, 2009. There is a close relationship between the committee tasks and some of the activities of HTA, so it has been decided to work closely together on the subjects of stateof-the-art and state-of-practice reviews, guidelines for PIV applications, and experimental benchmark for SPIV applications. Sandy Day, University of Strathclyde, UK, was appointed secretary of the committee.
Specialist Committee on Vortex Induced Vibrations
The first meeting of the committee is planned to take place in Rome, Italy, on 12-13 November, 2009. Little progress has been made so far.
Quality Systems Group
The second meeting of the group was held in Annapolis, USA, on 9-10 July, 2009. L. Benedetti, INSEAN, Italy, has been appointed secretary of the group. WORD-files of the procedures to be updated by technical committees have been distributed to the committee chairmen aling with the guidelines for procedures and reports to the conference. The work has started to prepare the Wiki-dictionary. Likewise, the definition of benchmark data has started and it is being investigated how benchmark data shall be stored and made accessible to the members.
ITTC website
The list of ITTC members and AC members has been updated with the latest known data. As member representatives change rather frequently and information about such changes is not always conveyed to the ITTC secretary there may still be unintentional mistakes in the lists. Members are advised to inform the ITTC secretary if such mistakes are found.
Proceedings from all the earlier ITTC conferences are now available on the website.
The ITTC website address is http://ittc.sname.org .
ITTC Workshop on Seakeeping
- V&V for Non-linear Seakeeping Analysis -
1 st Announcement and Call for Papers
Background
The International Towing Tank Conference (ITTC) is a voluntary association of worldwide organisations that have responsibility for the prediction of hydrodynamic f f hi d i i ll i b d h l f h i l d performance of ships and marine installations based on the results of physical and numerical modelling.
The seakeeping analysis of ships is an essential element of the design process. As ships are getting bigger and faster than ever, the motion response and structural loads in waves become more important to the designer and operator. One of the aims of the ITTC is to develop standards and best practices for model testing and simulation that can be used to support seakeeping analysis. With the availability of non-linear time domain seakeeping analysis tools increasing verification and validation (V&V) of these domain seakeeping analysis tools increasing, verification and validation (V&V) of these prediction tools is becoming more important. Thus, the need for a robust V&V procedure is required. The purpose of this workshop is to provide the means to discuss, by way of a comparative study, the approaches that are adopted in V&V activities of non-linear ship motion simulation software. In preparation for the workshop, participants will be provided with a dataset of benchmark test cases from which their V&V activities of their non-linear ship motion prediction methods can be understood. The ship geometry and the specific test conditions to be used for the workshop will be made available to the participants; it will also be possible to download a sample of the test results as they become available. The full set of test data including free test results will be made available for comparison and discussion at the workshop.
This workshop has been initiated by 26th ITTC Seakeeping Committee with a view to using the workshop to provide guidance on the development of procedures for verification and validation activities of linear and non-linear seakeeping codes.
Date and venue
October 19-21, 2010
Seoul National University, Seoul, Korea
Scope
1. Comparative Session
Comparative study on the two selected models which will be announced later.
More attention will be given to the time-domain analysis, but not limited.
G l S i 2. General Session
- Physics in motion responses of ships and offshore structures
- Frequency- and time-domain motion analyses
- Nonlinear motion analysis
- Wave-induced structural loads
- Nonlinear loads including sloshing, slamming, and springing
- Hull hydroelasticity including springing and whipping
- Motion control Motion control
- Seakeeping experiment
- CFD for seakeeping analysis
ITTC Workshop on Seakeeping
- V&V for Non-linear Ship Motion Prediction -
Call for papers
Scientists and engineers working on the related research areas are invited to submit abstracts by electronically at the website, http://mhl.snu.ac.kr/ittc2010 or send to firstname.lastname@example.org. The abstract should be written in English and no more than 2 pages. The abstract should clearly state the purpose, procedure, results and conclusions of the full paper. Authors will be notified of preliminary acceptance within the specified deadline deadline.
Technical Committee (tentative)
Beck, R. (Univ. of Michigan, USA)
Chen, X.B. (BV, France)
Choi, H.S. (Seoul National University, Korea)
Crossland,. P (Chair of ITTC Seakeeping Committee, QinetiQ, UK)
Fathi, D. (MARINTEK, Norway)
Faltinsen, O.M. (Trondheim University, Norway)
Hayden, D. (NSWC-CD, USA)
Hermanski, G. (National Research Council, Canada)
Huijsman, R.H.M. (Deflt University, the Netherlands)
Kashiwagi, M. (Osaka University, Japan)
Keuning, J.A. (Delft University of Technology, The Netherlands)
Kim, Y. (Workshop Host, Seoul National University, Korea)
Kishev, R. (Bulgarian Ship Hydrodynamics Centre, Bulgaria)
Matsumoto, K. (Universal Shipbuilding Corporation, Japan)
Miao, Q.A. (China Ship Scientific Research Center, China)
Purtell, P. (ONR, USA)
Organizers
ITTC, Seakeeping Committee
LRET-Funded Research Center at Seoul National University (LRETC) LRET Funded Research Center at Seoul National University (LRETC)
Sponsors
Seoul National University (SNU)
The Society of Naval Architects of Korea (SNAK)
Important Dates
Due date for paper abstract submission: October 15, 2009
A
i N
AiNb Acceptance notice: November 30, 2009
Due date for paper submission: May 31, 2010
Due date for early registration: May 31, 2010
Due date for data submission for comparative study: June 30, 2010
Workshop: October 19-21, 2010
Contact Information
Any question can be sent to the workshop host Prof Yonghwan Kim of Seoul National Any question can be sent to the workshop host, Prof. Yonghwan Kim of Seoul National University (email@example.com, tel:82-2-880-9226).
|
December 2006 Detachment #1203 Vol 2 Issue 12
The Monthly Newsletter for Washington and Ozaukee County Marines.
Detachment
Officers and Committee Chairs Commandant
Tim Bertram (414) 324-1514
Sr. Vice
Commandant
John Stern (262) 629-5967
Jr. VIce
Commandant
Roger Cross (262) 675-6965
Judge Advocate
Charlie Keller
(262) 335-3330
Adjutant
Jason Waier (262) 623-1417
Paymaster
Jim Krudwig (262) 689-5409
Chaplain
George Wujcik (262) 338-8426
Sgt at Arms
Cal Racine (262) 284-3644
Historians
Jim Krudwig (262) 689-5409
Jason Waier (262)623-1417
Public Affairs
Doug Duffin (262) 673-7177
Social Committee
Ted Conde (262) 306-8446
Honor Guard Cmdr
John Stern (262) 629-5967
Color Guard Cmdr
Roger Cross (262) 675-6965
Newsletter Editor
Jim Krudwig (262)689-5409
True to the Marine motto "Semper Fidelis" these Marines from 3rd Bn,11th Marine Regiment, 1st Marine Div pay their respects to PFC Chance Phelps and his family in 2005. PFC Phelps had been killed during combat operations in Iraq in
April 2004.
Taking Chance
EDITOR'S NOTE: PFC Chance Phelps, 19, died April 9, 2005 from hostile fire in Al Anbar Province, Iraq. He was assigned to 3rd Battalion, 11th Marine Regiment, 1st Marine Division. He was buried in Dubois, Wyoming on April 17. The below story was condensed from six pages to two for the KETTLE MORAINE MARINE Newsletter. It was taken from one written by LtCol. Mike Strobl, at Quantico, who volunteered to be the escort officer for PFC Phelps during his journey home. Anyone interested can be e-mailed th e complete article which is an excellent piece..
Over a year ago, I volunteered to escort the remains of Marines killed in Iraq should the need arise. The military provides a uniformed escort for all casualties to ensure they are delivered safely to the next of kin and are treated with dignity and respect along the way. The first few weeks of April, had been a tough month for the Marines. On the Monday after Easter I was reviewing Department of Defense press releases when I saw that a Private First Class Chance Phelps was killed in action outside of Baghdad. The press release listed his hometown-the same town I'm from. I notified our Battalion adjutant and told him that, should the duty to escort PFC Phelps fall to our Battalion, I would take him.
We received a brief covering our duties, the proper handling of the remains, the procedures for draping a flag over a casket, and of course, the paperwork attendant to our task. We were shown pictures of the shipping container and told that each one contained, in addition to the casket, a flag. I was given an extra flag since Phelps's parents were divorced. This way they would each get one.
Most of the remains are taken from Dover AFB by hearse to the airport in Philadelphia for air transport to their final destination. The Marine Master Gunnery Sergeant in charge of the Marine liaison came to see me. He had Chance Phelps's personal effects. He removed each item; a large watch, a wooden cross with a lanyard, two loose dog tags, two dog tag s on a chain, and a Saint Christopher medal on a silver chain. The Master Gunnery Sergeant and I verified that the name on the container was Phelps's then they pushed the burial container the rest of the way into a modified black Chevy Surburban and we left.
When we got to the Northwest Airlines cargo terminal at the Philadelphia airport, the cargo handler and hearse driver pulled the shipping container onto a loading bay while I stood to the side and executed a slow salute. The woman behind the counter already had tears in her eyes as I was pulling out my government travel voucher. She struggled to find words but managed to express her sympathy for the family and thank me for my service. She upgraded my ticket to first class.
After clearing security, I was met by ano t her Northwest Airline employee at the gate. She told me a representative from cargo would be up to take me down to the tarmac to observe the movement and loading of PFC Phelps. On the tarmac, the cargo crew was silent except for occasional instructions to each other. I stood to the side and saluted as the conveyor moved Chance to the aircraft. I was relieved when he was finally settled into place. The rest of the bags were loaded and I watched them shut the cargo bay door before heading back up to board the aircraft. One of the pilots had taken my carry-on bag himself and had it stored next to the cockpit door so he could watch it while I was on the tarmac.
As I boarded the plane, I could tell immediately that the flight attendants had already been informed of my mission. They seemed a little choked up as they led me to my seat. About 45 minutes into our flight I still hadn't spoken to anyone except to tell the first class flight attendant that I would prefer water. I was surprised when the flight attendant from the back of the plane suddenly appeared and leaned down to grab my hands. She said, "I want you to have this" as she pushed a small gold crucifix, with a relief of Jesus, into my hand. It was her lapel pin and it looked somewhat worn. When we landed in Minneapolis, I was the first one off the plane. The pilot himself escorted me straight down the side stairs of the exit tunnel to the tarmac. The cargo crew there already knew what was on this plane.
My trip with Chance was going to be somewhat unusual in that we were going to have an overnight stopover. I learned that the cargo supervisor for Northwest Airlines at the Minneapolis airport is a Lieutenant Colonel in the Marine Corps Reserves. They called him for me and let me talk to him. The Lieutenant Colonel drove me around to the passenger terminal. I was met again by a man from the cargo crew and escorted down to the tarmac. The pilot of the plane joined me as I waited for them to bring Chance from the cargo area. I saluted as Chance was moved up the conveyor and onto the plane. It was to be a while before the luggage was to be loaded so the pilot took me up to the board the plane where I could watch the tarmac from a window.
When we arrived at Billings, I was again the first off the plane. Chance's shipping container was the first item out of the cargo hold. The funeral director had driven five hours up from Riverton, Wyoming to meet us. We moved Chance to a secluded cargo area. Once the flag was in place, I stood by and saluted as Chance was loaded onto the van from the funeral home. I picked up my rental car and followed Chance for five hours until we reached Riverton. When we finally arrived at the funeral home, I had my first meeting with the Casualty Assistance Call Officer. It had been his duty to inform the family of Chance's death. He was on the Inspector/Ins tructor staff of an infantry company in Salt Lake City, Utah and I knew he had had a difficult week.
Inside I gave the funeral director some of the paperwork from Dover and discussed the plan for the next day. The service was to be at 1400 in the high school gymnasium up in Dubois, population about 900, some 90 miles away. Eventually, we had covered everything. The CACO had some items that the family wanted to be inserted into the casket and I felt I needed to inspect Chance's uniform to ensure everything was proper. Although it was going to be a closed casket funeral, I still wanted to ensure his uniform was squared away. Suddenly, the casket was open and I got my first look at Chance Phelps. His uniform was immaculate-a tribute to the professionalism of the Marines at Dover. I noticed that he wore six ribbons over his marksmanship badge; the senior one was his Purple Heart. I had been in the Corps for over 17 years, including a combat tour, and was wearing eight ribbons. This Private First Class, with less than a year in the Corps, had already earned six.
I wore my dress blues and followed the hearse for the trip up to Dubois. We moved Chance into the gym to the place of honor. A Marine Sergeant, the command representative from Chance's battalion, met me at the gym. His eyes were watery as he relieved me of watching Chance so that I could go eat lunch. A note in the dining room said that the family would be accepting donations so that they could buy flak vests to send to troops in Iraq.
In short order I had met Chance's step-mom and father followed by his step-dad and, at last, his mom. I didn't know how to express to these people my sympathy for their loss and my gratitude for their sacrifice. Now, however, they were repeatedly thanking me for bringing their son home and for my service. I was humbled beyond words.
I told them that I had some of Chance's things and asked if we could try to find a quiet place. After we had arranged five chairs around a small table, I told them about our trip. I told them how, at every step, Chance was treated with respect, dignity, and honor. I told them about the staff at Dover and all the folks at Northwest Airlines. I tried to convey how the entire Nation, from Dover to Philadelphia, to Minneapolis, to Billings, and Riverton expressed grief and sympathy over their loss.
Finally, it was time to open the pouch. The first item I happened to pull out was Chance's large watch. It was still set to Baghdad time. Next were the lanyard and the wooden cross. Then the dog tags and the Saint Christopher medal. This time the chains were not tangled. Once all of his items were laid out on the table, I told his mom that I had one other item to give them. I retrieved the flight attendant's crucifix from my pocket and told its story. I set that on the table and excused myself. When I next saw Chance's mom, she was wearing the crucifix on her lapel.
There were a surprising number of people in military uniform. Many Marines had come up from Salt Lake City. Men from various VFW posts and the Marine Corps League. We all stood as Chance's family took their seats in the front. It turned out that Chance's sister was a Petty Officer in the Navy. I learned how Chance had died and that he was an artillery cannoneer and his unit was acting as provisional military police outside of Baghdad. Chance had volunteered to man a .50 caliber machine gun in the turret of the leading vehicle in a convoy. The convoy came under intense fire but Chance stayed true to his post and returned fire with the big gun, covering the rest of the convoy, until he was fatally wounded.
The service was a fitting tribute to this hero. When it was over, we stood as the casket was wheeled out and placed onto a horse-drawn carriage for the mile-long trip from the gym, down the main street, then up the steep hill to the cemetery. I stood alone and saluted as the carriage departed the high school. All along the route, the people had lined the street and were waving small American flags. The flags that were otherwise posted were all at half-staff. For the last quarter mile up the hill, local boy scouts, spaced about 20 feet apart, all in uniform, held large flags. At the foot of the hill, I could look up and back and see the enormity of our procession. I wondered how many people would be at this funeral if it were in, say, Detroit or Los Angeles-probably not as many as were here in little Dubois, Wyoming.
The carriage stopped about 15 yards from the grave and the military pall bearers and the family waited until the men of the VFW and Marine Corps league were formed up. Once the entire crowd was in place, the pallbearers came to attention and began to remove the casket from the caisson. As I had done all week, I came to attention and executed a slow ceremonial salute as Chance was being transferred from one mode of transport to another. From Dover to Philadelphia; Philadelphia to Minneapolis; Minneapolis to Billings; Billings to R iverton; and Riverton to Dubois we had been together. Although my mission had been officially complete once I turned him over to the funeral director at the Billings airport, it was his placement at his grave that really concluded it in my mind. Now, he was home to stay and I suddenly felt at once sad, relieved, and useless.
Two Marines removed the flag from the casket and slowly folded it for presentation to his mother. When the ceremony was over, Chance's father placed a ribbon from his service in Vietnam on Chance's casket. His mother approached the casket and took something from her blouse and put it on the casket. I later saw that it was the flight attendant's crucifix. Eventually friends of Chance's moved closer to the grave. A young man put a can of Copenhagen on the casket and many others left flowers.
Finally, we all went back to the gym for a reception. There was enough food to feed the entire population for a few days. People were continually approaching me and the other Marines to thank us for our service. About an hour into the reception, I had the impression that every man in Wyoming had, at one time or another, been in the service. It seemed like every time I saw Chance's mom she was hugging a different well wisher. As time passed, I began to hear people laughing. We were starting to heal.
The local VFW post had invited everyone over to "celebrate Chance's life." The crowd was somewhat smaller than what had been at the gym but the Post was packed. I did not buy a drink that night. As had been happening all day, indeed all week, people were thanking me for my service and for bringing Chance home. Now, in addition to words and handshakes, they were thanking me with beer. I left Dubois in the morning before sunrise for my long drive back to Billings. It had been my honor to take Chance Phelps to his final post. Now he was on the high ground overlooking his town. I miss him.
Regards, LtCol Strobl
A COLORFUL COMMANDANT
Lieutenant Colonel Anthony Wayne Gale, fourth Commandant of the Marine Corps, was born in Dublin, Ireland on 17 September 1782. Fewer records survive concerning him than any other Commandant but it is known that when he was commissioned a second lieutenant on 1 September 1798, he was one of the first officers commissioned after the re-establishment of the Marine Corps in 1798. Thereafter he fought, in fairly quick succession, the French, The Barbary pirates, the British and one of his Navy shipmates.
The last encounter, involving an affront to the Corps, brought about the naval officer's sudden demise and Commandant of the Marine Corps William Ward Burrow's approval for Gale's defense of his Corps' honor. As the story goes, Gale was Ship's Company Commander aboard USS Ganges in November 1799 when Navy Lieutenant Allen McKenzie had one of the Marines put in irons without first consulting Gale. When Gale inquired about the incident, McKenzie called him a "rascal." The rest of the story is related in correspondence by Commandant Lieutenant Colonel Burrows: "The Captain took no notice of the business and Gale got no satisfaction on the cruise. The moment he arrived he called (McKenzie) out and shot him. Afterwards politeness was restored." McKenzie died of his wounds and Burrows went to say, "It is hoped that this may be a lesson to the Navy Officers to treat the Marines, as well as their Officers, with more respect."
Unfortunately for Captain Gales, increasing rank brought other difficulties not resolved so directly. In 1815 Burrows successor as Commandant, Lieutenant Colonel Franklin Wharton, was charged by Congress with over-spending on the construction of Marine Barracks Philadelphia. He, in turn, accused the Commandant of the barracks, Anthony Gale, of building 'extravagant' officers quarters. Gale was ordered to stand before a Court of Inquiry, but was exonerated. It was shortly after this that Wharton was again called to account to Congress. This time he was accused of fleeing Washington rather than leading his Marines into the Battle of Bladensburg. When convened, his Court Martial consisted of three Navy Captains and one Captain of Marines, Captain Anthony Gale. The Court decided that Marines ashore were subject to Army, not Navy Courts under the Articles of War, and the charges were ultimately dropped. His duties on his Commandant's Court Martial complete, Gale was promoted to Major and transferred to command Marine Barracks New Orleans.
Soon afterwards a letter to the Secretary of the Navy reported that Navy officers had "frequently seen Major Gale intoxicated at New Orleans and that his associates were of such a description and his habits of such a nature as to prevent the respectable officers of that station from having any social or friendly intercourse with him." Daniel T. Paterson, Commander of the New Orleans Naval Station, wrote to the Secretary, "It is reluctantly and with extreme regret that I have again to address you relative to the Marines of this station, but longer to remain silent would be to neglect my duty. The Non-Commissioned Officers and Privates are, without exception, the most depraved abandoned, and drunken set of men ever collected together."
While Gale was preparing to go to Washington to answer the preceding charges, Commandant Wharton died. At his Court Martial, Gale was found not guilty and returned to duty. As he was the next senior officer in the Marine Corps, he was nominated to become Commandant. Despite the vigorous protest and political maneuvering of the Paymaster of the Marine Corps and Major Archibald Henderson (each of whom felt themselves better qualified for the position), on 5 March 1818 Gale was confirmed as the fourth Commandant of the Marine Corps. With it came promotion to Lieutenant Colonel.
His tenure was to be brief. Soon came troubles with Navy Secretary Thompson, who frequently countermanded LtCol Gale's orders in a humiliating manner. Finally LtCol Gale courageously submitted a letter analyzing the proper division of function between himself and the Secretary, and respectfully pointed out the impossibility of his position. This official reaction to infringements of his authority, he paralleled by unofficial retreats to alcohol. On 18 September 1820 he was arrested and charged with offenses of alcoholic and related nature. The first charge was that he was publicly intoxicated in the city of Washington on six specified dates---during the month of August. There were also several specifications under the charge of "Conduct Unbecoming an Officer." First that he had visited a house of prostitution near the barracks, 'in an open and disgraceful manner' and second, that on 1 September he had, before witnesses, called the Paymaster of the Marine Corps, "a damned rascal, a liar, and a coward." Other charges concerned his breaking house arrest and maintaining a Marine as a personal servant.
Gale's unsuccessful defense was temporary insanity. He was cashiered from the Marine Corps on 18 October 1820, leaving 46 other officers on active duty in the Corps. Archibald Henderson succeeded him as Commandant.
From Washington, Gale went first to Philadelphia where he spent several months in hospitals, then took up residence in Kentucky. Armed with proof that he had been under the strain of temporary mental derangement while Commandant, he spent 15 years attempting to have his court martial decision reversed. Eventually, in 1835, the government partially cleared him and awarded him a stipend of $15 a month, which later increased to $25, and continued until his death in 1843 in Stanford, Lincoln County, Kentucky. Today no trace of his grave exists and Anthony Wayne Gale is the only Commandant of whom the Marine Corps has no portrait.
The preceding account partially compiled from: THE U.S. MARINE CORPS STORY by J. Robert Muskin, and U.S. MARINES: 1775-1975 by Brigadier General Edwin Simmons USMC (Retired) - Taken from the Internet.
KetMorDet Members and guests enjoying the festive attitude at this years Birthday Ball at the Old Courthouse Museum in West Bend.
Capt Klabo cuts the Birthday cake for the oldest and youngest Marines Gil Lucka and Brian Deal, during the opening ceremony.
KetMorDet Color Guard members participating in the Veterans Memorial dedication in Germantown Nov 11th.
Color Guard members: Danny O'Toole, Glen Brewer, Charlie Keller, Glen Mathews, Hugo Straub, Bill Wallace, Carl Heiman, Cal Racine, Don Erdman, Barry Oelerich, Fred Montag, and Roger Cross(not pictured) along with Marine Mitch Bury prepare for the Germantown Christmas Parade. (Note the NEW winter jackets being worn by the Members.)
The poem below has been sent to me at least 20 times in the past month by friends and relatives, including Lois Waier, Jason's mother, and Mary Montag, Fritz' wife. It came from all over the country and even Iraq. So we'll include it in the December Newsletter.
A DIFFERENT CHRISTMAS POEM
The embers glowed softly, and in their dim light, I gazed round the room and I cherished the sight. My wife was asleep, her head on my chest, My daughter beside me, angelic in rest. Outside the snow fell, a blanket of white, Transforming the yard to a winter delight. The sparkling lights in the tree I believe, Completed the magic that was Christmas Eve. My eyelids were heavy, my breathing was deep, Secure and surrounded by love I would sleep. In perfect contentment, or sit it would seem, So I slumbered, perhaps I started to dream.
The sound wasn't loud, and it wasn't too near, But I opened my eyes when it tickled my ear. Perhaps just a cough, I didn't quite know, Then the sure sound of footsteps outside in the snow. My soul gave a tremble, I struggled to hear, And I crept to the door just to see who was near. Standing out in the cold and dark of the night, A lone figure stood, his face weary and tight.
A soldier, I puzzled, some twenty years old, Perhaps a Marine huddled here in the cold. Alone in the dark, he looked up and smiled, Standing watch over me, and my wife and my child. "What are you doing?" I asked without fear, "Come in this moment, it's freezing out here! Put down your pack, brush the snow from your sleeve, You should be at home on a cold Christmas Eve!"
For barely a moment I saw his eyes shift, Away from the cold and snow blown in drifts… To the window that danced with the warm fire's light, Then he sighed and he said "Its really all right, I'm out here by choice. I'm here every night.
It's my duty to stand at the front of the line, that separates you from the darkest of times. No one had to ask or beg or implore me, I'm proud to stand here like my fathers before me. My Gramps died at "Pearl on a day in December," Then he sighed, "That's a Christmas Gram always remembers" My Dad stood his watch in the jungles of 'Nam, And now it is my turn and so, here I am. I've not seen my own son in more than a while, But my wife sends me pictures, he sure got her smile."
Then he bent and he carefully pulled from his bag, The red, white and blue… an American flag. "I can live through the cold and the being alone, Away from my family, my house and my home. I can stand at my post through the rain and the sleet, I can sleep in a foxhole with little to eat. I can carry the weight of killing another. Or lay down my life with my sister and brother.. Who stand at the front against any and all, To ensure for all time that this flag will not fall."
"So, go back inside," he said, "harbor not fright, Your family is waiting and I'll be all right." "But isn't there something I can do, at the least, give you money," I asked, "or prepare you a feast? It seems all too little for all that you've done, For being away from your wife and your son." Then his eye welled a tear that held no regret, "Just tell us you love us, and never forget. To fight for our rights back at home while we're gone, To stand your own watch, no matter how long. For when we come home, either standing or dead, To know you remember we fought and we bled. Is payment enough, and with that we will trust, That we mattered to you as you mattered to us."
The following note accompanies this poem.
PLEASE, Would you do me the kind favor of sending this to as many people as you can? Christmas will be coming soon and some credit is due to our U. S. service men and women for our being able to celebrate these festivities. Let's try in this small way to pay a tiny bit of what we owe. Make people stop and think of our heroes, living and dead, who sacrificed themselves for us.
LCDR Jeff Tiles, SC, USN 30th Naval Construction Regiment OIC, Logistics Cell One Al Taqqadum, Iraq
ANOTHER PHONY MARINE
FBI Agents arrested a member of the Marine Corps League in St Louis after being photographed allegedly wearing a Navy Cross medal he doesn't rate at the league's Marine Corps ball in Nov. Michael Weilbacher wore a Navy Cross, two Silver Stars and four Bronze Stars to the ball, where he told Marines he had earned the nation's second highest valor award during drug interdictions in Columbia. This raised a red flag with an attendee who maintains a comprehensive database of every Navy Cross awarded. None has ever been awarded for duty in Columbia. Personnel records at Headquarters Marine Corps show no record of Weilbacher ever serving in the Corps. Under current law, Weilbacher faces a maximum of six months in jail and $5,000 in fines in connection the misdemeanor charge of wearing unearned military decorations. (Extracted from a Marine Times article on-line).
And some wonder why we want to look at the DD214 of prospective MCL Members.
SERIOUS USE FOR SILLY STRING
Condensed from an article By Rebecca Santana, Associated Press Writer, Wed Dec 6, 2006
In an age of multimillion-dollar high-tech weapons systems, sometimes it's the simplest ideas that can save lives. Which is why a New Jersey mother is organizing a drive to send cans of silly String to Iraq.
American troops use the stuff to detect trip wires around bombs, as Marcelle Shriver learned from her son, a soldier in Iraq. Before entering a building, troops squirt the plastic goo, which can shoot strands about 10 to 12 feet, across the room. If it falls to the ground, no trip wires. If it hangs in the air, they know they have a problem. The wires are otherwise nearly invisible.
Now, 1,000 cans of the neon-colored plastic goop are packed into Shriver's one-car garage, ready to be shipped to the Middle East, thanks to two churches and a pilot who heard about the drive. "If I turn on the TV and see a soldier with a can of this on his vest, that would make this all worth it" said Shriver, 57, an office manager.
The maker of Silly String brand, Just for Kicks Inc, of Watertown, N. Y. has contacted the Shriver's about donating some. Other manufacturers make the stuff, too, and call their products "party string" or "crazy string."
The military is reluctant to talk about the use of Silly /String, saying that discussing specific tactics will tip off insurgents. A US Military spokesman in Baghdad, said Army soldiers and Marines are not forbidden to come up with new ways to do their jobs, especially in Iraq's ever-evolving battlefield. He said that commanders are given money to buy nonstandard supplies as needed.
In other cases of battlefield improvisation in Iraq, U.S. soldiers have bolted scrap metal to Humvees in what has come to be known as "Hillybilly Armor." Medics use tampon to plug bullet holes in the wounded until they can be patched up.
Also, soldiers put condoms and rubber bands around their rifle muzzles to keep out sand. And troops have welded old bulletproof windshields to the tops of Humvees to give gunners extra protection. They have dubbed it "Pope's glass", a reference to the barriers that protect the pontiff.
In an October call to his mother, Army Spec Todd Shriver explained how his unit in the insurgent hotbed of Ramadi, learned from Marines to use Silly String on patrol to detect booby traps.
After sending some cans to her 28-year-old son, Shriver enlisted the help of two priests and posted notices in her church and its newsletter. From there, the effort took off, with money and Silly String flowing in. Parishioners have been dropping cans into donation baskets.
There's so much that they can't do, and they're frustrated, but this something they can do," said Rev Joseph Capella of St Luke's Church in Stratford.
The Shriver's said they would not mind seeing the string as standard-issue equipment, but they don't blame the military for not supplying it.
"I don't think that they can think of everything," said Ronald Shriver, 59, a retired salesman. "They're taught to improvise, and this is something that they've thought of."
Marcelle Shriver said that since the string comes in an aerosol can, it is considered a hazardous material, meaning the Postal Service will not ship it by air. But a private pilot who heard about her campaign has agreed to fly the cans to Kuwait, most likely in January where they will then be taken to Iraq.
Shriver said she would continue her campaign as long as her son is overseas and she has Silly String to send. "I know that he's going to come through this. I hope they all do," she said.
NOVEMBER MEETING/BIRTHDAY CELEBRATION
There was no KetMorDet Meeting held in November as the Members attended the Marine Corps Birthday celebration held on November 11th at the Washington County Old Court House Museum in West Bend. Nothing about the festivities was provided to the Newsletter by the Det Social Committee, which did an excellent job. There were 62 attendees in addition to the guest speaker and his wife. Some pictures can be found on the photo page. All had a good time.
DETACHMENT OFFICERS REPORTS
Commandant - Nothing reported.
Sr Vice Commandant reports:
The Det. Honor Guard participated in services on Nov 29th for former world war II Marine Sergeant Alvin Dixon at Phillips Funeral Home in Slinger. Services rendered included the posting of two Members beside the remains during the wake and a firing detail at the conclusion of the service. Marines from Fox Company Milwaukee I&I were also on hand to perform flag folding and taps. The family was presented with four polished cartridges and a challenge coin in remembrance of their father's service. The family was very appreciative and the Honor Guard Detail was recognized and given an ovation during the funeral service.
Five Care Packages were sent during December to the following military personnel overseas:
Spec. 4 Josh Harazin on duty in Iraq. Submitted by Member, Kevin Koski.
SSgt Jeffery Schied on duty in Afghanistan. Submitted by his mother, Karen, who approached us at the conclusion of a flag presentation performed at Virginia Highlands Home in Germantown.
Cpl John R. Witczak on duty in Iraq with E/2/10. Submitted by Pastor David Cooper, St Paul's Lutheran Church in Slinger.
Marine Major Thomas Witizak on duty in Iraq. Submitted by WW II Marine veteran Sgt Casey Groh Jr, a resident at Highland Newcastle Nursing Home in Mequon.
The Sr Vice Commandant requests that all names submitted for package distribution also include an e-mail address. A pre-delivery e-mail is sent to verify postal address as well as appropriateness of content. It has been recently determined that some overseas phone centers only honor cards purchased through them.
Jr Vice Commandant - Nothing reported.
Judge Advocate reports:
The Det
Color Guard has been busy participating as follows:
Sat Nov 25th - Grafton Christmas parade - Marched 86th in the parade
Sun Nov 26th - West Bend Christmas parade - Led the parade
Sat Dec 2nd - Germantown Christmas parade - Marched 3rd in parade
Sun Dec 3rd - Kewaskum Christmas parade - Marched 2nd in parade
Members participating in uniform were:
Glen Brewer
Carl Heiman
Roger Cross
Charlie Keller
Barry Oelerich
Dan O'Toole
John Stern
Hugo Straub
Don Erdman
Fritz Montag
Cal Racine
Bill Wallace
Member John Fleischmann rode in the escort vehicle although he has not been issued a uniform. Member Kevin Koski arrived but there was no room left in the escort vehicle. Thanks for coming Kevin and John.
Comments heard from the parade watchers were "Good Job Marines" and "Look at those Shiny Shoes!"
Adjutant reports:
Mail-in ballots for the proposed By-law changes have been coming in. If you have not mailed yours yet, bring it to the Dec 16th Meeting where the vote will be taken.
A letter was received which reads: "On the behalf of the Town of Erin Veteran's Committee, our sincere thanks for participating in our Veterans' Day program. The escort your members provided for the honorees and family, was greatly appreciated. Sincerely, Beverly"
Paymaster
reports:
Members are reminded that they can save money by paying their dues by Dec 16th for 2007 and later years.
The bills for the Marine Corps Birthday Celebration have been received and paid. The committee appears to have completed the celebration within its budget.
Mrs. Kathleen Giese of Kewaskum contacted the Paymaster to inquire if she could donate an international phone card for use by the troops overseas. During the conversation she decided to send an additional $25 check for use in preparing Care Packages for the troops.
A letter was received from the United States Marines Youth Foundation Inc, which reads in part "On behalf of the Chairman of the Board, General Alfred M. Gray, I would like to thank your Detachment for the purchase of a Blue Light ($100.00). A special Scroll of Honor has recorded your gift in Honor of: Marines from the Washington and Ozaukee Counties of Wisconsin."
Chaplain reports that he had received no notices of Members in ill health over the past month.
LAST CHANCE
Any other Members wanting to take advantage of the final opportunity to make an early dues payment at the old rate before the 2007 increase should see the Paymaster at the Detachment Meeting on Dec 16th. Those changes will be forwarded to the National MCL Hqs via the Dept of WI Paymaster in order that they be registered prior to Jan 1st. Any questions about rates, call the Det Paymaster at (262) 689-5409.
GET A RED DETACHMENT T-SHIRT
Members who solicit at least three ads for the Newsletter will receive one of the new 2007 red KetMorDet T-shirts. See the Paymaster/Editor for info. Be the first in your Fire team to have one. The ads are needed now.
CHRISTMAS WITH THE VETS AT VA HOSPITAL
Members wanting to participate are reminded to bring cookies, candies or checks made out to "Christmas With The Vets"l (for tax purposes) to the Dec 16th Meeting. Everything will be delivered by our Commandant to the Zablocki VA Medical Center later that day.
DETACHMENT'S SCHEDULE OF UPCOMING EVENTS
Dec 16th Sat 0900 Det Monthly Meeting - Trenton Town Hall
Dec 16th Sat 1730 Commandant will deliver Member donations of cookies, candies and checks for the "Christmas
With The Vets" at the Zablocki VA Medical Center
Dec 25th Mon
Merry Christmas to the Marines and their Families
Jan 1st Mon
Happy New Year Jarheads
Jan 15th Mon 1900 Det Officers Call - MPTC West Bend
Jan 20th Sat 0900 Det Monthly Meeting - Trenton Town Hall
Jan 20th Sat1000 Dept of WI MCLStaff Meeting at Double Days Inn - Cottage Grove
Newsletter Info: The KETTLE MORAINE MARINE Newsletter, copyright 2005, 2006 by Kettle Moraine Detachment #1203, Marine Corps League, PO Box 1163, West Bend, WI 53095-8663. All rights reserved. The KETTLE MORAINE MARINE is not an official publication of either the U. S. Marine Corps or the Marine Corps League. Opinions expressed do not imply official endorsement by any agency of the Federal Government or the Marine Corps League, and remain the sole opinion of the writer. Unless otherwise specified, articles not accompanied with a by-line have been written by the editor and do not necessarily reflect the views or opinions of the Officers or Members of Kettle Moraine Detachment #1203.
The KETTLE MORAINE MARINE Newsletter is published prior to scheduled monthly meetings for the information and use of Detachment Members. Articles and letters are invited. The editor retains the right to accept or edit any submission. Submit typed materials or photographs to the editor at the above Detachment address or by e-mail at firstname.lastname@example.org Annual donation for ads is $75 for a single and $150 for a double. Half or full-page ads are also available.
Editor: Jim Krudwig (262) 689-5409
Graphics Editor: Jason Waier (262) 623-1417
Honorary Military/Political Editor: LtGen Lewis B. "Chesty" Puller (Deceased)
Taken from the Internet - submitted by SSgt Paul (Smitty) Smith, Holcomb MCL Detachment, Wilmington, DE
I came across a short article from the father of a Marine that I thought I'd pass along. It follows:
A FATHER'S VISIT TO THE IWO JIMA MEMORIAL
I was in Washington for a meeting last month and went alone to visit the Marine Corps Iwo Jima Memorial late on the night of 10 November. It was the first time I had been back to the Memorial since the summer of 2005 when I had been there with my Marine son who had just returned from Iraq.
It seemed very quiet being that time of night. When the last visitors had left the side of the Memorial where I was standing, I knelt in prayer at the same place where my son had knelt the year before.
Thinking about the two young Marines I had seen in wheelchairs as I arrived, and about my son, my brother and many friends who have served in Iraq and Afghanistan over the past 4 years and returned home safe, my eyes overflowed some. Being lost in prayer, I didn't realize anyone else had walked up to the Memorial until I heard the voice of a young girl, maybe five years old, standing behind me say "Mommy, why is he so sad?"
Her mother answered, "Honey, he knows a hero."
VIETNAM VETERANS MEMORIAL COLLECTION
The Vietnam Veterans Memorial Fund and the National Park Service held a press conference on Dec at the Museum Resource Center in Landover, MD to announce that the Vietnam Veterans Memorial Collection, the archived gathering of items left at the Memorial, now has reached 100,000 items.
Since the dedication of the Vietnam Veterans Memorial in 1982, visitors have left items including: medals, photos, helmets, notes and, in one memorable case, a custom-built motorcycle.
National Park Service Rangers collect items left at The Wall each evening. These items are transported to the Museum Resource Center, where they are cataloged and preserved. It is a state of the art climate controlled museum facility that houses 44 collections. This facility is not open to the public.
Object from the first 100,000 collected at The Wall will be featured in the Vietnam Veterans Memorial Center, an education facility that will be built underground on the National Mall near the Vietnam Veterans Memorial.
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Project Application Form
Service Providers may use this form to apply for incentive funds from PV incentive programs in Texas administered by Frontier Energy. This form must be used with the latest version of Adobe Reader (available at http://get.adobe.com/reader). Submit this form electronically to firstname.lastname@example.org with "PAF – [CUSTOMER LAST NAME], [CITY]" in the subject line. Please send application materials as one package, not in separate emails. Due to the high volume of applications being processed, application materials received separately may cause your application to be delayed or deemed incomplete. For questions please contact the Program Manager.
1. SERVICE PROVIDER IDENTIFICATION (Who is submitting this form to request funding for the project?)
Service Provider Name:
Service Provider Contact Email for this Project:
Electrical Contractor Who Will Offer, Perform and Permit Electrical Work for this Project:
Company Name:
License #:
2. CUSTOMER INFORMATION (Who pays the electric bill at the proposed installation address listed in 4, below?)
Customer class:
Residential Commercial Non-profit or Government
Customer First Name:
Last Name:
Company Name (if applicable):
Customer Address Line 1:
Customer Address Line 2:
City:
County:
State:
Zip Code:
Phone Number:
Email:
3. INSTALLATION ADDRESS (What is the service address where the system will be installed/interconnected?)
Interconnected Meter ESI-ID #:
Annual kWh consumed:
(kWh/yr)
estimated actual (from bills)
There is an existing PV system at this site. Existing capacity:
(kWdc, to 3 decimal places)
Site Contact Person:
Phone Number:
Email:
Service Address: Check here if same as #2 (Customer) and skip to next section
Address Line 1:
Address Line 2:
City:
County:
State: TX Zip Code:
4. SYSTEM OWNER (Who will own the system once it is installed?)
Check here if
#1 (Service provider) or #2 (Customer), and skip to next section
Owner First Name:
Last Name:
Company Name (if applicable):
Owner Address Line 1:
Owner Address Line 2:
City:
State:
Zip Code:
Phone Number:
Email:
5. PROPOSED NEW INSTALLATION
Mounting Type:
Roof Ground Pole Other
Construction Type:
New construction Existing construction
Permanently affixed to structure:
Yes No
Proposed system capacity:
(kWdc, to 3 decimal places)
Proposed construction start date:
Completion date:
5. PROPOSED NEW INSTALLATION (CONTINUED)
5.A. Solar PV Module Information by Array (see PVWatts for more information about each input)
Type (Standard,
List as separate arrays modules of a different make/model and/or differences in tilt or orientation >5 degrees.
Array Tracking Type:
Fixed Single-axis Dual-axis
5.B. Inverter Information
Manufacturer
Model
Does the installation have a backup battery?
5.C. Estimated Annual Energy Production
i.
kWh/yr, proposed
system, PVWatts at proposed
Location (default TMY2 weather file)/kWdc/Module
Type/Array Type/Tilt/Azimuth; System Losses factor adjusted only for shading ii. kWh/yr, reference system, PVWatts at proposed Location (default TMY2 weather file)/kWdc, default Module Type/Array Type/Tilt/Azimuth/System Losses factor
iii. proposed/reference =
(must be greater than 0.80 or 80% to qualify for incentive)
6. CUSTOMER COST AND INCENTIVE RESERVATION REQUEST
Systems Purchased by Custome r or
Leased Systems
Total Installation Price: $
(without battery): $
Total Installation Cost: $
(reported to IRS)
Initial Monthly Lease Amt: $
Lease Term:
Purchase Price at End of Lease Term: $
7. INCENTIVE REQUEST (incentive levels subject to change, see program website for latest information)
Capacity Tier
A. Incentive Level ($/Wdc)
B. Capacity (kWdc)
Incentive ($, = A x B x 1000)
0-10 kWdc >10-25 kWdc >25-200 kWdc
$0.60 res, $0.70 non-res $0.00 res., $0.70 non-res.
$0.00 res., $0.25 non-res.
Total
8. INCENTIVE RECIPIENT (To whom should we direct the incentive payment?)
Check here if
#1 (Service provider) or
#2 (Customer) or
#4 (System owner), and skip to next section
Recipient Name:
Recipient Address Line 1:
Recipient Address Line 2:
City:
Phone Number:
Tax ID#:
State: Zip Code:
AC Rating (kWac)
Yes
No If yes, what size?
# of Inverters
(Amp-hour)
Email:
Years
9. ADDITIONAL INFORMATION ATTACHED
Copy of recent customer electric bill for installation location
Copy of signed customer contract
PVWatts estimate of annual energy production for proposed system (from section 5c)
Map of location for the installation site (for new construction projects only)
W-9 attached (required for all incentive recipients other than residential customers)
10. SERVICE PROVIDER SIGNATURE
Service Provider hereby attests that all information provided on this form is truthful and accurate, that the proposed system meets all program requirements, that the installation will be conducted in accordance with all program requirements and in a professional manner, and that installation will be completed within the applicable incentive reservation period. SIGN
Signature of Authorized Officer Printed Name
Title
Date
11. CUSTOMER SIGNATURE
The undersigned (hereinafter "Customer") is an electric delivery customer of an electric utility (Utility) sponsor of a solar PV incentive program, and has submitted to participate in the solar PV incentive program (the "Program") offered by the Utility and implemented by Frontier Energy ("Implementer"). In consideration of participation in the Program, and for other good and valuable consideration, the receipt, adequacy and legal sufficiency of which are hereby acknowledged, Customer hereby agrees as follows:
* Renewable energy credits (RECs) and other environmental credits: Once operational, owners of distributed renewable generation systems may be eligible to earn, sell, and/or retire renewable energy credits (RECs) in accordance with applicable utility incentive program policies, laws and rules. The following utility policies regarding RECs and other environmental credits apply:
AEP Texas Central Division and AEP Texas North Division: Owners of distributed renewable generation facilities also own all renewable energy credits (RECs) or other environmental credits associated with projects receiving incentives under AEP's SmartSource Solar PV Program. Distributed renewable generation owners may register their generating units and create solar renewable energy credits on a monthly basis as provided by the Texas Public Utility Commission.
* That Customer hereby attests to their intent to purchase and install the proposed system described in this preapplication within the applicable incentive reservation period contingent upon approval of this incentive reservation request.
* THAT CUSTOMER HEREBY ATTESTS THAT THE INSTALLATION WILL BE PERMANENT AND THE CUSTOMER'S INTENT IS THAT THE PROPOSED SOLAR ENERGY SYSTEM WILL REMAIN INSTALLED AT THE PROPOSED INSTALLATION LOCATION FOR THE EXPECTED SYSTEM LIFE.
* That the submission of an application by Customer to participate in the Program does not guarantee receipt of incentives unless the Program guidelines have been met. Program specific roles, responsibilities, requirements, policies and guidelines are subject to change and are covered in the latest version of the Solar PV Pilot Program Guidebook and any supplements thereto.
* That incentives associated with the Program are only for energy efficiency measures installed at the Customer site(s) that receive service from Utility, as evidenced by an Electric Service Identifier (ESI ID) number, and that Utility may withhold incentive payments committed to the Customer if the project site is proven to not receive service from Utility.
* That the incentive will only be paid to the Customer after receipt of post-project documentation and verification.
* That, while Utility is offering and providing incentive payments to the Customer based on the energy efficiency project, Utility is not supervising the work performed for the Customer and is not responsible in any way for proper completion of that work or proper performance of any equipment purchased. Utility is simply providing funding to assist Customer in implementing energy efficiency savings and/or energy generation measures. Utility does not guarantee any results by its approval of the Customer Participation Agreement, payment of incentives, or by any other of its actions.
* That Utility may include a description of this project, including the Customer's name, organization name, or companies name (if applicable), services provided, project cost and energy savings and/or generation, in reports, studies, and other documentation required by Utility, the Public Utility Commission of Texas, and Texas Legislature. Utility will treat all other information gathered in evaluations as confidential and report it only in the aggregate.
* That Utility is not responsible for any tax liability imposed on the Customer as a result of payment of the incentives and the Customer should consult a tax attorney to determine any potential tax liabilities as a result of receiving
incentives for energy efficiency savings and/or energy generation measures. Utility is not providing tax advice, and any communication by Utility is not intended or written and cannot be used for the purpose of avoiding penalties under the Internal Revenue Code.
* That, in the event of a dispute between the Customer and Service Provider (the contractor qualified to participate in the Program) or the Program Implementer, the Customer may file a complaint with the Public Utility Commission of Texas concerning the Service Provider and/or Program Implementer and that Utility will play no such role in resolving such dispute.
* To provide Utility, Implementer, and/or Service Provider with access to the installation for performance evaluation purposes throughout the useful life of the system.
* To provide Utility, Implementer, and/or Service Provider with access to and/or copies of the Customer's utility bills, project documentation, all invoices related to the purchase and installation of the energy efficiency measure, and technical and cost information related to or arising from the project or its participation the Program.
* To provide any Service Provider or independent measurement and verification person selected by Utility or the Public Utility Commission of Texas, upon three (3) days' prior verbal notice, with full and complete access to the Customer project site for any purpose related to, or arising from, the Program.
* Customer shall not use the Utility trademarks without written approval by Utility.
* Customer shall not communicate with the media about the Program without written authorization and coordination with Implementer and Utility.
* THAT ANY REVIEW, INSPECTION, OR ACCEPTANCE BY UTILITY OF THE PROJECT SITE, PROJECT, OR THE DESIGN, CONSTRUCTION, INSTALLATION, OPERATION OR MAINTENANCE OF THE MEASURES IS SOLELY FOR THE INFORMATION FOR THE INFORMATION OF UTILITY AND THAT, IN PERFORMING ANY SUCH INSPECTION OR REVIEW OR IN ACCEPTING THE MEASURES, UTILITY MAKES NO REPRESENTATION OR WARRANTY WHATSOEVER, WHETHER EXPRESS OR IMPLIED, INCLUDING WITHOUT LIMINITATION WARRANTY OR MECHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE, AS TO THE ECONOMIC OR TECHNICAL FEASIBILITY, CAPABILITY, SAFETY OR RELIABILITY OF THE MEASURES, THEIR INSTALLATION BY A CONTRACTOR OR THEIR COMPATIBILITY WITH THE CUSTOMER'S FACILITIES.
* THAT CUSTOMER, TO THE EXTENT ALLOWED BY LAW, AGREES TO INDEMNIFY UTILITY AND ITS AGENTS, AND EMPLOYEES AGAINST ALL LOSSES, EXPENSES, DAMAGES, ATTORNEYS' FEES, JUDGEMENTS, COSTS, AND LEGAL LIABILITY (COLLECTIVELY REFERRED TO HEREIN AS "CLAIMS") RELATED TO: 1) INJURY OR DEATH OF PERSONS; 2) DAMAGE TO PROPERTY OR NATURAL RESOURCES; 3) VIOLATION OF ANY LOCAL, STATE, OR FEDERAL LAW OR REGULATION INCLUDING, BUT NOT LIMITED TO, ENVIRONMENTAL AND HEALTH AND SAFETYLAWS OR REGULATIONS; 4) STRICT LIABILITY IMPOSED BY ANY LAW OR REGULATION; 5) EQUIPMENT MALFUNCTIONS; OR 6) ENERGY SAVINGS SHORTFALLS ARISING OUT OF RELATED TO, OR IN ANY WAY CONNECTED WITH THE PROJECT, REGARDLESS OF ANY STRICT LIABILITY OR NEGLIGENCE OF UTILITY OR SERVICE PROVIDER, WHETHER ACTIVE OR PASSIVE, EXCEPTING ONLY SUCH CLAIMS AS MAY BE CAUSED BY THE GROSS NEGLIGENCE OR WILLFUL MISCONDUCT OF UTILITY AND THAT RESULT FROM UTILITY'S ACCEPTANCE OF PROJECT FOR PARTICIPATION IN THE PROGRAM
This Participation Agreement shall be governed by and construed in accordance with the laws of the State of Texas, The parties agree that the proper venue and jurisdiction for any cause of action relating to this Participation Agreement will be Travis County, Texas, unless such cause of action is within the jurisdiction of the Public Utility Commission of Texas ("PUCT"), in which case proper venue and jurisdiction will be at the PUCT.
Customer Signature (Authorized Officer) Printed Name
Title (if applicable)
Company (if applicable)
Date
SIGN
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Ref. No. 19839 Date: 22 May 2017
NATIONAL PREVENTIVE MECHANISM
MONITORING OF THE FULFILMENT OF THE RECOMMENDATIONS
Report on the Visit to the Reception Centre in Šid
Under the Act Ratifying the Optional Protocol to the Convention against Torture and Other Cruel, Degrading or Humiliating Treatment or Punishment 1 , the National Preventive Mechanism for the Prevention of Torture (NPM) shall visit institutions where persons are or may be deprived of their liberty with a view to deterring any form of torture or other form of ill-treatment by the state authorities or public officials and to providing guidance to state authorities on putting in place accommodation and other living conditions in institutions where persons are deprived of liberty in accordance with the valid regulations and standards. The NPM is entitled to unimpeded and unannounced access to all institutions where persons are or may be deprived of liberty at all times; to hold private interviews with such persons, with public officials, who are under the obligation to cooperate with it, and with any other persons who may have information of relevance to the treatment of persons deprived of liberty; to access all documentation regarding those persons; to issue recommendations to the competent authorities with a view to improving the treatment of persons deprived of liberty and the conditions in which they are held or detained.
Under Article 2a of the Act, the Protector of Citizens shall perform NPM duties and, in performing these duties, cooperate with the Ombudspersons of the autonomous provinces and with associations, the Statutes of which include the goal of improving human rights and freedoms in accordance with the law.
The Protector of Citizens has formed a separate unit, the "National Preventive Mechanism Secretariat", which performs NPM professional duties, pursuant to the NPM's remit defined in Article 4 of the Optional Protocol to the Convention against Torture. The Secretariat is managed by the NPM Secretary, who operates in accordance with the guidelines issued by the Deputy Protector of Citizens charged with the rights of persons deprived of liberty.
The Protector of Citizens and the AP of Vojvodina Provincial Ombudsperson signed a Memorandum on Cooperation in Performing NPM Duties 2 , under which the Provincial Ombudsperson shall actively partake in the visits by the NPM Monitoring Team to institutions in the territory of the AP of Vojvodina where persons are deprived of liberty.
Pursuant to the procedure implemented after the publication of the Public Call 3 , the Protector of Citizens selected the following associations with which it will cooperate in performing NPM duties: the Belgrade Centre for Human Rights (BCHR), the Victimology Society of Serbia, Group 484, the Mental Disability Rights Initiative - Serbia (MDRI-S), the Committee of Human Rights Lawyers (YUCОМ), the International Aid Network (IAN), the Human Rights Committee – Valjevo, the Helsinki Committee for Human Rights in Serbia and the Human Rights Centre – Niš.
After its visits, the NPM prepares reports, which it forwards to the visited institutions. Thereinafter, the NPM maintains continuous dialogue with the visited institutions and the authorities within which they operate, with a view to eliminating the identified deficiencies that may lead to torture or inhuman or humiliating treatment.
1 Official Journal of Serbia and Montenegro – International Treaties Nos. 16/2005 and 2/2006 and Official Gazette of the Republic of Serbia - International Treaties No. 7/2011.
2 Signed on 12 December 2011.
3 Published in the Official Gazette of the Republic of Serbia on 29 January 2016.
MAIN INFORMATION ABOUT THE VISIT
| VISITED INSTITUTION | |
|---|---|
| PURPOSE OF THE VISIT | |
| VISIT CONDUCTED BY | |
| | Protector of Citizens in cooperation with the Belgrade Centre for |
| | Human Rights |
| DATE OF VISIT | |
| | 16 May 2017 |
| NOTICE OF VISIT | |
| | The visit was not pre-notified |
| VISIT TEAM | |
COOPERATION OF THE OFFICIALS WITH THE NPM TEAM
Šid Reception Centre staff cooperated with the NPM Team, extending it the required information and facilitating private interviews with and medical examinations of migrants claiming they had been victims of torture.
1. INTRODUCTION
During its visits in December 2016 4 and March 2017 5 , the NPM heard a lot of complaints from the migrants about how they were treated by the Commissariat for Refugees and Migration staff, notably, about the physical abuse and humiliating oral communication. During this visit, the migrants did not complain about their treatment by the Centre staff. The change in treatment is presumably due to the fact that a large number of migrants (some 400 of them) have been relocated since the previous visit and that the Centre is no longer overcrowded. The Centre staff said that around 135 migrants were moved to the Reception Centre in Adaševci, around 36 of them to the Centre in Principovac, while several families moved to the Reception Centre in Kikinda.
Both the doctor and the Centre staff said that there had been no clashes among the migrants and that they had not complained about how they were treated by the staff since the decrease in the number of Centre residents.
2. SITUATION ON THE DAY OF THE VISIT
On the day of the visit, 220 migrants were staying at the Reception Centre: 153 of them were from Afghanistan, 38 from Pakistan, seven from Syria, six from Bangladesh and two frim Iraq. Fifteen of them were single adults, 101 were minors, 78 of them were unaccompanied minors; 59 of them were women and girls. The family with children suffering from cerebral palsy was still living in the Centre.
All the residents are accommodated in buildings of durable material. The prefab facilities are no longer in use.
The Centre has introduced identification cards (with the migrants' photographs, first and last names, countries of origin and dates of birth on the front, and the telephone numbers of the Reception Centre and the Belgrade headquarters on the back), as well as an in-house 14paragraph Rulebook. Under the Rulebook, all migrants with new cards shall be assigned a bed, each room shall be assigned a leader, roll call shall be conducted every evening, between 10 and 11 pm; room leaders shall notify the Centre of any migrants who had left the Centre; residents may be absent from the Centre up to 48 hours, with the exception of migrants living in the room for minors, whose absence from the Centre may not exceed 24 hours; the places of migrants who fail to return or report within the set deadlines shall be reassigned to other migrants; the room leaders shall assist in all room chores, ensure peace and order in the rooms and report any problems; leaders must report all migrants causing problems or harm to others; non-compliance with the rules shall incur demerit points and three demerit points shall result in the loss of a place in the Centre. This rule applies to everyone, including the room leaders; in the event it is ascertained during roll call that all the minors staying in the room together earned more than five demerit points, the residents of the room shall be punished by cutting of the room electricity for four hours; room leaders shall be demoted in case they have earned three demerit points and new leaders will be named in their place; all residents of the room for minors are under the obligation to know their ID card numbers and bed numbers; the migrants are prohibited from leaving the Centre after 11 pm, when the Centre gate is locked.
The NPM Team ascertained during its interview with the Centre doctor that she kept medical reports on the migrants' injuries, in which she entered their personal data, the description of
4 Report on the Visits to the Reception Centres in Principlovac, Šhid and Adaševci Ref. No. 281-98/16.
5 Visit Report Ref. No. 281-23/17.
their injuries and the migrants' claims on how they sustained them and diagrammed the patients' injuries.
3. UNACCOMPANIED MINORS
The Centre staff said they devoted particular attention to unaccompanied minors. All of them are accommodated in a separate room along with several single adults. They receive larger meals than other Centre residents and are given priority when the Serbian Orthodox Church charity Čovekoljublje (Philanthropy) distributes cards with specific amounts of money.
4. FULFILMENT OF RECOMMENDATIONS
1.
2016 RECOMMENDATION
The Commissariat for Refugees and Migration is to take the adequate measures to ensure sufficient quantities of hot water for the Šid Reception Centre residents
ACTIONS TAKEN TO FULFIL THE RECOMMENDATION
According to the Centre staff, the upgraded central heating system facilitated the heating of sufficient quantities of water. Electricity is also used to heat the water. Hot water is available round the clock in the facilities made of durable material and from 9 or 10 am to 9 pm in the new bathroom in the yard.
The migrants staying in the facilities made of durable material confirmed they had access to hot water, but said that there were not enough bathrooms to satisfy the needs of all the migrants accommodated there. Some migrants said that this was why they bathed in the rooms they were staying in. On the other hand, migrants staying in the Centre yard said that the hot water was used up soon after it was turned on, within an hour or two, preventing all migrants who wanted to shower to do so. They also complained about the lack of bathrooms. During their tour of the new bathroom in the yard, the NPM Team members saw for themselves that there was no hot water in it at that time.
The NPM thus reiterates its recommendation.
THE RECOMMENDATION HAS BEEN FULFILLED
Conditions for the fulfilment of this recommendation were created when the number of Centre residents decreased.
2.
2016 RECOMMENDATION
The Commissariat for Refugees and Migration is to secure a separate office in the Šid Reception Centre, where migrants can have confidential conversations with experts extending them psychological support.
ACTIONS TAKEN TO FULFIL THE RECOMMENDATION
The Reception Centre psychologist still does not have a separate office, in which she can have confidential conversations with migrants in need of support. The staff said that the plan was to cede the offices now used by police officers to the health service, because the round the clock duty of the police officers was to have been cancelled. This plan has, however, been abandoned and the health service has only one office at its disposal.
The psychologist, interviewed by the NPM Team, said she had just started working and that she has noticed in the short while she has been here that the migrants were anxious, for the most part because of the uncertainties regarding their onward journey. She is familiar with her obligation to report all cases of violence against migrants to the organisation that engaged her.
The NPM thus reiterates its recommendation.
THE RECOMMENDATION HAS BEEN FULFILLED
The Danish Refugee Council engaged a psychologist, who comes to the Centre three times a week. The Centre has secured a room in which she can hold confidential conversations with the migrants if necessary.
3.
The Commissariat for Refugees and Migration is to install video surveillance of all common rooms and the yard in the Šid Reception Centre and display visible notices thereof in the languages the migrants living in the Centre understand.
The Commissariat for Refugees and Migration is to make sure that the video surveillance footage is kept at least 30 days.
The Commissariat for Refugees and Migration is to put in place an efficient mechanism via which the migrants can complain about the work of staff engaged in institutions accommodating migrants and asylum seekers and is to review all claims of ill-treatment with due diligence
The Commissariat for Refugees and Migration is to display notices in all institutions accommodating migrants and asylum seekers of their right to complain about the work of staff engaged in these institutions and the complaint procedure, as well as information on relevant organisations that can assist them.
ACTIONS TAKEN TO FULFIL THE RECOMMENDATION
Incidents break out in the Centre two or three times a month, usually in the evening hours. They are mostly caused by inebriated single migrants. Accusations of theft have been forwarded to the police, but, according to the migrants, they do not appear to be interested on acting on all the reports. They suspect their things were stolen by migrants staying a night or two at the Centre. Migrants, staying in the Centre with their families, complained that single migrants under the influence of psychoactive substances have been breaking into their dormitories at night and causing problems. They have reported these incidents to the CRM staff, who padlocked the entrance, but the single migrants have broken these padlocks repeatedly.
The NPM Team again heard accusations about the inadequate treatment of the migrants by the CRM staff – insults, threats and blows, dealt to discipline the migrants, i.e. in reaction to their violations of the Centre house rules. The migrants also said that some staff were rude and did not want to provide them with the information they asked for. They alleged that the migrants traveling alone were treated particularly badly. They described a situation when the CRM staff forced all the migrants to undergo a check-up to see whether they had scabies. No-one was given any food all day, until all the check-ups were completed. A migrant, who asked for food for his child, was beaten up by the staff. Several migrants said that an incident occurred in the food line several days before the visit, which broke out when the migrants quarrelled about who was next in line, and that a CRM staff member interceded and applied physical force to calm them down. They have been reporting these incidents to the organisations working in the Centre.
They, however, stressed that there were staff they had no problems with. Furthermore, some migrants did not voice any complaints about how they were treated by CRM staff and said they had only witnessed clashes among the migrants.
A number of migrants complained about the presence of drugs and alcohol in the Centre, which, in their view, is the cause of numerous incidents.
Video surveillance has not been installed in the Centre. Nor has a complaint procedure been introduced. Notices of the migrants' right to complain about the work of the staff and the complaints procedure were not displayed in the Centre at the time of the visit either and the CRM did not know anything about these issues. In addition, the interviewed migrants were unaware who they could complain to about the actions of the staff engaged at the Centre.
According to information the NPM received subsequently, on 16 March 2017, a notice was displayed at the entrance to the Centre on the migrants' right to complain to the Centre Manager about a member of staff and of their right to file a complaint if they were dissatisfied with the Manager's response by e-mailing it to the following address email@example.com. The notice also specifies the type of information they should include in their complaints.
In view of the gravity of the migrants' allegations, the NPM expects of the CRM to invest efforts in securing the requisite funding and installing video surveillance in the Šid Reception Centre as soon as possible.
Having perused the 27 February–5 March and 6 March-12 March 2017 weekly reports, the NPM Team ascertained that they did not include information about the incidents that broke out in the Centre during those periods. Timely registration of all extraordinary events, including incidents, and filing of written reports on them to the CRM are important for preventing any improper actions by the staff, for taking measures to maintain order and safety and for properly managing the centres for the reception and accommodation of migrants.
RECOMMENDATION
The Commissariat for Refugees and Migration is to take measures to ensure the Šid Reception Centre weekly reports include information on extraordinary events, including incidents.
THE RECOMMENDATION HAS BEEN FULFILLED
Apart from information on regular Centre activities, the Commissariat for Refugees and Migration staff also enter in their daily reports any extraordinary events and incidents, as well as information on measures taken thereto. No incidents have broken out since the number of Centre residents has decreased.
5. TORTURE ALLEGATIONS
The NPM Team interviewed three migrants who claimed they had been beaten up by the Croatian police. They were also examined by the forensic doctor, who rendered her expert opinions. Each of the migrants was interviewed individually, in a separate room.
All three migrants said that they tried to cross the Croatian border in a group with two other migrants in the night of Sunday/Monday, 14/15 May 2017. At around 1 am, they came across a police car some 40 m into Croatian territory. Three policemen with flashlights got out of the car, ordered them to sit down and then searched their bags. They were then ordered to get in the van that pulled up. The van took them to the railroad tracks in the countryside. They were ordered to get out of the van, one by one.
Migrants' Individual Claims about the Ensuing Events:
1. А. А. said that, when he got out of the van, two policemen grabbed him by the arms while eight other policemen beat him, and that he fell on his knees and hands due to the blows. Two other policemen raised him, holding him by the armpits, so that his knees and shins were on the ground, while they were holding his torso up. He was repeatedly hit all over; the policemen slapped and punched him, kicked him (they were wearing boots with rubber soles) and hit him with their batons.
The forensic doctor found that A.A.'s injuries indicated that he had been hit by blunt mechanical objects. The external injuries, individually and altoghether, amounted to light bodily injuries at the time they were inflicted. The features of all these injuries are consistent with the victim's claims of how and when he had sustained them (they could have been incurred by slapping and/or punching, kicks by feet in rubber soled footwear and batons).
2. I.А. Said that, while he was getting out of the van, the police first hit the back of his legs with a baton and, when he tried to run away, he was hit on the head and in the chest (he did not specify with what) his legs were was first hit with a baton, after which he fell. There were a total of 10 policemen who were hitting him all over, with their hands and batons and kicking him. He said the policemen were wearing black boots with rubber soles.
The forensic doctor found that I.A.'s injuries indicated that he had been hit by blunt mechanical objects. The external injuries, individually and altoghether, amounted to light bodily injuries at the time they were inflicted. The features of all these injuries are consistent with the victim's claims of how and when he had sustained them (they could have been incurred by slapping and/or punching, kicks by feet in rubber soled footwear and batons).
3. А.H. said that, as he was getting out of the van, a policemen punched him in the face, close to his left eye, and that two policemen then grabbed him by the arms and held him while the other policemen were beating him. He said there were 10 policemen altogether. They hit him with their hands and batons, and, when he fell down, kicked him as well (they were wearing boots with rubber soles). He fell on grassy ground, on his back. He was trying to protect his head and body from the blows with his arms and legs. He was wearing a T-shirt, a jacket and sweatpants.
The entire incident lasted around 10 minutes, and the migrants ran away down the railway track towards Serbia.
The forensic doctor found that A.H.'s injuries indicated that he had been hit by blunt mechanical objects. The external injuries, individually and altoghether, amounted to light bodily injuries at the time they were inflicted. The features of all these injuries are consistent with the victim's claims of how and when he had sustained them (they could have been incurred by slapping and/or punching, kicks by feet in rubber soled footwear and batons).
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MarketFront Committee Agenda
Date: Monday, November 2 nd , 2015
Time: 4:00 p.m. – 6:00 p.m.
Location: Elliott Bay Room (Economy Building)
Committee Members: Rico Quirindongo (Chair), James Savitt (Vice-Chair), Betty Halfon, John Finke,
David Ghoddousi and Gloria Skouge
MarketFront Committee Meeting Minutes
Thursday, October 12 th , 2015 4:00 p.m. to 6:00 p.m. Elliott Bay Room
Committee Members Present: Rico Quirindongo, David Ghoddousi, Jim Savitt
Other Council Members Present: Gloria Skouge
Staff Present: Ben Franz-Knight, Lillian Sherman, David Dickinson, Dianna Goodsell
Others Present: Justine Kim, Carrie Holmes, Howard Aller, Wendy Paul, Bob Messina, Joan Paulson, Bo Zhang
The meeting was called to order at 4:13p.m. by Rico Quirindongo, Chair.
I. Administration
A. Approval of the Agenda The agenda was approved by acclamation
B. Approval of the September 10 th MarketFront Committee meeting minutes The September 10th MarketFront Committee meeting minutes were amended under Section VI, Public Comment by Wendy Paul.
II.
Announcements and Community Comments
Bob Messina informed the committee that there would be a presentation at the October 28 th Market Historical Commission meeting regarding the proposed changes to Steinbrueck Park. He said that that Waterfront Committee could appreciate seeing a comprehensive presentation regarding the future plans for Steinbrueck Park; similar to what the Seattle Aquarium had recently done.
Jim Savitt entered the meeting at 4:10p.m.
Joan Paulson mentioned that the company Weatherhault, who was recently contracted to work on the MarketfFront project, was the consultant for the original Kingdome which ended up being taken down and replaced.
Wendy Paul provided clarification regarding public comment she had included with the September 10 th MarketFront Committee meeting. She noted that what was recorded in the September meeting minutes did not capture the intent of her original comment. Her original comment was that there were no solid walls for the Plaza Canopy currently. If there was such an Art project, it should be at the South end so it did not extend out as permanent closed walls.
Wendy Paul's comment to the September 10 th MarketFront Committee had been amended.
III. Key Issues and Discussion Items
A. MarketFront Construction, Budget & Schedule Update
Justine Kim, Project Manager and Ben Franz-Knight provided an update to the MarketFront Construction, Budget and Schedule. There was a slideshow presented capturing several recent images of the construction work at the MarketFront project site.
B. MarketFront Public Art Update
Lillian Sherman provided an update on the public art component for the MarketFront project. She reported that there were currently four distinct public art projects in process. She briefly discussed a background on three of the public art pieces for the MarketFront noted below.
MarketFront Public Art – Artist Clare Dohna, Mosaic Art Wall
Lillian provided a brief overview of Clare Dohna's artistic piece Mosaic Art Wall. She noted that Clare had been a Market artist of 20 years. Clare's art concept included three mosaic walls reflecting market goods such as fish, flowers, fruits and vegetables. Currently Clare was in process of creating the individual and unique components for the three mosaic walls.
MarketFront Public Art – John Fleming, Western Tapestry
Lillian provided a brief review of the artist concept for the Western Tapestry piece. She reported on the project timeline noting that we are aiming for installation in January or February of 2016 for John Fleming's art piece.
MarketFront Public Art – Gary Hill, A Kind of Presence - working title
Lillian provided a brief background on the art concept, A Kind of Presence. The concept in progress would consist of approximately 15 video portraits of northwest Native Americans from all walks of life. The images would be shown on flat screen video displays enclosed in vandal proof cases spread out throughout the market but limited in distance enough to feel a cohesive presence. The images would be approximately life size, making the size of the display 27-30 inches. The experiential idea is that one comes upon them rounding corners entering/exiting passageways etc. repeatedly, thereby giving way to a sense of accumulation of that very presence; each sighting like a soft tap on the shoulder.
There was a discussion that followed by the Committee.
The next steps included drafting a timeline for the public art components for the MarketFront.
V. Action Items and Reports
A. Action Item: Proposed Resolution 15-69: MarketFront Project (PC1N) Soil Testing and Removal – PBS Engineering Services
Justine Kim introduced the resolution which states that the Pike Place Market Preservation and Development Authority ("PPMPDA") was chartered by the City of Seattle pursuant to RCW 35.21.730 et. seq with the mission of, among other things, preservation and rehabilitation of the structures and open spaces in the Market Historic District; and, Whereas in order to maintain the viability of the Pike Place Market and the PPMPDA has undertaken an effort to identify and address issues and opportunities related to the design of the Central Waterfront and the development of parcels adjacent to the Market including PC-1N that may directly affect the future of the Market; and, Whereas, the PPMPDA has determined that Soil Testing and Removal Services are necessary during construction for the MarketFront project; and, Whereas, the PPMPDA has executed an Emergency Procurement process to address the unforeseen discovery of underground fuel storage tanks, test tank contents and surrounding soil, remove the fuel in the tanks, and remove the tanks and soil from the MarketFront project site; and, Whereas, the PPMPDA has successfully completed negotiations with PBS Engineering to establish the scope and budget for the required contaminated soil testing and removal work necessary to complete the construction; and, Whereas, the PPMPDA is now ready to enter into a contract with PBS Engineering for Soil Testing and Removal Services; and,
Now, therefore be it resolved that the PPMPDA Council authorizes the PPMPDA Executive Director or his designee to enter into a contract with PBS Engineering in an amount not to exceed $75,000 for Soil Testing and Removal Services for the MarketFront project.
Unexpected
The funds for this project will be drawn from MarketFront Project Funds Account 110635-00.
David Ghoddousi moved, Jim Savitt seconded
For: Rico Quirindongo, David Ghoddousi, Jim Savitt
Against: 0
Abstained: 0
Resolution 15-69: MarketFront Project (PC1N) Soil Testing and Removal – PBS Engineering Services passed unanimously by the Committee by a vote of 3-0-0.
B. Action Item: Proposed Resolution 15-70: MarketFront Project (PC1N) - Archeological Monitoring Services - Environmental Science Associates (ESA)
Justine Kim introduced the resolution which states that the Pike Place Market Preservation and Development Authority ("PPMPDA") was chartered by the City of
Seattle pursuant to RCW 35.21.730 et. seq with the mission of, among other things, preservation and rehabilitation of the structures and open spaces in the Market Historic District; and, Whereas in order to maintain the viability of the Pike Place Market and the PPMPDA has undertaken an effort to identify and address issues and opportunities related to the design of the Central Waterfront and the development of parcels adjacent to the Market including PC-1N that may directly affect the future of the Market; and, Whereas, the PPMPDA has determined that Archeological Monitoring Services are necessary during the construction for the MarketFront project; and, Whereas, the PPMPDA has executed an Emergency Procurement process to address the inadvertent discovery of artifacts on the MarketFront project site, limit exposure of said artifacts and promptly implement protocols required under Emergency Archeological Excavation Permit No: 2015-54 and subsequent amendments; and, Whereas, the PPMPDA has successfully completed negotiations with Environmental Science Associates (ESA) to establish the scope and budget for the required Archeological Monitoring work necessary to complete the construction monitoring; and, Whereas, the PPMPDA is now ready to enter into a contract with Environmental Science Associates for Archeological Monitoring Services; and,
Now, therefore be it resolved that the PPMPDA Council authorizes the PPMPDA Executive Director or his designee to enter into a contract with Environmental Science Associates (ESA) in an amount not to exceed $210,000 for Archeological Monitoring Services for the MarketFront project.
The funds for this project will be drawn from MarketFront Project Funds Account 110635-00.
David Ghoddousi moved, Jim Savitt seconded
There was a brief discussion that followed.
Rico Quirindongo had asked about the resolutions that would be coming from contingencies from the project.
Jim Savitt noted that he wanted to make sure that we would not be simply transferring money out of one budget line to another; he wanted to make sure the budget was reflected accurately as it could be.
For: Rico Quirindongo, David Ghoddousi, Jim Savitt
Against: 0
Abstained: 0
Resolution 15-70: MarketFront Project (PC1N) - Archeological Monitoring Services Environmental Science Associates (ESA) passed unanimously by the Committee by a vote of 3-0-0.
C. Action Item: Proposed Resolution 15-71: MarketFront Project (PC1N) Construction Administration Additional Services – Miller Hull
Justine Kim introduced the resolution which states that the Pike Place Market Preservation and Development Authority ("PPMPDA") was chartered by the City of Seattle pursuant to RCW 35.21.730 et. seq with the mission of, among other things, preservation and rehabilitation of the structures and open spaces in the Market Historic District; and, Whereas in order to maintain the viability of the Pike Place Market and the PPMPDA has undertaken an effort to identify and address issues and opportunities related to the design of the Central Waterfront and the development of parcels adjacent to the Market including PC-1N that may directly affect the future of the Market; and, Whereas, the PPMPDA has completed Construction Documents phase of design and have determined that Construction Administration is the final segment of design work that is critical to successful construction; and, Whereas the PPMPDA executed a public process to select Miller Hull and executed a contract for Schematic Design, Design Development and Construction Documentation phases, which are now complete; and, Whereas, the PPMPDA has successfully completed negotiations with Miller Hull and established a scope of work for additional services that include construction administration for separating out the base project and housing including work at the South Site/Heritage House due to construction impacts and Department of Health requirements; and, Whereas, the PPMPDA is now ready to enter into a contract with Miller Hull for additional Construction Administration services; and,
Now, therefore be it resolved that the PPMPDA Council authorizes the PPMPDA Executive Director or his designee to enter into a contract with Miller Hull in an amount not to exceed $100,000 for the Construction Administration additional services required to complete the MarketFront project.
The funds for this project will be drawn from MarketFront Project Funds Account 110635-00.
Jim Savitt moved, David Ghoddousi seconded
For: Rico Quirindongo, David Ghoddousi, Jim Savitt
Against: 0
Abstained: 0
Resolution 15-71: MarketFront Project (PC1N) Construction Administration Additional Services – Miller Hull passed unanimously by the Committee by a vote of 3-0-0.
D. Action Item: Proposed Resolution 15-72: MarketFront Project (PC1N) Sellen PreConstruction Additional Services for Housing Bid Preparation and Bid Work
Justine Kim introduced the resolution which states that the the Pike Place Market Preservation and Development Authority ("PPMPDA") was chartered by the City of Seattle pursuant to RCW 35.21.730 et. seq with the mission of, among other things,
preservation and rehabilitation of the structures and open spaces in the Market Historic District; and, Whereas, in order to maintain the viability of the Pike Place Market and the PPMPDA has undertaken an effort to identify and address issues and opportunities related to the design of the Central Waterfront and the development of parcels adjacent to the Market including PC-1N that may directly affect the future of the Market; and, Whereas, the PDA Council adopted Resolution 13-56 approving the PPMPDA selection of Sellen as the GC/CM Contractor and to enter into a contract with Sellen for PreConstruction Services; and, Whereas, the PPMPDA previously separated the scope of work and bidding for the base project, which is now complete, as well as separating the scope for the housing work; and, Whereas, the PPMPDA is now ready to enter into a contract with Sellen for additional pre-construction services to prepare bid packages and bid the housing scope of work; and,
Now, therefore be it resolved that the PPMPDA Council authorizes the PPMPDA Executive Director or his designee to enter into a contract with Sellen in an amount not to exceed $70,000 for pre-construction services from October 2015 through December 2015.
The funds for this project will be drawn from MarketFront Project Funds Account 110635-00.
David Ghoddousi moved, Jim Savitt seconded
For: Rico Quirindongo, David Ghoddousi, Jim Savitt
Against: 0
Abstained: 0
Resolution 15-72: MarketFront Project (PC1N) Sellen Pre-Construction Additional Services for Housing Bid Preparation and Bid Work passed unanimously by the Committee by a vote of 3-0-0.
E. Report from Stakeholders Group Haley Land was not present to report on the Stakeholders group.
VI. Items for the Consent Agenda
Jim Savitt requested that clarification regarding the sources of funding for Resolutions 15-70 and 15-72 be stated at the next PDA council meeting.
Resolutions 15-69: MarketFront Project (PC1N) Soil Testing and Removal – PBS Engineering Services, 15-70: MarketFront Project (PC1N) - Archeological Monitoring Services - Environmental Science Associates (ESA), 15-71: MarketFront Project (PC1N) Construction Administration Additional Services – Miller Hull and 15-72: MarketFront Project (PC1N) Sellen Pre-Construction Additional Services for Housing Bid Preparation and Bid Work were placed under the Consent Agenda.
VII. Public Comment
Bob Messina commented on the signage for the MarketFront noting his curiosity in what it would look like. He suggested that he would approach Miller Hull regarding this component. He noted that now is the time to look over ideas regarding signage. He said that he would really like to push the idea of having signage facing west of the Market.
Joan Paulson commented on three items related to the MarketFront. She noted that the Hillclimb was not part of the Market Historical District. She added that we need to work with the aquarium regarding our signage program and drawing people to and from the Waterfront. She separately noted that today was Indigenous people day; she said that it was very auspicious that we had found artifacts at the PC1N site recently. Lastly she commented on the public art for the MarketFront. She said that the MHC needs to be included in our discussions with the artists and their art so we do not have to have these controversies.
Wendy Paul had asked if there would be funding to address the increase in pedestrian access along Western Avenue and Virginia Street. She noted her concern about the increased pedestrian traffic across Western Avenue and at the intersection between Virginia and Western Ave. She also noted a concern regarding the tour buses parking along Western Ave commenting that there is already a lot of congestion on that road now; she hopes that's there is some planning efforts on that front.
VIII. Concerns of Committee Members
None
IX. Adjournment
The meeting was adjourned at 5:19pm by Rico Quirindongo, Chair
Meeting minutes submitted by: Dianna Goodsell, Executive Administrator
PROPOSED RESOLUTION 15-75
MarketFront Project (PC1N) Miller Hull Additional Services – Design Services for Signage and Interim Stair November 2015
WHEREAS,
the Pike Place Market Preservation and Development Authority (“ PPMPDA” ) was chartered by the City of Seattle pursuant to RCW 35.21.730 et. seq with the mission of, among other things, preservation and rehabilitation of the structures and open spaces in the Market Historic District, and:
WHEREAS
in order to maintain the viability of the Pike Place Market and the PPMPDA has undertaken an effort to identify and address issues and opportunities related to the design of the Central Waterfront and the development of parcels adjacent to the Market including PC-1N that may directly affect the future of the Market.
WHEREAS,
the PPMPDA has completed Construction Documents phase of design and have determined that Construction Administration is the final segment of design work that is critical to successful construction; and,
WHEREAS,
the PPMPDA executed a public process to select Miller Hull, and executed a contract for Schematic Design, Design Development and Construction Documentation phases, which are now complete; and,
WHEREAS,
the PPMPDA has successfully completed negotiations with Miller Hull, and established a scope of work for additional design services that include signage design and conceptual design of the interim stair condition from MarketFront Plaza to Elliott Avenue; and,
WHEREAS, the PPMPDA is now ready to enter into a contract with Miller Hull for additional design services; and,
NOW, THEREFORE, BE IT RESOLVED that the PPMPDA Council authorizes the PPMPDA Executive Director or his designee to enter into a contract with Miller Hull in an amount not to exceed $110,000 for the additional design services required to complete MarketFront Project.
The funds for this project will be drawn from MarketFront Project Funds Account 110635-00.
______________________________________ _______________________________
Gloria Skouge, Secretary/Treasurer Date
Date Approved by Council:
For:
Against:
Abstained:
|
Local Analysis
Local Analysis of the Circular Economy in the Free
and Hanseatic City of Hamburg
Mirko Kruse & Isabel Sünner
Hamburg Institute of International Economics (HWWI)
Report in the scope of Interreg Europe Project "REPLACE - REgional PoLicy Actions for Circular Economy"
Contents
Foreword and Summary
The circular economy concept has become an influential model in line with universal goals such as the UN's Sustainable Development Goals (SDGs). Since the availability of resources is limited and it requires a serious amount of energy to extract raw material, it becomes more and more urgent to establish waste-free production loops. One of the EU-funded projects focusing on circularity is "REPLACE – REgional PoLicy Actions for Circular Economy" which provides the framework for this local analysis of the circular economy ecosystem in the Free and Hanseatic City of Hamburg. The underlying analytic methodology consists of six steps to assess the circular economy ecosystem: 1) RIS3, strategic areas, and SWOT analysis, 2) focus sectors & companies, 3) R&D and innovation capabilities, 4) emerging ideas, 5) existing circular economy legislation, and 6) existing funding instruments.
Overall, the analysis finds the circular economy landscape in Hamburg to be highly ambitious, established, and widespread. Several projects are working on concrete solutions for the city and the region and have successfully introduced their requests into politics and regulation. Still, the potential of the mass of circular activity in Hamburg is not fully exploited since the interconnectivity between actors, projects and institutions is rather limited. Since there is no coordinating instance, the variety of circular activities becomes visible only by researching which significantly limits the public image of circular economy in Hamburg. Establishing a networking platform to bring together actors and giving them a forum for exchange of experience might be a building block to boost visibility and shared collective effort. Linking the research institutions and universities working on circularity can be a first step that can be scaled up afterwards in case of success.
The following analysis is based on personal interviews and a desk research conducted in the second half of 2020. The draft has been presented and discussed in a virtual workshop on March 2 nd , 2021 with 22 participants from research and development, NGOs, administration, innovation and SMEs. We thank everyone who has contributed to this overview of the circular economy and Hamburg and hope to see the list of activities and institutions further expanded in the future.
1. Introduction
The challenge of climate change has been named one of the crucial threats of our time and the challenge to initiate a sustainable transformation of the economy and all other parts of everyday life will be one of the major tasks of the near future. But the output side of sustainability (production of emissions such as greenhouse gases) is only one side of the coin: The full picture of sustainability in production also requires a look on the input side meaning the resources needed for a process. Since the amount of resources is limited and it requires a serious amount of energy to extract new resources, it becomes more and more urgent to design products in such way that parts cannot only be replaced so that the life cycle gets extended but also that disposed products and other kinds of waste are properly recycled and resources can flow back into a waste-free production loop. 1 Since there are at least 114 definitions of the circular economy concept, the paper at hand will not dive into detail and remain focused on a broad understanding of the concept in the following. 2
The circular economy concept has become an influential model particularly for the European Union and the Chinese central and regional government. Also, a lot of leading corporations have adopted circular approaches, at least for certain products. The concept is in line with universal goals such as the UN's Sustainable Development Goals (SDGs). The promise of circular economy as a concept is that consuming patterns do not have to be changed fundamentally while still becoming sustainable which also gives circular solutions a place in the EU Green Deal and sustainable recovery in the aftermath of Covid-19. 3 Particularly smaller regional entities such as cities are in focus of circularity since regional loops are an obvious starting point for further scale-up. Thereby, cities play a double-sided role when it comes to climate change and sustainability: On the one hand, urban areas will be affected more significantly by phenomena induced by climate change such as heavy rain or days of significant heat due to their highly sealed surfaces and lack of green spaces to regulate the micro climate. On the other hand, cities combine the majority of both global population and climate gas emissions. This combination makes urban areas the focus point to tackle climate change since these areas are both maker and taker of climate change.
The report at hand strives to apply a methodological framework to prepare a local analysis of the regional circular economy ecosystem using the example of the Free and Hanseatic City of Hamburg. The target is to present an extensive picture of circular economy actions in Hamburg, thereby combining the two topic of circular economy and the crucial role of cities considering climate change and sustainability. To do so, the focus region Hamburg is presented, and the underlying methodology of analysis is explained. Afterwards, the six methodological steps are executed, mapping circular economy activities in different sectors such as regulation, education or research and development (R&D). The analysis is summarised by a conclusion and a set of recommendations for the advancement of circular economy approaches in Hamburg.
1.1 Background
A lot of regulation, particularly on the European level, has already been prepared. For instance, the Circular Economy Action Plan of the European Commission is a part of the new EU Green Deal, and also the Urban Agenda for the EU presents a specific action plan on circular economy. Moreover, international organisations such as the OECD or the Ellen MacArthur Foundation have contributed a lot to promoting the idea of a circular economy. To transfer the theoretical and highly academic idea into practice, various research projects are in place looking particularly at waste management, food systems and urban material flows. 4
The report at hand was commissioned by the Hamburg Institute of International Economics (HWWI) as a part of the engagement in the EU project "REPLACE – REgional PoLicy Actions for Circular Economy". REPLACE is a European project that aims at improving management, implementation and monitoring of regional policy instruments targeted at facilitating the transition towards a circular economy. The main operative target of the project refers to the development and application of policies and actions focusing on identification, valorization, assessment, and financing of circular value chains. REPLACE provides a benchmark that regions can apply to measure the degree to which circularity is implemented in the region. Moreover, a local analysis in each participating region is to be conducted in order to assess the status quo and identify areas of further action. The analysis at hand applies the concept to the city of Hamburg.
The Free and Hanseatic City of Hamburg is Germany's second largest city with 1,899,160 inhabitants (December 2019). The city is located in northern Germany between North Sea and Baltic Sea and is an important location for logistics with one of the largest ports globally. 5 Regarding sustainability and circular economy, Hamburg shows high ambition and has been declared the 2011 European Green Capital by the European Commission. Generally, the city of Hamburg possesses an ambitioned institutionalised climate plan recognising the fundamental challenges of climate change and the role of Hamburg when it comes to emissions and sustainability as well as a, regularly updated, strategy for sustainability including clear indicators for particular sectors which are assessed. If the targets are not met, an explanation needs to be given as well as new proposals how to overcome the problems and to meet the targets in the future. The climate strategy mostly focuses on the output side of emissions rather than the input side of resources used and closed streams of resources. Still, it is listed as a planned measure in the strategy to establish an official swap meet for materials. A first sharing site for recycling products has already been initiated by the chamber of commerce and can be used as an example. The project was planned to be conducted in the course of 2020. 6
The recent coalition agreement of the Hamburg government from 2020 gives sustainability and green development a prominent place. It is recognised that resource efficiency plays a major role for a future-oriented, sustainably city and the ambition is exclaimed to make Hamburg a model for climate protection. A study is planned on grey energy and energy consumption in building construction to identify potential for more circular construction. Resource-efficient construction and the usage of sustainable (such as wood) and recycled
construction material (for instance RC-concrete) for public construction projects add to the target of a green transformation of the construction sector. In terms of waste and waste avoidance, reusable packing as an alternative to the linear produce-use-dispose scheme are planned to be promoted. A positive example is "recup", a system of reusable coffee cups to avoid one-way cups. Comparable schemes shall be developed for take away food, online orders of products and in the scope of the central market. Retail companies in Hamburg will have the opportunity to apply for a new label for shopping free of packaging which is to be developed and established. In terms of recycling, the city of Hamburg obliges itself to preferably buy products with a repair option. The illegal export of electronic waste is to be prevented. The action plan for circular economy from the European Commission is explicitly supported and recognised as a guiding principle for sustainability measures in Hamburg. 7 The previous effort to move towards a circular economy has also been recognised in a recent benchmarking of circular economy in European regions which lists Hamburg on place 12 of 169 regions in Europe. 8
1.2 Methodology of the Analysis
The report at hand follows a Local Analysis methodology framework developed in the Horizon 2020 project "SCREEN - Synergic CirculaR Economy across European regioNs". The purpose of the framework addresses the lack of a structured and formalised knowledge basis to assess the existing capabilities of circular economy on a regional level. Since regional smart specialisation strategies are recognised in the SCREEN mapping tool and specific synergies and complementarities among sectors, value chains and markets are considered, the methodology shows a high degree of practical relevance and can be used as an analytical basis to highlight and evaluate potential strategic business cases contributing to the transition towards a circular economy.
The methodology's objective is to map the current baseline situation in a region in terms of existing technological, industrial, research and innovation, and education capabilities. This set of areas is complemented by emerging circular economy initiatives, an analysis of existing regulation in terms of circular economy and funding instruments. While the first group of categories is mandatory for the analysis, the latter are strongly recommended or optional (see Figure 1). That categorisation refers to possible subsequent analyses of local and cross-regional value chains which allow for the identification of sectors for intra-regional collaboration. 9
Figure 1: The SCREEN Mapping Framework
Source: Albè et al. (2017), pp.5.
The methodology process is divided into 6 steps. The first 3 steps strive to prepare an overview of the existing circular economy landscape by looking at regional innovation strategies (RIS3), strategic areas and SWOT analyses, focus sectors and companies with a particularly high potential for circular solutions as well as R&D and innovation capabilities. Consequently, the 4 th step is more future-oriented, focusing on emerging ideas in terms of circular economy representing possible future areas of development. While the first 3 steps are mandatory, the 4 th step is strongly recommended. The final steps 5 and 6 are considered to be optional and focuses on the analysis of non-technological barriers. For this, existing legal frameworks both on national and regional level are considered (Step 5) as well as existing support instruments. 10
2. Results
Below, the presented SCREEN methodology is to be applied on the circular economy in the Free and Hanseatic City of Hamburg. A thematic focus on circular construction is chosen in order to limit the broad field of circular economy and to make the analysis more focused. Where it appeared to be helpful, the regional analysis is complemented by an overview of the national status quo in Germany.
2.1 Step 1: RIS 3, Strategic Areas, and SWOT Analysis
The first step serves the purpose to collect information about the strategic positioning of a region towards circular economy. If particular RIS3 strategies are in place, these are considered. The methodology template also proposes a framework to reflect and highlight strengths, weaknesses, opportunities, and threats in the region with respect to circular economy topics. Since the structure of the SWOT analysis is designed to be open, the decision on focus and the level of detail is flexible. 11
The regional innovation strategy of the Free and Hanseatic city of Hamburg for smart specialisation 2014-2020 (RIS3) was issued in December 2014 and is currently undergoing an update process. The purpose of the RIS3 concept was to contribute to the EU2020 goals of smart, sustainable, and inclusive growth and the development of regional RIS3 was made a mandatory requirement by the European Commission to be eligible for funding from the structural funds. By identifying regional strengths and comparative advantages, regions should position themselves accordingly in international value chains and at the same time realise regional synergies between different actors of the innovation ecosystem.
In the case of Hamburg, the RIS3 is based on a SWOT analysis of R&D and innovation which forms the basis for the identification of specialisations. The analysis showed that Hamburg, although scoring high in certain R&D indicators and being classified an "innovation leader", not yet reached the goal of being an innovation capital in Europe at the time in 2014. Still, the research and science ecosystem in Hamburg as a requirement for high-quality teaching and research is described to be in a good state. Research institutions in Hamburg engage in basic as well as applied research and show internationally recognised success.
The innovation ecosystem in Hamburg is differentiated in a set of clusters whose cluster organisations have been institutionalised at different times: While "nextMedia.Hamburg", a cluster focusing on media, IT and telecommunication, was established in 1997, the maritime cluster Northern Germany was relatively new in 2014 being established in 2011. The other clusters classify in between: "Hamburg aviation" (aviation; 2011), "Life Science Nord" (life sciences, innovative medicine; 2004), "Logistik-Initiative Hamburg" (logistics, traffic; 2006), "Gesundheitswirtschaft Hamburg" (health economy; 2009), "Kreativgesellschaft Hamburg" (culture and creative industry; 2010), "Erneuerbare Energien Hamburg" (renewable energy; 2011). These eight clusters also form the strategic fields of specialisation for the RIS3 strategy so that
resources of research and innovation are to be focused on these priorities. Moreover, eight future fields are defined which again take up the underlying foundation of the clusters: 1) mobility, traffic and logistics, 2) energy, climate, environmental protection and marine technology, 3) health, applied food science and nutrition, 4) finances, insurance and law, 5) materials, systems, processes and procedures, 6) information and communication, 7) international trade and international cooperation, 8) creativity, education and qualification.
The topic of circular economy is listed in the future field energy, climate, environmental protection and marine technology among other technologies and trends such as renewable energies, energy production, energy storage technologies, energy efficiency, climate research, low-power-electronics and performance electronics, combined heat and power, offshore systems, resource potential of marine infrastructures, biological diversity/blue biotechnology, sustainable energies, environmental and resource management as well as fuel cell technology and circular economy. 12 Circular economy is not mentioned in a business context or in the future field of materials, systems, processes and procedures. However, regarding the high activity in terms of circular economy topics in Hamburg in recent years one can expect a more prominent role of the topic in the next RIS3 strategy.
2.2 Step 2: Focus Sectors & Companies
The second step of the methodology is related to identification, classification, and analysis of focus sectors of the circular economy and related best practices in the region. Apart from statistical analyses regarding the focus sectors of particular interest, companies and industrial best practices are to be identified. 13
Addressing the circular economy topic from a statistical point of view shows that the volume of private waste in Hamburg shows a downward-sloping trend from 471.2kg per inhabitant n 2016 to 450kg per inhabitant in 2019 although the population increased from 1,798,654 inhabitants in 2016 to 1,843,176 inhabitants in 2019 (see Figure 2). On the other hand, the volume of commercial waste increased in recent years from 428.3kg per employee in 2016 to 502.5kg per employee in 2019 while the number of employees 1,225,400 in 2016 to 1,293,200 in 2019 (see Figure 3). 14 While the development of waste reduction in private households therefore shows a promising trend of decreasing waste volume despite a growing population, a decoupling has not been accomplished in the commercial sector.
Source: Own depiction after data from the Ministry for Environment, Climate, Energy and Agriculture (2020). 15
Figure 3: Development of Commercial Waste Volume (in kg) per Employee in Hamburg
Source: Own depiction after data from the Ministry of Environment, Climate, Energy and Agriculture (2020). 16
When looking at the details of waste (both private and commercial) in Hamburg one can observe that the overall volume of waste has increased over the last years. Thereby, the growth rates differ depending on the waste characteristics: While the amount of separated private waste remained almost constant and even decreased as an amount per inhabitant, mixed private waste decreased both in absolute and in relative terms (see Table 1). On the other hand, separated commercial waste increased significantly as well as mixed commercial waste (see Table 2).
Table 1: Development of Private Waste Components in Hamburg
| | 2016 | | 2017 | | 2018 | | |
|---|---|---|---|---|---|---|---|
| Separated | Overall (Mg/a) | Per inhabitant (kg/a) | Overall (Mg/a) | Per inhabitant (kg/a) | Overall (Mg/a) | Per inhabitant (kg/a) | Overall (Mg/a) |
| Glass | 29200 | 16,2 | 29700 | 16,3 | 30300 | 16,5 | 31000 |
| Paper | 98300 | 54,7 | 98600 | 54,1 | 97300 | 53 | 97100 |
| "Hamburger Wertstofftonne" | 36400 | 20,2 | 37300 | 20,5 | 98700 | 21,1 | 40200 |
| Plastics | 500 | 0,3 | 560 | 0,3 | 780 | 0,4 | 740 |
| Metals (part bulky trash) | 10700 | 5,9 | 13600 | 7,5 | 12890 | 7 | 11600 |
| Wood (part bulky trash) | 29200 | 16,2 | 30100 | 16,5 | 29760 | 16,2 | 30440 |
| Textiles | 7650 | 4,3 | 7100 | 3,9 | 7340 | 4 | 7030 |
| Bio waste | 65800 | 36,6 | 69100 | 37,9 | 63300 | 34,5 | 69500 |
| Green waste | 27600 | 15,3 | 28100 | 15,4 | 22400 | 12,2 | 23900 |
| Electronic waste | 10900 | 6,1 | 10200 | 5,6 | 11100 | 6,1 | 11200 |
| Sum | 316300 | 175,8 | 324400 | 178,1 | 313900 | 171,1 | 322700 |
| Mixed | Overall (Mg/a) | Per inhabitant (kg/a) | Overall (Mg/a) | Per inhabitant (kg/a) | Overall (Mg/a) | Per inhabitant (kg/a) | Overall (Mg/a) |
| Problematic waste from households | 2390 | 1,3 | 2320 | 1,3 | 2390 | 1,3 | 2470 |
| Bulky waste, recycling | 1450 | 0,8 | 1530 | 0,9 | 1640 | 0,9 | 1890 |
| Bulky waste, sorted | 29100 | 16,2 | 28900 | 15,9 | 24900 | 13,6 | 28400 |
| Bulky waste, energetic use | 3700 | 2,1 | 5300 | 2,9 | 10600 | 5,8 | 8100 |
| Street sweepings, processing | 21400 | 11,9 | 18200 | 10 | 22000 | 12 | 15400 |
| Street sweepings, energetic use | 11900 | 6,6 | 11400 | 6,3 | 13600 | 7,4 | 16800 |
| Residual waste, energetic use | 461300 | 256,5 | 453400 | 249 | 445600 | 242,9 | 433600 |
| Sum | 531200 | 295,4 | 521100 | 286,2 | 520700 | 283,9 | 506700 |
Source: Own depiction after data from Ministry of Environment, Climate, Energy and Agriculture (2020). 17
Table 2: Development of Commercial Waste Components in Hamburg
| | 2016 | | 2017 | | 2018 | | |
|---|---|---|---|---|---|---|---|
| Separated | Overall (Mg/a) | Per employee (kg/a) | Overall (Mg/a) | Per employee (kg/a) | Overall (Mg/a) | Per employee (kg/a) | Overall (Mg/a) |
| Glass | 7120 | 5,8 | 7420 | 6 | 12900 | 10,2 | 17330 |
| Paper | 139200 | 113,6 | 133200 | 107 | 152100 | 120,7 | 171500 |
| Plastics | 11800 | 9,6 | 13600 | 10,9 | 11800 | 9,4 | 10550 |
| NE-metals | 5400 | 4,4 | 2990 | 2,4 | 8810 | 7 | 4180 |
| FE-metals | 49700 | 40,6 | 50800 | 40,8 | 56400 | 44,8 | 50900 |
| Wood AI-AIII | 52600 | 42,9 | 50800 | 4,8 | 65100 | 51,7 | 73400 |
| Wood AIV | 4800 | 3,9 | 4040 | 3,2 | 4260 | 3,4 | 8220 |
| Textiles | 180 | 0,1 | 320 | 0,3 | 300 | 0,2 | 130 |
| Bio waste | 20900 | 17,1 | 22600 | 18,2 | 20600 | 16,3 | 22800 |
| Green waste (incl. leaves) | 83000 | 67,7 | 90800 | 72,9 | 90700 | 72 | 97500 |
| Electronic waste | 3560 | 2,9 | 4470 | 3,6 | 4430 | 3,5 | 3500 |
| Sum | 378300 | 308,7 | 381000 | 306 | 427400 | 339,2 | 460000 |
| Mixed | Overall (Mg/a) | Per employee (kg/a) | Overall (Mg/a) | Per employee (kg/a) | Overall (Mg/a) | Per employee (kg/a) | Overall (Mg/a) |
| Packaging | 46500 | 37,9 | 51300 | 41,2 | 43800 | 34,8 | 13000 |
| Commercial waste (until 2017) | 92680 | 75,6 | 98700 | 79,3 | | | |
| Commercial waste for pretreatment | | | | | 126150 | 100,1 | 132500 |
| Commercial waste for energetic use | | | | | 40690 | 32,3 | 40720 |
| Commercial waste for disposal | 7400 | 6 | 5500 | 4,4 | 3600 | 2,9 | 3600 |
| Sum | 146600 | 119,6 | 155500 | 124,9 | 214200 | 170 | 189800 |
Source: Own depiction after data from the Ministry of Environment, Climate, Energy and Agriculture (2020). 18
Particularly the increasing amount of commercial waste underlines a high sense of urgency for instance in terms of circular construction in order to reduce the amount of waste from construction projects. Since the city of Hamburg is expected to keep growing as a consequence of strong urbanisation processes and at least 10,000 new housing units are to be constructed annually the topic can be expected to further increase in relevance. 19 On national level, the same trend of increasing amount of construction waste in observable. 20 Moreover, a share of about 10 per cent of construction waste was put to landfill sites in 2014. 21 In this context, the EU project CIRCuIT strives to introduce circular approaches in the construction sector in Hamburg (see 2.3 for further details). The sense of urgency and the recent activity in this sector make circular construction also a focus in the scope of this report.
Apart from statistics, Hamburg lists a number of relevant companies and institutions working on circular economy topics. A selection of interesting institutions is to be given subsequently as a set of examples of good practices.
Focusing on the topic of urban waste and to establish circular loops, a "center for resources and energy (ZRE)" will be established in Hamburg until 2023. The center will be constructed on a former area of an incinerator and will be including several facilities for waste treatment such as a sorting facility for household waste, biogas facilities or facilities for energy production. The energy demand of the facility will be provided by heat and biogas generated as byproducts of waste treatment. 22
Moreover, the physical branches of "Stilbruch", a group of second-hand stores, have been adapted to deal with electronic waste in the scope of the FORCE project (see 2.3). Here, old electronic devices are collected, repaired and recycling measures are prepared. It is examined whether manual dismantling of electronic devices simplifies their recycling. To do so, materials such as plastics, aluminium, iron and stainless steel are collected separately and precious materials such as copper, gold, silver or palladium are collected, analysed and recycled by Aurubis, one of the project partners.
A stronger focus on consultancy is taken by "EPEA – Part of Drees & Sommer" (Environmental Protection Encouragement Agency) in Hamburg, founded by Michael Braungart, one of the developers of the cradle-to-cradle design principle. EPEA Hamburg is a consultancy company which was founded in 1987 and has been working on sustainable products, processes, buildings, and urban quarters since while applying the cradle-to-cradle design principle in different situations with a holistic approach. EPEA's goal is to support different actors from economy, public sector, and science in implementing circular processes and innovative product development. The focus sectors are loops in production processes, buildings and cities with knowledge from chemistry, biology, environment and property management. 23 As an addition, an association "Cradle-to-Cradle e.V." has been founded as a regional group of the Cradle to Cradle NGO. 24
The technological aspect of circular economy implementation good practices is addressed, among others, by a newly developed app to allow companies to capture their waste, conduct orders online and prepare a documentation of waste according to required regulations. The app is in a test phase and is limited to companies active in the "Umweltpartnerschaft" (environmental partnership). The app has been developed by the network company Resourcify together with the Umweltpartnerschaft. 25
The Umweltpartnerschaft is a voluntary initiative established in 2003 by the Senate of the city of Hamburg and now lists about 1,250 Hamburg-based member companies from different sectors and of different sizes. Member companies strive to engage in sustainability within their organisation and can make use of a network to exchange good practices and receive external support and consultancy for sustainable management. The Umweltpartnerschaft initiative is supported by the chamber of commerce Hamburg, the chamber of crafts Hamburg, the IVH Industrieverband Hamburg e.V. and Hamburg Port e.V. 26
Apart from established institutions and companies, Hamburg also hosts a vivid startup environment which covers green and circular topics and shows a high proximity to topics of biobased material and further strong research topics present in Hamburg. In this context, the Hamburg-based Startup "LignoPure" which focuses on plastic-free products from alternative renewable resources on has been awarded a national StartGreen Award 2019 for green startups. 27 Moreover, a virtual platform with the name "cirplus" to bring together supply and demand for recyclates and plastic waste in order to facilitate a circular usage has been established as a startup. Its focus group involves the complete value chain of plastics. The platform is available on a nation-wide and even international scale but has been founded in Hamburg with support of different universities. 28 Several other startups are being founded and start operating in different thematic areas of circularity, green products, and sustainability in general. 29
2.3 Step 3: R&D and Innovation Capabilities
The third step strives to identify, classify, and analyse R&D and innovation capabilities within a region. The step involves a general overview as well as R&D, innovation capability and education capability. Moreover, a list of past and ongoing projects relevant for the circular economy is to be prepared as well as information about pilot plans and facilities in the region focused on circular economy solutions. Finally, the regional education system is to be examined for courses and skills requested in circular economy businesses. 30
In the following, an overview about different projects on circular economy topics is to be presented (including European / national / regional projects) before the relevant R&D institutions and their involvement with the circular economy are listed.
Projects
"BIOREFINE-2G – Development of 2 nd Generation Biorefineries – Production of Dicarboxylic Acids and Bio-based Polymers Derived Thereof" 31
* Funding source: Seventh Framework Programme
* Budget: 6.9 million Euro
* Duration: 10/2013 – 09/2017
* Nationalities of the consortium: Germany, Norway, Portugal, Spain, Sweden
* Regional partners: IFU Institut für Umweltinformatik Hamburg GmbH
* Abstract: The existing 2nd generation biorefineries utilize less than 20% of the biomass feedstock for ethanol production, and major side-streams are produced such as pentose and lignin waste streams, that are respectively used for biogas and energy production. Converting the carbon from these waste streams into added-value products would increase the otherwise low profitability and improve the environmental benefits of the biorefineries. The suggested project BioREFINE-2G aims at developing commercially attractive processes for efficient conversion of pentose-rich side-streams from biorefineries into dicarboxylic acids, which can be used as precursors for bio-based polymers including biodegradable polymers. The project covers the whole value chain, from characterization of side streams from forest and other non-food feedstocks, development of novel robust industrial yeast cell factories, fermentation and downstream process development, to polymerization methods development for the production of biodegradable polymers applicable as plastics, coatings or adhesives, scale-up and demonstration and to life cycle and economic viability analyses.
"CIRCuIT – Circular Construction in Regenerative Cities" 32
*
Funding source: Horizon 2020
* Budget: 9.8 million Euro
* Duration: 01.06.2019 – 31.05.2023
* Nationalities of the consortium: Denmark, Finland, Germany, Great Britain
* Regional Partners: City of Hamburg; supporting partners: Hamburg University of Technology (TUHH), Otto Dörner, Otto Wulff, Eggers Tiefbau
* Target sectors: F41 – Construction of buildings; E38 – Waste collection, treatment and disposal activities, materials recovery; E39- Remediation activities and other waste management services
* Abstract: Demonstration of three innovative solutions: dismantle buildings to reuse materials; transformation and refurbishment; and design for disassembly and flexible construction. Development of urban planning instruments to support cities in implementing circular construction solutions. Implementation of a Circularity Hub, a data platform to evaluate progress of circular economy and regenerative capacity. Creation of a knowledge sharing structure, the CIRCuIT Academy, to promote upscaling of solutions.
"DECISIVE – A DECentralized management Scheme for Innovative Valorization of urban biowastE" 33
*
Funding source: Horizon 2020
* Budget: 8.7 million Euro
* Duration: 09/2016 – 02/2021
* Nationalities of the consortium: Belgium, Denmark, France, Germany, Italy, Spain
* Regional partners: Technical University Hamburg (TUHH)
* Abstract: The growing attractiveness of cities leads to increasing population, thus rising energetic and food demands in urban areas. This makes urban waste management increasingly challenging, both in terms of logistics and environmental or health impacts. To decrease the cities' environmental impacts and to contribute to a better resilience of urban areas towards energy or food supply crisis, waste management systems have to be improved to increase recycling of resources and local valorization. In this context, the DECISIVE project proposes to change the present urban metabolism for organic matter (foods, plants, etc.), energy and biowaste to a more circular economy and to assess the impacts of these changes on the whole waste management cycle. Thus, the challenge will be to shift from a urban "grey box", implying mainly goods importation and extra-urban waste management, to a cooperative organization of intra- and peri-urban networks enabling circular local and decentralised valorization of biowaste, through energy and bioproducts production. Such a new waste management paradigm is expected to increase the sustainability of urban development by: (1) promoting citizens awareness about waste costs and values; (2) promoting renewable energy production and use in the city; (3) developing an industrial ecology approach that can promote the integration between urban and periurban areas, by providing valuable agronomic by-products for urban agriculture development and so improving the balance of organic products and waste in the city; (4) developing new business opportunities and jobs.
"DIBICHAIN – Digitales Abbild von Kreislaufsystemen mittels einer Blockchain" 34
* Funding source: German Federal Ministry of Education and Research
* Budget: 643,284 Euro
* Duration: 07/2019 – 06/2022
* Nationalities of the consortium: Germany
* Regional partners: Altran Deutschland
* Abstract: DIBICHAIN aims to investigate the application of blockchain technology for the digital representation of product cycles in contrast to other distributed ledger technologies (DLT). DLT, i.e. distributed data storage, is a novel technology for storing data securely and transparently for many users. First of all, the main differences between the individual DLTs will be highlighted in order to subsequently evaluate the suitability of the individual technologies for the selected case study. The aim is to deepen the knowledge base for the application of a block chain for a circular economy in order to enable further and more in-depth research projects that will open up the full potential for DLT in this context. A software demonstrator is to be developed, which contains the following application scenarios using the case study of the "Bionic Partition".
"FORCE – Cities cooperating for circular economy" 35
* Funding source: Horizon 2020
* Budget: 2.9 million Euros
* Duration: 01.09.2016 – 31.08.2020
* Nationalities of the consortium: Denmark, Germany, Italy, Portugal
* Regional Partners: City of Hamburg, Stadtreinigung Hamburg, HafenCity University (HCU), Hamburg University of Applied Sciences (HAW), Aurubis AG
* Target sectors: C24 – Manufacture of basic metals; E38 – Waste collection, treatment and disposal activities, materials recovery; E39 – Remediation activities and other waste management services
* Abstract: Horizon 2020 cooperation project between the cities of Hamburg, Copenhagen, Lisbon, and Genoa having a specific material stream as a focus point in each city. The Hamburg-based partners are Stadtreinigung Hamburg, Aurubis AG, Senate Chancellery of Hamburg, Consist ITU Environmental Software GmbH, HafenCity University and Hamburg University of Applied Sciences (HAW). Together, they focus on collection, capture, utilisation and possible further usages of (old) electronic devices in order to maintain their resources within the resource circle. On the other hand, Copenhagen deals with plastics, while Lisbon looks at biomass and Genoa on wood waste.
"LOOP Ports – Circular Economy Network of Ports" 36
* Funding source: EIT (European Institute of Innovation & Technology)
* Duration: 10/2018 - 11/2020
* Nationalities of the consortium: Denmark, France, Germany, Italy, Netherlands, Spain
* Regional partners: University of Hamburg (UH); network partner: Port of Hamburg
* Abstract: The main goal of the LOOP-Ports project is to facilitate the transition to a more circular economy in the port sector, where products, materials and resources are maintained in the economy for as long as possible, and the waste generation minimised. This project will contribute to the transition of the European economy towards closed-loop systems through the creation of a circular economy network of ports, which will provide an innovation ecosystem around the port activity and stimulate circular economy initiatives in ports. The network will focus on highemitting materials, mainly metals, plastics, cements, and biomaterials.
"REPAiR – REsource Management in Peri-urban Areas: Going Beyond Urban Metabolism" 37
* Funding source: Horizon 2020
* Budget: 5.0 million Euro
* Duration: 09/2016 – 12/2020
* Nationalities of the consortium: Belgium, Germany, Hungary, Italy, Netherlands, Poland
* Regional partners: HafenCity University (HCU), Gertz Gutsche Rümenapp, Bauer Resources GmbH, Stadtreinigung Hamburg
* Target sectors: E38 – Waste collection, treatment and disposal activities, materials recovery; E39- Remediation activities and other waste management services
* Abstract: Implementation of Peri-Urban Living Labs (PULLs) with key stakeholders. Development of an innovative geodesign decision support environment (GDSE) to create integrated, place-based eco-innovative spatial development strategies promoting the use of waste as a resource. Launch of the initiative 'Campania più verde, Campania più controlli' (Greener Campania, safer Campania), together with the Campania Regional Authority.
"REPLACE - REgional PoLicy Actions for Circular Economy" 38
* Funding source: Interreg Europe
* Budget: 1.9 million Euro
* Duration: 08/2019 – 01/2024
* Nationalities of the consortium: Belgium, Germany, France, Greece, Italy, Netherlands, Poland, Portugal
* Regional Partners: HWWI, City of Hamburg (associated partner)
* Target sectors: Public administration and officials
* Abstract: REPLACE aims at improving management, implementation and monitoring of regional policy instruments targeted at facilitating the transition towards a CE, while boosting sustainable development: the main operative target refers to the development and application of policies and actions focusing on identification, valorization,
assessment and financing of circular value chains, resulting in new local and interregional projects. REPLACE will develop a replicable framework for regional benchmark on circularity excellence level.
REPLACE wants to fulfil a synergic use of funding for CE, connected to RIS3, to enhance innovation and competitiveness, as well as economic and employment performances while increasing effectiveness of policy instruments. In fact, REPLACE has an innovative horizontal cross-cutting approach, not focusing on one or more specific aspects of CE, but dealing with the lack of an effective and shared strategy for CE at regional level.
"RISKCYCLE – Risk-based management of chemicals and products in a circular economy at a global scale" 39
* Funding source: Seventh Framework Programme
* Budget: 1.1 million Euro
* Duration: 09/2009 – 08/2012
* Nationalities of the consortium: Brazil, China, Denmark, France, Germany, India, Italy, Netherlands, Spain, Sweden, Turkey, Vietnam
* Regional partners: Hamburg University of Applied Sceinces (HAW)
* Abstract: The project brought international experts together to define the future research and development needs for risk-based hazardous chemicals management. in particular, RISKCYCLE looked at the ecological design of consumer products, as well as their production, use and reuse on a global scale. The project used methods such as life-cycle assessment, risk assessment and risk-reduction strategies, environmental impact analysis and material flow analysis for this task. researchers compiled large data sets on usage, risks, chemical properties and labelling, and additives in consumer and industrial products for public use. RISKCYCLE focused on the role of these additives in textiles, electronics, plastics, leather, paper and lubricants, identifying the top five additives for each sector. these data were collated into a database, now available on the project website. Researchers also compiled the project findings into two book volumes: 'Risk-based management of chemical additives I' and II. in addition, RISKCYCLE held numerous workshops and meetings where partners were called on to exchange project results and information about their institutions and fields of work. The project has made information about the risks of hazardous chemicals and additives in products and the risk reduction measures for substances widely available.
"Smart Recycling" 40
* Funding source: Federal Ministry for the Environment, Nature Conservation and Nuclear Safety
* Budget: 60,899 Euro
* Duration: 07/2020 – 12/2020
* Nationalities of the consortium: Germany
* Regional partners: Hamburg University of Applied Sciences (HAW)
* Abstract: The project aims towards developing concepts for the combination of highly innovative technologies such as intelligent and learning sensor, learning (mobile) robots and cooperative robot teams. These are analysed according to their applicability in the circular economy. To increase recycling, resource efficiency and reduction of CO2-emissions, an automated, robot-supported sorting of lumpy waste is to be enabled which is not possible until now.
"WASTE-EI – Waste Education Initiative" 41
* Funding source: Erasmus+
* Budget: 49,102
* Duration: 09/2017 – 09/2020
* Nationalities of the consortium: Estonia, Croatia, Germany, Great Britain, Romania
* Regional partners: Hamburg University of Applied Sciences (HAW)
* Abstract: Using innovative approaches, Waste-EI will investigate best practices in waste education delivered across five EU regions, with the aim of sharing best practices and encouraging citizens to improve the quality and volume of valuable resources available for recycling. Delivered by universities and industry, the objective of the project is to change behaviour and ensure that regions maximise recycling in the most cost-effective way through a combination of teaching, educational resources, ICTs and tours to waste treatment facilities. The regions covered by the partnerships represent approximately seven million residents and five million tonnes per annum of municipal solid waste (MSW), with a variety of recycling approaches. Resource efficiency and the transition to circular economy principles will be central to all of the outputs, ensuring consumer behaviour and materials recovery are included in the project design. All outputs and ideas will be disseminated throughout the partnership and other established networks to maximise the wider impact of the project.
"Wertstoff-Initiative" and "Hamburg bottle" 42
* Nationalities of the consortium: Germany
* Regional partners: Technical University Hamburg (TUHH, science partner), Stadtreinigung and Veolia (resource providers and treatment of old bottles), Unilever (producer) and Budnikowsky (retailer)
* Target sectors: E38 – Waste collection, treatment and disposal activities, materials recovery; E39- Remediation activities and other waste management services
* Abstract: The project aims towards establishing a regional loop in Hamburg with a High Density Polyethylen (HDPE). By developing a bottle for shampoo or detergents which is to be produced from 100 per cent recycled plastic, five regional partners have been working on the topic since 2019. The plastic is to be gathered in Hamburg in garbage bins of private households ("Hamburger Wertstofftonne") and the bottles only to be sold in Hamburg establishing a closed regional loop.
Research Institutions
"Elbcampus – competence center of the chamber of crafts Hamburg"
The Elbcampus offers a study course on waste economy, circular economy and city cleaning. The course is awarded a "meister" degree in Germany and allows for leading positions in waste treatment and further development in that field. Art from topics of business administration, natural sciences and technical essentials, the course involves specific learnings on waste treatment, waste disposal and recycling. Focus group of the study programme are qualified employees from the specific sector wishing to further specialise and to qualify for leading positions. 43
"HafenCity University (HCU)"
The HCU is involved in different European cooperation projects (see above). Apart from that, the urban development department focuses on circular economy topics, for instance in the subject "Stadtplanung und Regionalentwicklung" (city planning and regional development). This department focuses on 1) challenges for urban locations and 2) innovative approaches for sustainable development of large cities and metropolitan areas and integrated circular topics accordingly from a governance perspective. 44 Moreover, the study course "city planning" (bachelor level) includes circular economy content.
Hamburg University of Applied Sciences (HAW)
The HAW is partner in several EU-funded and national projects on the circular economy (see above). In these projects, the approach is mostly technical and involve the faculty of life sciences. Moreover, the circular economy is present in the work of certain departments: The department of design connects circular topics with 1) illustration, 2) fashion, costume and textile design, 3) communication strategy, 4) clothing – technique and management. 45 Moreover, the faculty for life sciences works on fields related to the circular economy such as 1) sustainable development / sustainability, 2) climate change and climate protection, 3) climate and health, 4) nature protection, 5) environmental protection techniques. 46 Apart from that, several study courses focus also on circular economy topics. For instance, "illustration" (design, bachelor level), "fashion, costume, and textile design" (design, bachelor level), "environmental engineering" (engineering, bachelor level) and "biotechnology" (biotechnology, bachelor level).
Hamburg University of Technology (TUHH)
The TUHH is partner in different EU and national research projects (see above) and has a research field of recycling and circular economy at the Institute of Environmental Technology and Energy Economics. The research field divides into several subcategories:
* Recycling of metals from industry waste and old electronic devices. Since extraction of new resources and virgin material is an energy-intensive and emission-related process, recycling becomes increasingly important also from an economic perspective. Since WEEE/EAG (old electronic devices) is one of the fastest growing waste stream and the status quo is of that kind that collection is inefficient (only about 30 per cent of the volume end up in an adapted collecting and recycling system) new processes for collection and treatment are to be developed. 47
* Biotechnological processes for recovery of metals. The research activities focus on the recovery of precious metals contributing to economically and ecologically positive effects. 48
* Polymer recycling. In order to reduce the amount of virgin material needed to produce plastics, it is the goal to research the differing quality of plastic samples to identify measures of recycling without deteriorating physico-chemical qualities. 49
Apart from that, the working group "energy systems and production procedures" works on a circular economy for phosphorus, particularly in animal food. By certain adaptions of fodder it shall be ensured that problems of high phosphorus concentrations in animal excrements and therefore on agricultural areas are avoided. 50 Moreover, the TUHH offers several study courses which include circular economy topics, for instance "energy and environmental engineering" (engineering course, bachelor level) or "construction and environmental engineering" (engineering, bachelor level).
University of Hamburg (UH)
The UH is partner in circular economy related projects (see above).
2.4 Step 4: Emerging Ideas
The fourth step of the methodology aims to list the most innovative emerging activities in view of new circular economy businesses and initiatives. These are not to be confused with best practices since these should show some evidence of benefits and impacts and should already be implemented whereby emerging ideas represent opportunities for regional circular economy. 51
In the following, the authors use an overview of events related to the circular economy as an indicator for ideas that are discussed in the Hamburg region. Although the list does not raise a claim for completeness, it shows that circularity is intensively discussed in terms of waste management and in relation to existing clusters such as logistics.
Events
A Table in design and business innovation for the circular economy was hosted by Sustainable Design Center e.V. in February 2016. The main focus was to identify good practices from the Netherlands, for instance in terms of incubators for the circular economy. 52
On April 19 th , 2018 a "circular economy mapping event" was hosted in Hamburg by the Hamburg University of Applied Sciences (HAW). The event happened in around 70 participating cities internationally and was about mapping examples, discovering synergies and promoting connections in terms of circular economy. 53
On October 10 th , 2018 a conference "resource management and circular economy in city regions" was organised in Hamburg as part of the Horizon 2020 project REPAiR (see under Step 3). The conference's focus was to highlight the topic of resource management and circular economy. This was achieved by presenting research projects, urban and regional activities, and civic initiatives and allowing for a discussion between different stakeholder groups. 54
A summit on waste in Hamburg was organised on February 7 th , 2019 by Stadtreinigung Hamburg. A focus point was the discussion about a center for resources and energy (ZRE) which is to be developed until 2023 (see 2.2). 55
A Seminar "Circular economy, cradle2cradle, innovation" organised at the NIT Northern Institute of Technology Management in Hamburg was hosted on May 11 th , 2019. The institute offers training workshops for students and professionals. The seminar focused on introducing the concepts of circular economy and cradle to cradle innovation and their relevance for the different disciplines in innovation management. 56
A logistic-related meeting on "circular economy – are linear supply chains yesterday's news?" has been organised on May 21 st , 2019 in Hamburg. The meeting also served a training purpose for the logistic branch being organised by the "Nordakademie". 57
Presentation on "sustainable ports and circular economy challenges" held on May 29 th , 2019 at Kühne Logistics University in Hamburg about the relation between port city stakeholders and
the potential application of the circular economy approach to sustainable ports by proposing a circular framework. 58
On November 26 th , 2019, the Master of International Business and Sustainability at the University of Hamburg (UH) dedicated its annual public debate the topic "circular economy: how to move away from linear thinking". The debate hosted three expert speakers from Cradleto-Cradle e.V. Hamburg, Cirplus and the Lead Manager Sustainability at Tchibo. Findings: The collaboration between parties (circular network of private sectors, consumers, governments and NGOs) can be very powerful and innovations and startups can accelerate the expansion of the concept of circularity. 59
A two-day forum ("T.R.E.N.D.") was organised by Stadtreinigung Hamburg on February 4 th and 5 th , 2020. Topic of 2020 was the circular economy including an analysis of the status quo and the presentation of several good practices from different sectors being presented by experts. The event was complemented by a public exhibition giving institutions and companies the opportunity to present themselves and improve their networks. The next forum will be held in 2022. 60
Within the scope of the national research project DIBICHAIN a branch meeting with presentations and workshops was held on February 19 th , 2020 on "competitive business models in the circular economy a & blockchains". 61
2.5 Step 5: Existing Circular Economy Legislation
The fifth step focuses on existing or under development legislation regarding the circular economy both on the regional and the national level. Policy implementation mechanisms can involve education, information and awareness raising actions as well as collaboration platforms, incentive mechanisms or business support schemes. 62
In the case of Hamburg, a new regulation on waste disposal from 2017 introduced an "recycling offensive" for waste producers and owners as well as treatment institutions in order to ensure that a higher degree of waste can be recycled. Among others, the new regulation dictates to gather waste separately and only in certain occasions in a mixed way. If a separate gathering of waste is not possible, a pre-treatment is mandatory as well as documentation of all waste streams. 63 The topic of circular economy is regionally regulated in the "Hamburgisches Abfallwirtschaftsgesetz (HmAbfG)" (Hamburg waste law) applying the national "Kreislaufwirtschaftsgesetz" (circular economy law) on Hamburg. Thereby, the Hamburgrelated law obliges the responsible public authorities to ensure a separated collection of waste, to develop and apply new measures to sustainably exploit waste and to include recycled products in use cases as long as these measured are not linked with excessively increasing cost. 64
The national law serves the purpose to promote the circular economy to spare natural resources and to protect humans and environment in the scope of producing and exploitation of waste. 65 The recent update, including the respective EU directive into national law, has modernised the German waste law in different ways: for instance, a new waste hierarchy of five steps was introduced (avoidance, reuse, recycling, other exploitation such as energetic recovery, waste disposal). Moreover, new measures for waste avoidance, improvement of resource efficiency and the regulation on the shared responsibility between public and private in waste disposal are introduced. 66
Moreover, Hamburg is adapting its regional regulation to introduce circular approaches when it comes to waste and resources. For instance, regulation is adapted in such way to simplify construction projects using wood. A concrete example is a 19-storied building which is planned to be constructed in the Hafencity in Hamburg. The recent coalition agreement of the new regional government, formed in 2020, further underlines the potential of circular construction and includes the intention to prepare a study on the usage of sustainable (such as wood) and recycled construction material (such as RC-concrete). Stricter regulation on packaging and the avoidance of non-reusable packaging is announced. 67
2.6 Step 6: Existing Funding Instruments
The sixth step relates to funding instruments already in place in the regions. The regional overview is complemented by an overview about national funding instruments. 68
Since 2017, using wood for construction is also supported financially: In the case of residential buildings, every kilogram of wood is rewarded with a grant of 30 cents while non-residential buildings receive even 80 cents per kilogram wood. In the latter case, particularly kindergartens, sport clubs and workshops have been supported but the grant scheme can also be applied in cases of addition of stories on top of existing buildings. The public "Investitionsund Förderbank Hamburg (IFB)" offers particular seminars and information events on wood as a construction material in different environments. 69
Already in 2011 Hamburg initiated a project on integrated product policy ("Integrierte Produktpolitik") to introduce an extensive view of the complete value chain of a product and how to design that in a sustainable way. 70
Moreover, the programs "Unternehmen für Ressourcenschutz" (companies for resource protection) as well as "PROFI Umwelt" and "PROFI Umwelt Transfer" address circular topics in regional companies. The first program focuses on production, service, and craft companies in Hamburg to exploit saving potential regarding energy, water, and resources by initiating voluntary investments in resource efficiency measures. 71 The other programs are offered by IFB and funds individual (PROFI Umwelt) or cooperation projects (PROFI Umwelt Transfer) for the development of innovative products, processes or services contributing to climate and environmental protection. The focus is on resource and material efficiency as well as improvements in the circular economy. 72
To promote the circular economy by financial support on a national basis, the German "Kreditanstalt für Wiederaufbau (KfW)" together with four other national support banks and institutes from Poland, France, Italy, and Spain launched a shared initiative. Its focuses on development and implementation of circular economy projects and programs in the EU and aims towards a financial volume of 10 billion Euro over five years until 2023. 73
Moreover, new research funds by the national Ministry of Education and Research to be granted to support research and development projects on the topic of "resource efficient circular economy – plastic recycling technologies" have been announced. 74 Particular Federal States in Germany have also implemented regional support schemes to direct EU funds to innovative circular economy projects. 75
3. Conclusion and Limitations
The paper at hand presents the findings of a local analysis of the circular economy in the Free and Hanseatic City of Hamburg. It is based on a mapping tool developed within the Horizon 2020 project "SCREEN - Synergic CirculaR Economy across European regioNs". The purpose of the framework addresses the lack of a structured and formalised knowledge basis to assess the existing capabilities of circular economy on a regional level. The methodology shows a high degree of practical relevance and can be used as an analytical basis to highlight and evaluate potential strategic business cases contributing to the transition towards a circular economy.
The analysis for the case of Hamburg is related to the Interreg Europe project "REPLACE REgional PoLicy Actions for Circular Economy". REPLACE is a European project that aims at improving management, implementation and monitoring of regional policy instruments targeted at facilitating the transition towards a circular economy. The main operative target of the project refers to the development and application of policies and actions focusing on identification, valorization, assessment, and financing of circular value chains.
The findings of the local analysis in Hamburg can be summarised as a highly ambitioned regional circular economy environment. The recent coalition agreement of the Hamburg government from 2020 gives sustainability and green development a prominent place. It is recognised that resource efficiency plays a major role for a future-oriented, sustainably city and the ambition is exclaimed to make Hamburg a model for climate protection. A study is planned on grey energy and energy consumption in building construction to identify potential for more circular construction. Resource-efficient construction and the usage of sustainable (such as wood) and recycled construction material (for instance RC-concrete) for public construction projects add to the target of a green transformation of the construction sector. In terms of waste and waste avoidance, reusable packing as an alternative to the linear produceuse-dispose scheme are planned to be promoted. In terms of recycling, the city of Hamburg obliges itself to preferably buy products with a repair option. The illegal export of electronic waste is to be prevented. The action plan for circular economy from the European Commission is explicitly supported and recognised as a guiding principle for sustainability measures in Hamburg.
The six steps of the underlying methodology to perform a local analysis on Hamburg can be summarised as following:
Step 1: In the RIS3 strategy, the topic of circular economy is listed in the future field energy, climate, environmental protection and marine technology among other technologies and trends such as renewable energies, energy production, energy storage technologies, energy efficiency, climate research, low-power-electronics and performance electronics, combined heat and power, offshore systems, resource potential of marine infrastructures, biological diversity/blue biotechnology, sustainable energies, environmental and resource management as well as fuel cell technology and circular economy.
Step 2: When looking at statistics of waste (both private and commercial) in Hamburg one can observe that the overall volume of waste has increased over the last years. Particularly the increasing amount of commercial waste underlines a high sense of urgency for instance in terms of circular construction in order to reduce the amount of waste from construction projects. Since the city of Hamburg is expected to keep growing as a consequence of strong urbanisation processes and at least 10,000 new housing units are to be constructed annually the topic can be expected to further increase in relevance. Moreover, Hamburg lists a number of relevant companies and institutions working on circular economy topics. A selection of interesting institutions is to be given subsequently as a set of examples of good practices. For instance, a centre for resources and energy (ZRE) focusing on the topic of urban waste and to establish circular loops will be established in Hamburg until 2023.
Step 3: The number of research projects on circular economy topics in Hamburg is high. Various projects on European, national, and regional level work on several specific fields of circularity, such as loops for electronic waste, circular construction, circular ports or circular blockchain technologies. These projects are mostly connected to the various research organisations and universities in Hamburg. Almost all universities are engaged in at least one circular economy project and several universities have also included the topic in their teaching, either as modules in existing courses or in specific courses.
Step 4: In order to get an idea of emerging ideas in Hamburg, organised events related to circular economy topics have been used as an indicator. Although the list does not raise a claim for completeness, it shows that circularity is intensively discussed in terms of waste management and in relation to existing clusters such as logistics.
Step 5: In terms of legislation, a new regulation on waste disposal from 2017 introduced an "recycling offensive" for waste producers and owners as well as treatment institutions in order to make sure that a higher degree of waste can be recycled. The topic of circular economy is regionally regulated in the "Hamburgisches Abfallwirtschaftsgesetz (HmAbfG)" (Hamburg waste law) applying the national "Kreislaufwirtschaftsgesetz" (circular economy law) on Hamburg. Moreover, Hamburg is adapting its regional regulation to introduce circular approaches when it comes to waste and resources. For instance, regulation is adapted in such way to simplify construction projects using wood. The recent coalition agreement of the new regional government, formed in 2020, further underlines the potential of circular construction and includes the intention to prepare a study on the usage of sustainable (such as wood) and recycled construction material (such as RC-concrete). Stricter regulation on packaging and the avoidance of non-reusable packaging is announced.
Step 6: Looking at funding instruments reveals that national funding for research on circular economy is available from the Ministry of Education and Research and financial funding from public banks is offered for development and implementation of circular economy projects and programs. Hamburg-related funding is available for instance of support to include wood in construction projects. The support program is complemented by seminars and workshops on the topic.
However, the methodology is limited in its scope to fully cover the topic of circular economy. One of the general problems of the circular economy concept is the apparent restriction to waste management topics. Thereby, circularity is about the complete value chain of a product also including design and production rather than solely how to deal with the remains after a product's life has ended. This limitation holds for most tools to monitor the circular economy on a regional level and the methodology applied here is no exception. Knowing about the imperfection of the methodology the local analysis will not be able to draw the full picture of the circular economy in Hamburg. Topics such as changing consumption patterns and societal shifts, sustainable mobility, sharing concepts, energy efficiency or new design approaches in production companies to allow for reuse and refurbishment have not been covered. Since the scientific debate on developing a measurement methodology for these aspects of circularity is still ongoing, we chose to apply a basic methodology which can be updated in a further step. Therefore, the local analysis at hand can raise no claim to completeness. Nevertheless, we see it as a contribution to an ongoing debate and look forward to suggestions of advancements and updates of activities.
4. Recommendations
Overall, the circular economy landscape in Hamburg is established and widespread. Several projects are working on concrete solutions for the city and the region and have successfully introduced their requests into politics and regulation. Still, the potential of the mass of circular economy in Hamburg is not yet fully exploited. A set of recommendations has been gathered in a regional stakeholder workshop on March 2 nd , 2021 and covers several areas to further improve the visibility, implementation and connectivity of the circular economy in Hamburg.
Platform and coordination
It is described to be complicated to get in contact with companies so that the introduction of circular innovations requires a high amount of personal commitment of company owners in the first stage. Institutions such as the Umweltpartnerschaft can play an important role to raise awareness among companies for green topics and their benefits and should therefore be further promoted. However, it is regarded as important to establish additional capacity for circularity consulting to give counsel on funding possibilities, good practices and contacts and can organise trainings or workshops.
Moreover, there is no such thing as an overview about circular economy players in Hamburg and no established network between them. By now, there is no coordinating instance or database and the variety of circular activities in Hamburg becomes visible only by extensive researching. This significantly limits the public image of circular economy in Hamburg. Establishing a networking platform to bring together actors and giving them a forum for exchange of experience might be a building block to boost visibility and shared collective effort. Linking the research institutions and universities working on circularity can be a first step that can be scaled up afterwards in case of success.
Visibility
An important point to raise awareness on circular economy and its variety is to improve the visibility. Hamburg lacks concrete locations associated with the circular economy so that by now the topic remains theoretical. In this context, it was discussed to establish a noticeable "lighthouse" such as a Circular Innovation Hub or a "Circular Hamburg" event to gain attention even on a supraregional level. Local hubs should complement this kind of central lighthouse to underline that circular economy is also a local topic related to everyday life of everyone rather than just an abstract political idea.
One of the problems of the circular economy remains its association with waste and waste treatment although the concept is much broader than that. It is not universal knowledge that circularity also involves product-related topics such as design or behavioural topics of consumption patterns and can contribute to sustainability in much more ways than just recycling of waste. To overcome this narrow view, it is recommended to show good practices of the variety of circular economy in Hamburg. A "Hamburg Declaration" could also publicly present an own definition of circular economy and contribute to raise the public awareness of circularity to the level of other sustainability topics such as energy or climate protection.
Introduce incentives
Particularly on company level there are still prejudices against circularity, particularly regarding potentially higher costs and the effort of rethinking business models. In order to overcome these barriers, not only consultation plays a role but also financial incentives to cover part of the additional cost. This is particularly important for NGOs, social and cultural actors as well as companies in an early stage and startups which require an innovation ecosystem that the updated regional innovation strategy for smart specialisation (RIS3) in Hamburg will further shape. Also, other non-financial incentives such as circularity labels or public awareness are considered to be important to get companies involved in the circular economy.
Circular education
Education plays a major role to raise the sensitivity for certain topics. Introducing sustainability and circular economy topics as ideas for practical projects in schools can reach a significant number of pupils acting as multipliers of circularity ideas.
Public sector as a facilitator
The public sector in Hamburg exerts a serious role model function in terms of transitioning towards a circular economy. Introducing strong circularity criteria for public procurement would send out the message that circularity is an accepted and desired aspect in Hamburg. Public administration and public companies can be the good practices that others need for orientation. Moreover, the public buying power should not be underestimated. For instance, making the use of recycled material mandatory in public construction projects would not only be a good practice but also provide recycling and construction companies with planning certainty to scale up the availability of recycled materials which also benefits private companies.
Adapting legislation is another important topic to simplify the introduction of circular solutions. Since Hamburg as a federal state has a larger range of law-making possibilities, these should be used to pave the way towards a circular economy. Where federal or European law is concerned, initiatives to change the legislation in favour of circularity are to be initiated.
5. References
1 Ellen MacArthur Foundation (2020): Concept, [online], available at: https://www.ellenmacarthurfoundation.org/circular-economy/concept [accessed October 5 th , 2020].
2 Kirchherr, J., Reike, D.; Hekkert, M. (2017): Conceptualizing the Circular Economy: An Analysis of 114 Definitions, Resources, Conservation and Recycling, 127, pp.221–232.
3 Corvellec, H.; Böhm, S.; Stowell, A.; Valenzuela, F. (2020): Introduction to the special issue on the contested realities of the circular economy, Culture and Organization, 26:2, pp.97-102.
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Annual Drinking Water Quality Report
Town of Tappahannock
INTRODUCTION
This Annual Drinking Water Quality Report for calendar year 2016 is designed to inform you about your drinking water quality. Our goal is to provide you with a safe and dependable supply of drinking water, and we want you to understand the efforts we make to protect your water supply. The quality of your drinking water must meet state and federal requirements administered by the Virginia Department of Health (VDH). This Form Will NOT Be Mailed To Consumers. They Are Available @ The Tappahannock Town Office @ 915 Church Lane Between The Hours of 8:30 am & 4:30 pm.
If you have questions about this report, please contact:
Frank Sanders -Tappahannock Town Office Phone # (804) 443-3336
If you want additional information about any aspect of your drinking water or want to know how to participate in decisions that may affect the quality of your drinking water, please contact:
Tappahannock Town Office, (804) 443-3336
The times and location of regularly scheduled Town Council meetings are as follows:
Second Monday of each month at 7:00 p.m. at the following address:
915 Church Lane Tappahannock, VA Note – Two weeks advance notice required to be placed on agenda.
GENERAL INFORMATION
The sources of drinking water (both tap water and bottled water) include rivers, lakes, streams, ponds, reservoirs, springs and wells. As water travels over the surface of the land or through the ground, it dissolves naturally occurring minerals and, in some cases, radioactive material, and can pick up substances resulting from the presence of animals or from human activity. Contaminants that may be present in source water include: (1) Microbial contaminants, such as viruses and bacteria, which may come from sewage treatment plants, septic systems, agricultural livestock operations, and wildlife. (2) Inorganic contaminants, such as salts and metals, which can be naturally-occurring or result from urban stormwater runoff, industrial or domestic wastewater discharges, oil and gas production, mining, or farming. (3) Pesticides and herbicides, which may come from a variety of sources such as agricultural, urban storm water runoff, and residential uses. (4) Organic chemical contaminants, including synthetic and volatile organic chemicals, which are byproducts of industrial processes and petroleum production, and can also, come from gas stations, urban stormwater runoff, and septic systems. (5) Radioactive contaminants, which can be naturally occurring or be the result of oil and gas production and mining activities. To ensure that tap water is safe to drink, EPA prescribes regulations, which limit the amount of certain contaminants in water provided by public water systems. Food and Drug Administration regulations establish limits for contaminants in bottled water, which must provide the same protection for public health.
All drinking water, including bottled drinking water, may reasonably be expected to contain at least small amounts of some contaminants. The presence of contaminants does not necessarily indicate that water poses a health risk. More information can be obtained by calling the Environmental Protection Agency's Safe Drinking Water Hotline (800-426-4791).
Some people may be more vulnerable to contaminants in drinking water than the general population. Immuno-compromised persons such as persons with cancer undergoing chemotherapy, persons who have undergone organ transplants, people with HIV/AIDS or other immune system disorders, some elderly, and infants can be particularly at risk from infections. These people should seek advice about their drinking water from their health care providers. EPA/CDC guidelines on appropriate means to lessen the risk of infection by cryptosporidium and other microbiological contaminants are available from the Safe Drinking Water Hotline (800-426-4791).
SOURCE(S) and TREATMENT OF YOUR DRINKING WATER
The source(s) of your drinking water is/are ( ) surface water ( X ) groundwater as described below:
All three wells are located within The Town.
Is there any treatment of your drinking water supply? ( X ) Yes ( ) No If yes, it is described below:
The groundwater is chlorinated to prevent bacteriological growth in the distribution system.
As a first step toward protection of our sources of drinking water, the Virginia Department of Health (VDH) evaluated the susceptibility of Virginia's water supplies to contamination. Contamination sources and pathways were reviewed using maps, known and observed activities, water quality data and information about the water source. Using criteria developed by the State in its EPA-approved Source Water Assessment Program, it was determined that, on a relative basis, three of our wells are of low susceptibility to contamination. Our fourth and newest well has yet to be evaluated. Your current water quality is described in the rest of this report. A copy of the source water assessment report is available by contacting Mr. Frank Sanders.
DEFINITIONS
Contaminants in your drinking water are routinely monitored according to Federal and State regulations. The table on the next few pages shows the results of our monitoring. In the tables and elsewhere in this report you will find many terms and abbreviations you might not be familiar with. The following definitions are provided to help you better understand these terms:
Parts per million (ppm) or Milligrams per liter (mg/l) - one part per million corresponds to one minute in two years or a single penny in $10,000. Parts per billion (ppb) or Micrograms per liter - one part per billion corresponds to one minute in 2,000 years, or a single penny in $10,000,000. Picocuries per liter (pCi/L) - picocuries per liter is a measure of the radioactivity in water.
Action Level (AL) - the concentration of a contaminant which, if exceeded, triggers treatment or other requirements which a water system must follow. Maximum Contaminant Level, or MCL - the highest level of a contaminant that is allowed in drinking water. MCLs are set as close to the MCLGs as feasible using the best available treatment technology.
Maximum Contaminant Level Goal, or MCLG - the level of a contaminant in drinking water below which there is no known or expected risk to health. MCLGs allow for a margin of safety.
Maximum Residual Disinfectant Level (MRDL) – The highest level of a disinfectant allowed in drinking water. There is convincing evidence that addition of a disinfectant is necessary for control of microbial contaminants.
Maximum Residual Disinfectant Level Goal (MRDLG) - The level of a drinking water disinfectant below which there is no known or expected risk to health. MRDLG's do not reflect the benefits of the use of disinfectants to control microbial contaminants.
WATER QUALITY RESULTS
I. Lead and Copper Contaminants
| Contaminant | Units of Measurement | Action level | MCLG | Results of samples for the 90th Percentile Value | Action Level Exceedance (Y/N) | Month of Sampling | # of Sampling Sites Exceeding Action level |
|---|---|---|---|---|---|---|---|
| Copper | ppm | 1.3 | 1.3 | 0.11 | N | August 2015 | 0 |
II. Other Chemical and Radiological Contaminants
| Contaminant | Units of Measurement | MCLG | MCL | Level Detected | Violation (Y/N) | Range of Detection at Sampling Points | Date of Sample |
|---|---|---|---|---|---|---|---|
| Fluoride | ppm | 4 | 4 | 1.83 | N | 0.72 – 1.38 | 2015 & 2016 |
| Total Trihalomethanes | ppb | 80 | 80 | 3.9 | N | NA | 2016 |
| Gross Alpha | pCi/L | 0 | 15 | 0.8 | N | ND – 0.8 | 2013 & 2016 |
| Gross Beta(1) | pCi/L | 0 | 50 | 3.1 | N | 2 – 2.8 | 2013 & 2016 |
| Combined Radium | pCi/L | 0 | 5 | 3 | N | 0.8 – 3 | 2013 & 2016 |
(1) The MCL for beta particles is 4 mrem/year. EPA considers 50 pCi/l to be the level of concern for beta particles.
III. Unregulated Inorganic Contaminants
| Contaminants (units) | Date Sampled | Level Detected | Range of Detection |
|---|---|---|---|
| Sulfate (ppm) | 2015 & 2016 | 14.9 ppm | 12.9 – 14.9 ppm |
IV. Disinfectants
We constantly monitor for various contaminants in the water supply to meet all regulatory requirements. The tables list only those contaminants that had some level of detection. Many other contaminants have been analyzed but were not present or were below the detection limits of the lab equipment.
The state allows us to monitor for some contaminants less than once per year because the concentrations of these contaminants do not change frequently. Some of our data, though accurate, is more than one year old.
Other drinking water constituents you may be interested in are as follows:
The sodium concentrations in the samples collected from 2015 & 2016 were 99.2 ppm, 99.3 ppm and 92.3 ppm for wells 2, 3 & 4 respectively. This concentration exceeds the maximum recommended level of 20 ppm for persons on a "strict" sodium diet.
MCL's are set at very stringent levels by the U.S. Environmental Protection Agency. In developing the standards EPA assumes that the average adult drinks 2 liters of water each day throughout a 70-year life span. EPA generally sets MCL's at levels that will result in no adverse health effects for some contaminants or a one-in-ten-thousand to one-in-a-million chance of having the described health effect for other contaminants.
VIOLATION INFORMATION
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Available online on 15 Dec, 2022 at http://www.hjhs.co.in/index.php/hjhs
Himalayan Journal of Health Sciences
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Research Article
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Role of an Agro Technique for the Development of Medicinal Plant: Shalparni
Usha Kiran *,a , G. B. Pawar b , Vijay c , Akanchha Thakur d , J. C. Arya e , B. Venkateshwarlu f , M. Siddhamallayya g , G. Babu h , N. Srikant i , R. N. Acharya j
a Research Officer (Bot.), Central Ayurveda Research Institute (CARI), Jhansi-284003, India.
b Research Officer (Ay.), Central Ayurveda Research Institute (CARI), Jhansi-284003, India.
c Research Officer (Chem.), Central Ayurveda Research Institute (CARI), Jhansi-284003, India.
d Assistant Research Officer (Pharmacognosy), Central Ayurveda Research Institute (CARI), Jhansi-284003, India.
e Research Officer (Bot.), Central Ayurveda Research Institute (CARI), Jhansi-284003, India.
f Programme Officer (Bot.), Central Council for Research in Ayurvedic Sciences, (CCRAS), New Delhi, India.
g Nodal Officer (Bot.), Central Council for Research in Ayurvedic Sciences, (CCRAS), New Delhi, India.
h Assistant Director In-charge, Central Ayurveda Research Institute (CARI), Jhansi-284003, India.
i Deputy Director General, Central Council for Research in Ayurvedic Sciences, (CCRAS), New Delhi, India.
j Director General, Central Council for Research in Ayurvedic Sciences, (CCRAS), New Delhi, India.
Abstract
Vrikshayurveda a classical science of botanical field, this science deals with growth and development of plants. This science mainly suggests uses of Kunapa jala and Pancha gavya for the high productivity of crops. This concept works around organic farming for effective plant growth. Vrikshayurvedha mentioned Kunapajala as organic liquid manure which is a fermentation product and acts as plant nutrients. There are two types of Kunapajala mainly in practices viz; herbal and non-herbal which is prepared according to the procedures described in Vrikshayurvedha. Considering importance of this we planned a study to investigate role of Vrikshayurvedha concept for the development of medicinal plant; Shalparni. Present study investigated role of Kunapajala in the growth and % yield of plant Shalparni. This study observed that Kunapajala treatment offered best response with respect to root yield and soil physicochemical parameters. Kunapajala increased plant yield quantitatively as well as qualitatively.
Keywords: Ayurveda, Kunapajala, Vrikshayurvedha, Shalparni
Article Info: Received 23 Nov 2022; Review Completed 13 Dec. 2022; Accepted 15 Dec. 2022
Cite this article as:
Kiran U, Pawar G B, Vijay, Thakur A, Arya J C, Venkateshwarlu B, Siddhamallayya M, Babu G, Srikant N, Acharya R N. Role of an Agro Technique for the Development of Medicinal Plant: Shalparni. Himalayan J H Sci [Internet]. 2022 Dec 15 [cited 2022 Dec 15]; 7(4):42-46. Available from:
http://www.hjhs.co.in/index.php/hjhs/article/view/159
DOI: 10.22270/hjhs.v7i4.159
*Corresponding author
1. Introduction
Kunapa jala and Pancha gavya are nutrients used in botanical science which contains N, P and K contents. The literature evident that herbal and non-herbal Kunapajala offer appreciable response towards the growth and development of plant materials. Kunapajala acts as promising organic manure for the plant growth and yield. Kunapajala composed of fermentation of animal remains including flesh and marrow, etc. (1-3)
The flesh, blood and bone marrow, etc. of animals are mixed with water to prepare Kunapajala. Flesh of sheep, goat, cow dung and fish, etc. can be used along with other ingredients. Kunapajala improved soil fertility, plant growth and physico-chemical parameters, etc. The utilization of such nutrient increases biomass, shoot length, root length and overall yield of plant materials. Kunapajala alter soil fertility, increases nutrient holding capacity of surfaces and boost up the plant growth. (3-6)
2. Materials and Methods
The 250 gm seeds of medicinal plant Shalparni (Desmodium gangeticum (L.) DC. Collected from the Institute Garden in the month of October, 2019. Seed
was kept in air tight container with proper labelling.
Preparation of Kunap-Jala (7, 8)
1) Initial ingredients required for formulation washed and dried.
2) Water was added for decoction purpose, heated to boil and reduced the volume to one-eighth and transferred the flesh decoction to an earthen pot.
3) Stirred thoroughly while adding the Go-dugdha, powder of the sesame cake and honey in
specified ratio to the prepared decoction of flesh was added.
4) Added separately boiled black gram (Masha), Ghrita and sufficient quantity of hot water to the earthen pot.
5) Sealed the mouth of the earthen pot and kept in warm place for 15 days.
6) The fermented material was filtered through muslin cloth, packed in air tight container and allowed for nourishing.
Table 1. Formulation composition
| 1) | | Kiti (Suvar) | Domestic pig | Flesh | 1 kg |
|---|---|---|---|---|---|
| | | | (Sus scrofado mesticus) | | |
| 2) | | Matsya (Machhli) | Indian mackerel fish(Rastrelliger | Flesh | 1kg |
| | | | kanagurta) | | |
| 3) | | Mesh (Bheda) | Domestic sheep | Flesh | 1 kg |
| | | | (Ovisaries) | | |
| 4) | | Chhag (Bakari) | Domestic goat | Flesh | 1 kg |
| | | | (Capra aegagrushircus) | | |
| 5) | | Neera (Water) | Portable water | - | 64 lit |
| Reduced to | | | | | 8 lit |
| 6) | | Go-dugdha | Cow’s Milk | - | 1 lit |
| 7) | | Khali | Sesamum cake | by-product of | 500 gm |
| | | | (Sesamum indicum L.) | sesame oil | |
| | | | | extraction | |
| 8) | | Makshika (Madhu) | Honey | - | 500gm |
| 9) | | Masha | Black gram | Seed | 500gm |
| | | | (Vigna mungo (L.) Hepper) | | |
| 10 | ) | Go-ghrita | Ghee prepared from Cow’s milk | - | 250 gm |
| 11 | ) | Hot water | | | Qs |
Sowing of Seeds (Germination):
Marker compound present
Seeds of the plant (Shalparni) had sown in 15 kg capacity pots. Seed germination of the test plant was under observation during the period of growth of seeds.
Treatment by Manures:
KunapJal treatment was given to the experimental group of Shalparni after 60 days of plantation. Pots containing medicinal plant Shalparni grouped into three categories as follows:
- Control Group (Not received any nutrient)
- Kunapjal Group (Received Kunapjal 50 ml/pot)
- Farm yard Manure (These plant received FYM 5 gm/pot)
HPTLC analysis:
Test Solution
Coarsely powdered plant material of three groups was dissolved in 10 ml of methanol, sonicated for 10 min, centrifuged and the supernatant was taken for HPTLC analysis.
Mobile Phase
Toluene: Ethyl acetate: Methanol: Formic acid (6:4:2:1)
Stigma sterol
Procedure
The 10 µl bands of test solutions were applied by 100 µL micro-syringe in different tracks on pre-coated silica gel 60F254 TLC plate of 0.2 mm uniform thickness using the applicator. Plates were developed in pre-saturated twin trough glass chamber with an optimized mobile phase at a distance of 8 cm.
The details of samples spotted on different tracks are as follows
Track 1: Stigmasterol (Marker)
Track 2: Shalparni (KunapJal group)
Track 3: Shalparni (FYM group)
Track 4: Shalparni (Control group)
Kunap jal analysis
The 250 ml sample of Kunap Jal was sent to the "Eko pro Engineers Pvt. Ltd." Laboratory, Ghaziabad, for the micronutrient analysis.
3. Results and Discussion
The germination of seeds was depicted in Figure 1 which was found to be satisfactory.
Inference of HPTLC Analysis:
The HPTLC data revealed presence of stigmasterol as chief phytoconstituents in Shalparni (Figure 2). Stigmasterol was visualized after derivatization with Anisaldehyde-Sulfuric acid reagent at Rf value of 0.682
in the specified mobile phase. It is evident from the Rf values and densitograms of derivatized plate that stigmasterol is present in all three samples of Shalparni i.e.; Control Group, Kunapjal Group and Farm yard Manure Group.
Results of Kunap Jal & Soil Analysis:
The findings of study suggested presence of nitrogen, phosphorous, sulfur, calcium, magnesium, zinc and copper, etc. in Kunap Jal, their % depicted in Figure 3. The presence of these components enhances fertilization of Kunap Jal. Similarly Kunap Jal alters physico-chemical parameters of soil which was observed in soil analysis as depicted in Figure 4.
The results of Kunapjal analysis showed high content of macro (NPK) and micro nutrients (Mg, Zn etc.) as well as higher Calcium content. Shalparni dry weight of root was 33.09 % non-significantly higher than the control in the Kunapjal treated plant; however it was 22.36 % higher than the FYM.
Physico-chemical analysis in post-harvest soil in Shalparni was done at IGFRI, Jhansi and the observations reported as follows:
pH: It is same in all the three treatments.
Available-N: It was non-significantly lower in the Kunapjal treated soil, which could have due to higher uptake of available Nitrogen by the plants resulting in better plants growth.
Available –P: It was also non-significantly lower in case of Kunapjal treated soil, which could have due to higher uptake of available Phosphorus by the plants resulting in better plants growth.
Available-K: It was non-significantly higher in case of Kunapjal treated soil, which could have due to higher amount of available –K in the soil treated with the Kunapjal (in the organic form) which could have mineralized resulting in to higher availability of Potassium which might have taken by the plants resulting in better plant growth.
Yield of Shalparni (Dry Weight of Root):
Dry weight of root was 33.09 % non-significantly higher than the Control in the Kunapjal treated plant; however, it was 22.36 % higher than the FYM (Figure 5). Higher % of yield in case of KunapJal could have due to rich organic matter content which could have
converted in the better nutrient rich soil results the higher uptake of the nutrients by the plant.
4. Conclusion:
KunapJal treatment exhibited best response amongst the three treatments with respect to root yield, post-harvest physico-chemical parameters of soil and presence of active constituent. Therefore it can be concluded from the study that Kunapjal can be used at par with FYM in seeding, germination and cultivation process of Shalparni (Desmodium gangeticum) (L.) DC. for increasing the quantitative as well as qualitative yield of plant. However present study also suggests a field trial to establish the technique.
Acknowledgements
I would like to express my gratitude to Himalayan Journal of Health Sciences who gave me the opportunity to publish the article.
Financial Disclosure statement: The author received no specific funding for this work.
Conflict of Interest
The author declares that there is no conflict of interest regarding the publication of this article.
References
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2. Nagesh, Rao M S. Vrikshayurveda (Kannada) Dr. M. S. Nagesh Rao Memorial Ayurveda Development and Research Centre; Udupi; 1998.p. 176–177.
3. Mishra, P.K. Effect of Kunapa jalam Vrikshayurveda on growth of paddy. Indian J Traditional Knowl. 2007; 6(2):307-310.
4. Farooquee NA, Majila BS, Kala CP. Indigenous knowledge systems and sustainable management of natural resources in a high altitude society in Kumaun Himalaya, India. Journal of Human Ecology. 2004;16:3342.
5. Natarajan, K. Other India Press; Mapusa, Goa, India:Panchagavya– a manual. 2002.p. 33.
6. Sarkar S, Kundu SS, Ghorai D. Validation of liquid organics –Panchagavya and Kunapajala as plant growth
promoters. Indian J Traditional Knowl. 2014;13(2):398403.
7. El-Nemr MA, El-Desuki M, El-Bassiony AM, Fawzy ZF. Response of growth and yield of cucumber plants (Cucumis sativus L.) to different foliar applications of humic acid and bio-stimulators. Aust J Basic Appl Sci. 2012;6(3):630–637.
8. Kokate CK, Gokhale AS, Gokhale SB. Cultivation of medicinal plants. 2 nd ed. Pune: Nirali Prakashan; 2004.p.32.
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Child Neuropsychology
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Selective and sustained attention in children with spina bifida myelomeningocele
Ida Dyhr Caspersen a & Thomas Habekost a a Department of Psychology, University of Copenhagen, Copenhagen, Denmark
Available online: 11 Jan 2012
To cite this article: Ida Dyhr Caspersen & Thomas Habekost (2012): Selective and sustained attention in children with spina bifida myelomeningocele, Child Neuropsychology, DOI:10.1080/09297049.2011.639753
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ISSN: 0929-7049 print / 1744-4136 online
Selective and sustained attention in children with spina bifida myelomeningocele
Ida Dyhr Caspersen and Thomas Habekost
Department of Psychology, University of Copenhagen, Copenhagen, Denmark
Spina bifida myelomeningocele (SBM) is a neural tube defect that has been related to deficits in several cognitive domains including attention. Attention function in children with SBM has often been studied using tasks that are confounded by complex motor demands or tasks that do not clearly distinguish perceptual from response-related components of attention. We used a verbal-report paradigm based on the Theory of Visual Attention (Bundesen, 1990) and a new continuous performance test, the Dual Attention to Response Task (Dockree et al., 2006), for measuring parameters of selective and sustained attention in 6 children with SBM and 18 healthy control children. The two tasks had minimal motor demands, were functionally specific and were sensitive to minor deficits. As a group, the children with SBM were significantly less efficient at filtering out irrelevant stimuli. Moreover, they exhibited frequent failures of sustained attention and response control in terms of omission errors, premature responses, and prolonged inhibition responses. All 6 children with SBM showed deficits in one or more parameters of attention; for example, three patients had elevated visual perception thresholds, but large individual variation was evident in their performance patterns, which highlights the relevance of an effective case-based assessment method in this patient group. Overall, the study demonstrates the strengths of a new testing approach for evaluating attention function in children with SBM.
Keywords: Distractibility; Impulsivity; Lapses; Perception thresholds; TVA; Visual processing speed.
Spina bifida myelomeningocele (SBM) is a congenital neural tube defect. It is the most common form of spina bifida; a condition that has a postdietary-fortification prevalence of about 0.3–0.5 per 1,000 live births in the United States (Fletcher, Dennis, & Northrup, 2010). This makes neural tube malformations one of the most common types of birth defect (Refsum, 2001; Yoon et al., 2001). SBM, which is often associated with hydrocephalus, involves a complex pattern of neural damage and functional impairments. SBM-related brain insults are diffuse and affect children from embryonic stage and throughout life in orthopaedic, cognitive, and behavioral domains (Burmeister et al., 2005; Fletcher et al.,
The study was supported by grants to the first author from the Center for Visual Cognition. Center for Visual Cognition is funded under the University of Copenhagen's Centre of Excellence program. We also wish to thank Marianne Knudsen at Rigshospitalet's Department of Psychology, Pedagogy, and Social Counselling for practical help in the recruitment of patients, Signe Vangkilde for experimental help, and Mads Dyrholm for help analyzing TVA data. Furthermore, we are grateful for the efforts made by school teachers and leaders to recruit control children: thanks to Kira Øst-Jacobsen at Nordstrandskolen, Flemming Allerup at Amager Lille Skole, and Henrik Reumert at Søborg Skole.
Address correspondence to Ida Dyhr Caspersen, Department of Psychology, University of Copenhagen, Øster Farimagsgade 2A, Copenhagen, Denmark. E-mail: firstname.lastname@example.org
2004; Wills, 1993). The neurobehavioral profile associated with myelomeningocele and hydrocephalus has been reviewed by several authors (e.g., Dennis & Barnes, 2010; Fletcher et al., 2005; Liptak, 2002). SBM is associated with impaired movements in upper and lower limbs (Fletcher et al., 1995, 2004; Hetherington & Dennis, 1999; Lomax-Bream, Barnes, Copeland, Taylor, & Landry, 2007) and consequently reductions in complex fine motor skills related to eye-hand coordination, for example, writing (Barnes, Dennis, & Hetherington, 2004; Ziviani, Hayes, & Chant, 1990) and drawing (Sandler, Macias, & Brown, 1993). The observable deficits may reflect impairments in motor timing as well as spatial perception and construction guided by vision (Dennis, Landry, Barnes, & Fletcher, 2006; Fletcher, Francis, Thompson, Davidson, & Miner, 1992; Liptak, 2002; Lomax-Bream et al., 2007; Vinck, Mullaart, Rotteveel, & Maassen, 2009). Typical cognitive outcomes involve deficits in multiple mental domains including timing, attention, perception, memory, literacy, numeracy, and language functions (Dennis & Barnes, 2010).
Attention function in individuals with SBM has been investigated in relatively few studies (Yeates, Fletcher, & Dennis, 2008) but is potentially an area of central interest. In general, attention plays the role of a selection mechanism that prioritizes cognitive resources and allows only the most relevant information to influence consciousness and action (Bundesen & Habekost, 2008). Attention is therefore fundamental to appropriate behavior, learning, and development. Based on parent-rating scales assessing behavioral criteria for attention deficit/hyperactivity disorder (ADHD) according to the Diagnostic and Statistical Manual of Mental Disorders, fourth edition (DSM-IV, American Psychiatric Association, 2000), it has been estimated that one fourth of children with SBM exhibit difficulties in this area (Burmeister et al., 2005; Fletcher et al., 2005; Rose & Holmbeck, 2007). Attention problems in children with SBM are also suggested by reports of higher prevalence of ADHD (Ammerman et al., 1998; Burmeister et al., 2005; Fletcher et al., 2005; Gadow & Sprafkin, 1987; Swartwout et al., 2008). In these studies the majority of children with ADHD symptoms were classified as belonging to the predominantly inattentive subtype, which is characterized by distractibility and poor sustained attention. It should, however, be noted that these estimates were based on rating scales designed to screen for ADHD rather than fully diagnose the condition. Other studies have used experimentally based methods to describe attention function in SBM. Dennis et al. (2005a, 2005b) used covert orienting paradigms to examine attentional orienting in children and adolescents with SBM. The results revealed several significant tendencies: Children with SBM showed slowed covert orienting to both exogenous and endogenous cues. Moreover, mean reaction times (RTs) reflected a larger disengagement cost for exogenously cued targets in the vertical plane cued at short intervals (200 ms) and an attenuated inhibition of return at long intervals between cue and stimulus (1000 ms). Thus, children with SBM in this study exhibited a number of specific, not global, deficits of attentional orienting. Also, impairments in sustained attention have been found in children with SBM using different versions of continuous performance tests (CPTs). Main dependent variables in CPTs include false alarm responses (commission errors), taken to reflect poor response inhibition, and missing responses (omission errors), taken to reflect lapses of attention. Several studies have found significantly more errors of commission and omission in children with SBM (Brewer, Fletcher, Hiscock, & Davidson, 2001; Lollar, 1990; Loss, Yeates, & Enrile, 1998; Swartwout et al., 2008). In order to estimate the children's ability to maintain an alert state over time, Swartwout et al. included an analysis of performance stability across the duration of the CPT. Children with SBM showed consistent performance across the testing session without significant changes in reaction time, and Swartwout et al. concluded that the ability to sustain attention does not differentiate children with SBM from typically developing controls.
Several studies have found that executive functions, which may be regarded as higher order attentional control processes, are impaired in children and adolescents with SBM (Brewer et al., 2001; Gioia, Isquith, Guy, & Kenworthy, 2000; Loss et al., 1998; Mahone, Zabel, Levey, Verda, & Kinsman, 2002; Rose & Holmbeck, 2007; Snow, 1999). However, Fletcher et al. (1996) suggested that the impaired performance on executive tasks is not attributable to classic frontal dysfunction. Cognitive measures from children with SBM on the Wisconsin Card Sorting Test, the Stroop Color and Word Test, as well as the Tower of London were instead interpreted to reflect impairments in basic attention and motor functions (alertness and processing speed). In agreement with Fletcher et al. (1996), processing resources were found to be reduced in a study by Jacobs, Northam, and Anderson (2001), who showed significantly impaired performance among children with SBM on the Coding subtest of the Wechsler Intelligence Scale for Children, third edition (WISC-III) and The Rey-Osterrieth Complex Figure Test (as measured by time of completion).
Reviewing the literature on children with SBM, it is evident that attention research is of large relevance. However, the research field seems to have room for improvement in at least three areas. First, performance on some attentional tasks is potentially confounded by impairments of fine motor ability, eye-hand coordination, and visuospatial cognition. This is especially the case for tasks that require speeded complex motor responses (e.g., writing, drawing, or visually guided manipulation of elements, as required in The Trail Making A and B tests, the Coding and Symbol Search subtests of the WISC-III, and The Tower of London). Though many studies have used tasks with more simple motor demands, the need for data that are less contaminated by deviant motor function is generally acknowledged in the SBM literature (e.g., Fletcher et al., 1996; Loss et al., 1998; Swartwout et al., 2008; Vinck et al., 2009, 2010). Vinck et al. (2009, 2010) have recently addressed this specific need. They found children with SBM to perform normally on computerized reaction time measures of sustained, focused, and divided attention, attentional flexibility, and impulsivity and concluded that tasks with simple motor requirements (press of a response button) offered good validity to SBM studies. To our knowledge, however, attention function in children with SBM still remains to be investigated without the aid of reaction time measures.
A second limitation of the existing literature is a lack of functionally specific and theoretically based measures, especially concerning the nonmotor aspects of attention. Dennis et al. (2005a, 2005b) used the attention model of Posner (1980) to analyze data from orienting paradigms and to measure specific processes like inhibition of return and the speed of covert orienting. However, perceptually defined, nonmotor aspects of attention such as visual distractibility, spatial encoding bias, and visual processing speed have not previously been measured and should also be hard to disentangle from RT-based data due to the significant response component in the measurements. Furthermore, the studies of Dennis and collaborators did not include performance measures related to sustained attention.
Third, many children with SBM may have subtle attention deficits that go undetected in traditional tests. For example in relation to sustained attention, target and nontarget stimuli in CPTs are usually presented in random order. However, it has been argued that this unpredictability may have an alerting effect in itself, and if stimuli are always presented in the same, fixed sequence, response behavior is more likely to become automatic and vulnerable to attention lapses in the way everyday behavior can be (Dockree et al., 2006). The sensitivity to attentional lapses may also be enhanced by embedding a secondary task in the CPT that further distracts the participant and challenges the fronto-parietal networks responsible for sustaining attention (Dockree et al., 2006).
The present study has two main aims: (a) to introduce a stronger methodology for research on attention deficits in children with SBM and (b) to use these methods to map individual profiles of attentional function. Motivated by the methodological challenges described above, we chose to examine a group of children with SBM using two attention tests: (a) a letter-identification experiment (combined whole and partial report) based on the Theory of Visual Attention (TVA; Bundesen, 1990) and (b) the Dual Attention to Response Task (DART) developed by Dockree et al. (2006). Both tasks are well established in studies of adult normal and clinical populations, but new to the SBM literature. Neither of the two tasks should be affected by the motor impairments related to SBM: Performance on the TVA-based paradigm depends solely on accuracy (unspeeded verbal reports) and effectively dissociates attention mechanisms in the visual system from motor processes. In the DART, speeded responses are limited to key presses, a simple response form that should not put children with SBM at a motor disadvantage compared to healthy children (Dennis et al., 2005a; Vinck et al., 2010).
The TVA-based test can provide measurements of attentional processes that are both functionally specific and grounded in basic attention research: The TVA model conceptualizes visual processing as a parallel processing race (Bundesen, 1990; Desimone & Duncan, 1995), in which the different stimuli in the visual field compete for representation in a short-term memory store of limited capacity. The model describes the encoding process in terms of five distinct mathematical parameters: the perception threshold, t0, visual processing speed, C, storage capacity of visual short-term memory, K, visual distractibility, α, and the relative attentional weight (i.e., proportion of the total available processing capacity) of each visual object, w. As detailed in the section entitled "CombiTVA," these five parameters can be measured separately using a simple letter-identification task. Bundesen (1990) used the formulas of TVA to account for a wide range of classical findings on focused and divided attention, including results from whole report, partial report, single stimulus recognition, cued detection, and visual search (see Bundesen & Habekost, 2008, for an updated account of the literature). Bundesen, Habekost, and Kyllingsbaek (2005) went on to show that the same equations can account for many attentional effects at the level of single neurons in the brain. TVA has also been employed in numerous studies of adult neurological patients, where the attention parameters defined in the model have been estimated in conditions such as visual neglect (Duncan et al., 1999), simultanagnosia (Duncan et al., 2003), alexia (Starrfelt, Habekost, & Leff, 2009), and Huntington's disease (Finke et al., 2005). Because of its functional specificity and theoretical grounding, attention testing based on TVA should also be highly relevant to studies of neurological disorders in children, including SBM. Besides being functionally specific, TVA-based testing has also been shown to be very sensitive to minor attention problems that are not detected in standard tests (Habekost & Bundesen, 2003; Habekost & Rostrup, 2006; Habekost & Starrfelt, 2006). The whole and partial report experiments feature very brief visual stimulation (below 200 ms) that is close to the threshold for conscious perception. As a consequence, minor abnormalities in visual processing are more likely to be revealed. No previous study has measured the attentional parameters defined by TVA in children with SBM, but based on clinical reports and the prevalence of ADHD (inattentive subtype), we hypothesized that visual distractibility (the α parameter) would be compromised in the patient group. Concerning the four other parameters of visual attention, we had no firm hypotheses and viewed the study as largely exploratory. However, for possible deviating parameters other than α, expectations were that patients would perform below the level of controls.
The TVA-based test does not provide measures of sustained attention. To investigate this aspect of attentional function we chose the DART, which should be more sensitive to sustained attention deficits than traditional CPTs for two reasons. First, there is a secondary task embedded in DART (detection of odd-colored stimuli) to distract the participant and to further challenge the ability to sustain attention. In accordance with this, Dockree et al. (2006) showed that DART provides measures of sustained attention with increased sensitivity compared to an earlier, single-task version of the test, the SART (Robertson, Manly, Andrade, Baddeley, & Yiend, 1997). Second, the fixed presentation sequence in DART imitates the predictability of monotonous everyday tasks, in which maintenance of an appropriate level of attention must be endogenously induced. This way, alertness can be measured with greater sensitivity. For these reasons, DART should provide a sensitive tool for assessing sustained attention in children with SBM. Based on the existing literature, we expected that attentional impairments in terms of both response inhibition (commission errors) and attentional lapses (omission errors) would be frequent in our patient group.
METHODS
Participants
Children with SBM were recruited from Rigshospitalet in Copenhagen, Denmark. Rigshospitalet is the regional treatment center for SBM patients in the eastern part of Denmark. Patients were selected on the basis of medical records. To be selected for participation, a patient should satisfy the following inclusion criteria: (a) age between 10 and 14 years, (b) no history of major psychiatric disease (e.g., ADHD) or specific learning disability, assessed by parent report and medical records, (c) no color blindness, (d) normal or corrected-to-normal vision, as assessed with the Snellen Chart (McGraw, Winn, & Whitaker, 1995; Peters, 1961), and (e) intellectual skills within the normal range as assessed with WISC-III (Weschler, 1992). Two potential participants were excluded from the study based on these criteria: An 11-year old girl who was diagnosed with mild mental retardation after completing all 10 WISC-III subtests (corresponding to ICD10 code F70) and a 13-year old boy who had been diagnosed with ADHD and received medical treatment. Neuroimaging data (CT or MR scans) were available for all patients and were used to establish the presence of medical variables (a case overview is presented in Table 1). One scan (patient RD) dated close to birth, while three scans (patients JS, KI, and FA) were obtained more recently (i.e., within 3–6 years before testing). Two scans (patients LP and NK) were obtained less than 1 year before testing. The mean age of the patients was 12.7 years (SD = 0.9) and the group consisted of 4 girls and 2 boys.
Eighteen neurologically healthy control subjects formed an age-matched control group (15 girls and 3 boys, mean age of 12.5 years, SD = 1.0). The control group did not differ significantly from the patient group in terms of age or gender (age: Mann-Whitney U = 49, p = .7; gender: Fishers Exact Test; p = .568, both tests were two-sided).
The control children were recruited from schools in the local area. Exclusion criteria were a history of psychiatric disease, specific learning disabilities, or color blindness. All controls had normal or corrected-to-normal vision, assessed with the Snellen Chart, and all were right-handed. For every patient and control subject, a parent or legal guardian gave informed written consent prior to participation according to the Helsinki Declaration. The WISC-III (Weschler, 1992) was administered to both groups, and eight subtests were chosen on the basis of the short form presented by Donders (1997), who suggested these
Table 1 Medical and Cognitive Background Variables.
Notes. T = thoracic SBM; L = lumbosacral SBM; R = right; L = left.
a The hernia was partly occulta at birth.
b Since the WISC-III was administered in a short form (corresponding Donders, 1997), it was not possible to calculate intelligence quotients. The number for each individual refers to the mean scale score.
∗ p < 0.05, 1one-tailed Mann-Whitney test.
subtests to be appropriate for IQ-screening purposes. A verbal scale score mean was calculated from Similarities, Vocabulary, Arithmetic, and Digit Span. A nonverbal mean score was calculated on the basis of Picture Completion, Block Design, Coding, and Symbol Search, bearing in mind the limitations of the SBM group related to visuospatial and finemotor skills previously discussed. The verbal and nonverbal means were averaged to form a total-scale-score mean. According to standardized WISC-III norms, the average range of scale scores run from 7 to 13, both scores included. The mean verbal score of the patients was 10.8 (SD = 1.7), which did not differ significantly from the control mean of 12.5 (SD = 2.3; U = 28, p = .09, one-tailed Mann Whitney). However, the nonverbal mean of the patients was only 8.1 (SD = 2.0), which was significantly lower than the control mean of 11.2 (SD = 2.3; U = 14.5, p = .006, one-tailed Mann Whitney). This was to be expected from previous studies, which generally show that children with SBM are at a disadvantage in nonverbal tasks that require quick manual skills, such as the ones in the WISC-III (Yeates et al., 2008). Mainly because of their low nonverbal scores, the total mean score of patients (M = 9.4, SD = 0.8) was also significantly lower than the control group's (M = 11.9, SD = 2.0; U = 11.5, p = .003, one-tailed Mann Whitney). However, it should be noted that all patients performed within the average range on both the verbal and the total scale score, and only one patient (NK) performed below average levels on the nonverbal scale. The children with SBM in this study can therefore be described as having normal intelligence.
Experimental Procedure
Experiments were run in E-prime (version 2.0). Subjects were placed in a dimly lit room in front of a 19" computer screen with a refresh rate of 100 Hz. Distance to the screen was held constant at approximately 70 cm. No head fixation or eye tracking was used, but subjects were reminded to stay still during trials and were offered the opportunity to move in between. Cerebellar damage may compromise the ability to perform smooth horizontal eye movements (Leigh & Ramat, 1999), but Salman, Sharpe, Lillakas, Dennis, and Steinbach (2009) found fixation of the gaze to be nonimpaired in SBM patients. Thus, fixation of the eyes was not considered to be more of a challenge to patients than controls.
During practice trials, eye movements were observed by the experimenter, and instructions to maintain fixation was motivated and repeated throughout the session (e.g. "Keeping your eyes fixated at the center of the screen will make it easier for you to see the letters"). Test instructions were given prior to practice and repeated if needed (between trials, not during testing). The experimenter was present during the full length of the tests to ensure the procedure ran smoothly, to clarify misunderstandings, and to motivate subjects. Subjects were tested for a time period of approximately 2 hours. The order of experimental paradigms was fixed, but the experimenter made sure that individual needs for breaks were met. All subjects were rewarded for participation with a gift voucher of DKK 250.
CombiTVA. The attentional parameters defined in the TVA model (C, K, t0, α, w) were measured in a letter-identification experiment with two main conditions: whole and partial report. The former three parameters were measured using a whole report task (Duncan et al., 1999; Habekost & Starrfelt, 2009), where multiple visual elements are flashed at varying exposure durations. The task is simply to identify as many of the elements as possible. The number of correct reports increases systematically as a function of exposure duration and is analyzed by the TVA equations, the performance data yield estimates of t0, C, and K (see Figure 1 for an example).
Figure 1 Whole report performance for a typical control participant in the present study. The panel shows the mean number of correctly reported letters as a function of exposure duration. Solid curves represent mathematical fits to the observations based on TVA analysis. The intercept with the x-axis corresponds to the perceptual threshold, t0. The slope of the curve at the intercept with the x-axis equals the total visual processing speed for the stimuli in the display, C. The asymptotic level of performance corresponding to the maximum capacity of visual short-term memory, K, is marked by a horizontal line.
When distractor elements are added to the display (e.g., letters of another color than the target objects; partial report), the visual distractibility parameter, α, can be measured by comparing the accuracy reduction in this condition to trials without distractor elements. Finally, the relative attentional weight, w, of objects in the left versus right visual field can be estimated by analyzing performance when stimuli are shown simultaneously in both sides (Kyllingsbaek, 2006). The CombiTVA design used in this study was developed by Vankilde, Bundesen, and Coull (2011) and consists of nine test blocks of 36 trials (324 trials in total). Stimuli letters (A, B, D, E, F, G, H, J, K, L, M, N, O, P, R, S, T, V, X, and Z) were presented briefly on the screen for 20, 30, 50, 80, 140, or 200 ms, followed by a pattern mask (see Figure 2). Exposure durations and experimental conditions (whole or partial report) were varied systematically. Thus, exposure times span approximately from the threshold of visual perception (t0) to the maximum exposure time in which eye movements are not possible (i.e., 200 ms). This choice of exposure times ensures the best measurement of the TVA parameters (Habekost & Starrfelt, 2009).
Target letters were red (RGB 255, 43, 43), distractor letters were blue (RGB 43, 53, 255), and masks consisted of a mixed pattern of the two colors. All stimuli were presented in font size 68. Reports were verbal and unspeeded. Participants were instructed to report as many red letters as possible, but to refrain from guessing. Feedback on error rates was given after each test block, and the participant was instructed to aim for a score of 80%– 90% correct. Patients obtained a median score of 86.2% correct (range = 8.9), which did not differ significantly from the control median score of 86.7% (range = 12.7; U = 44, p = .62, two-tailed Mann-Whitney). Prior to testing, all participants completed two rounds
of practice (a total of 48 trials) to familiarize themselves with the task. Visual processing speed C was calculated for both sides of the display (Cright and Cleft, respectively). Moreover, an index value was estimated on the basis of the formula Cindex = Cright /(Cright + Cleft). A Cindex value of 0.5 indicates symmetric processing speeds in the two visual fields, whereas Cindex > 0.5 indicates a higher processing speed of objects in the right visual field. Similarly, the tendency to attend left or right was calculated using the index formula: windex = wright /(wright + wleft). Again, a windex value of 0.5 represents a symmetric distribution of attentional weights in the two sides, but windex > 0.5 indicates a distribution of attentional weights that favors the right display side.
For each participant the best-fitting set of TVA parameter values to the complete set of observed data was estimated. The fitting procedure was basically the same as in previous TVA based studies (Duncan et al., 1999; Kyllingsbaek, 2006) but was improved by a more robust fitting algorithm (Dyrholm et al., 2011). The new algorithm (a) does not assume that t0 has a fixed value throughout the experiment but allows the parameter to vary from trial to trial following a Gaussian distribution and (b) does not assume that K varies between just two integer values, but that the parameter follows a wider distribution and equals a weighted average of values ranging from 1 to 6.
The Dual-Attention to Response Task (DART). In order to assess individual capacity for sustained attention and response inhibition, the Dual-Task Attention to Response Task (DART) developed by Dockree et al. (2006) was used. In DART, stimuli (numbers from 1–9) are presented in a fixed and predictable series above a centrally placed fixation cross. The exposure duration is 150 ms and stimuli are unmasked. In go trials, subjects are instructed to press the response key "1" following each white number except for the number 3 (no-go trials). In addition to this primary task, rare grey digits are presented without the predictability of the white digits. In response to these, subjects must press the response key "2" (see Figure 3). Measures are erroneous responses in no-go trials and to grey digits respectively, and reaction time is measured from stimuli offset. Responses made during stimuli exposure (from 0 to 150 ms after stimuli onset) are recorded as premature presses. Stimuli are presented in 25 test rounds, which allows for a progressive assessment of test behavior measured in both reaction time and error rates. DART takes approximately 7 minutes to complete. Digits are presented on a grey background (RGB 128, 128, 128); go stimuli were white (255, 255, 255) and rare targets grey (170, 170, 170). Stimuli size varied and digits were presented in font sizes 80, 90, 100, 110, and 120. Interstimulus intervals (ISI) varied between 1000 ms and 1500 ms to make the rhythm of presentation unpredictable. Different reaction time measures were analyzed in order to obtain detailed information on response behavior and to specify potential changes in responses throughout the test. Individual go-trial RTs were considered an indirect baseline measure of processing speed and error RTs as measures reflecting the RT expense of failed attention processes leading to an erroneous response.
Data Analysis
Patient performance was compared with control groups by means of two statistical methods. For comparisons between groups, the nonparametric Mann-Whitney test (SPSS version 18) was used, and statistical medians and ranges are reported. To assess error rates across trials in the DART task, repeated-measures analysis of variance (ANOVA) tests were used. Moreover, individual test scores were analyzed using a test devised by Crawford
and Howell (1998). The test is based on the t-distribution instead of the usual normal distribution, which qualifies it to evaluate single-case results more robustly against means and standard deviations of control groups with limited size (Crawford & Gartwaite, 2002). In case of a control group with 18 participants (as in the current study), an individual score must deviate 1.8 standard deviations or more from the control mean to be judged significantly different (by a one-tailed test). The test has been employed in many singlecase studies, including research based on the Theory of Visual Attention (Habekost & Rostrup, 2006). The p values reported are tested one-tailed in case of a theoretically based directional hypothesis (i.e., that patients would perform more poorly than controls), but otherwise two-tailed tests were employed.
RESULTS
CombiTVA
Group differences on TVA parameters are presented in Table 2. On a group level, only visual distractibility (the α parameter) was significantly elevated in children with SBM compared to controls (U = 22.00, p = .044; patient median = 0.82; control median = 0.42). Visual thresholds (t0 values) in the patient group just failed to reach significance (U = 24.00, p = .062; patient median = 25.7 ms; control median = 17.2 ms). The patients'
visual processing speed was generally within normal levels: In the right and left hemifield, the median values were Cright = 39.1 letters/s and Cleft = 34.7 letters/s, respectively (compared to Cright = 46.2 and Cleft = 41.5 in the control group: U = 34.00, p = .256 and U = 35.00, p = .286). Both patients and controls had approximately equal visual processing speeds in the right and left visual field, reflected in median Cindex values of 0.52 of 0.49, respectively (no significant difference between groups: U = 44.00, p = .624, twotailed Mann-Whitney test). Like the controls, patients also distributed attentional weights relatively symmetrically in space, without favoring either the right or the left display side (the median windex in the patient group was 0.48; control median = 0.50; U = 51.00, p = 1.0, two-tailed Mann-Whitney test). Although the median capacity of visual short-term memory, K, was only 2.4 in the patient group, compared to 3.1 in the control group, the patients' K values were not significantly reduced (U = 29.00, p = .135).
When compared individually, patients' results reveal a more nuanced picture (see Table 2). Patients JS, LP, and KI scored within normal limits of the control group on all parameters, while RD, FA, and NK deviated on one or more parameters. The threshold for visual perception (t0) was significantly increased for RD (27.3 ms; p = .042), FA (27 ms; p = .047), and NK (38.2 ms; p = .001). RD also had a significantly reduced visual apprehension span (1.7 elements; p = .035). Visual processing speed (C) was significantly reduced in the left side of the display for FA (16.3 letters/s, p = .024) and because of a considerable difference between FA's left C value and the right-sided processing speed (40.9 letters/s), her Cindex of 0.72 was significantly higher than controls, indicating a hemispheric asymmetry in visual processing speed resources (p = .035). Another patient, RD, had borderline C values, which failed to reach significance (Cright = 22.4 letters/s, p = .053; Cleft = 22 letters/s, p = .052). Two patients (RD and FA) exhibited significantly elevated α values (RD: 1.32, p = .001; FA: 0.99, p = .017), and thereby seemed unable to filter out irrelevant information in this task. However, all patients performed within normal variability on the windex, indicating a symmetric distribution of attentional weights.
DART
Response Errors. The numbers of commission and omission errors, grey stimuli detected, and premature presses were analyzed. Group medians are presented in Table 3. As a group, patients made significantly more errors of omission (U = 21.00, p = .027) and premature presses (U = 24.5, p = .047). The other two error measures in the patient group (commission errors and greys missed) did not differ significantly from the values of the controls.
Error scores from individual patients are also presented in Table 3. When compared on a case level, patients JS and RD performed within the range of normal performance on all error measures. Patients FA and NK made significantly more errors of commission than controls (FA: 13, p = .011; NK: 15, p = .002), and KI missed responding to a highly significant total of 28 times (p < .001), which corresponds to approximately 12% of all trials. Moreover, she responded prematurely with a significantly higher frequency than controls (14 times; p < .001), as did LP (7 times; p = .004).
Patterns of Reaction Time. Median group RTs are presented in Table 4. In terms of time to respond, children with SBM as a group did not on average score significantly different from controls on any RT measure (all RT measures were tested with two-tailed Mann-Whitney tests).
Individual RT scores, however, suggest a pattern of results more complicated than revealed by group analyses. Patient JS responded significantly slower on go trials (547.5 ms; p < .001, two-tailed Crawford and Garthwaite's test). Patients LP and KI, both of whom scored within the normal range on number of commission errors, spent significantly more time when they did make errors of commission (LP: 579.4 ms, p = .011; KI: 660.3 ms, p = .002, two-tailed Crawford and Garthwaite's test). This indicates a behavior opposite to the one exhibited by both FA and NK. These patients made significantly more errors of commission than controls but did so within the RT range of the controls. KI spent significantly more time to respond correctly to grey targets (803 ms; p = .001, two-tailed Crawford and Garthwaite's test). However, this result refers to only one correct response on the secondary task.
Group comparisons of the courses of significant error measures and go-trial RTs across Blocks 1–5 were investigated in repeated-measures analyses. For neither omission errors nor premature presses, the interaction effects of Block x Group were significant (as measured by a repeated-measures ANOVA test), indicating stable patient error rates across test blocks. Likewise, go-trial RTs did not decrease or increase significantly.
DISCUSSION
In this study we examined attention function in six children with SBM using a new set of experimental methods. The tasks employed did not have complex motor demands compromising data validity, were theoretically specific and should be sensitive to minor deficits. Besides introducing a new methodology for assessing attentional function in children with SBM, we particularly wanted to assess individual profiles of cognitive function to map the heterogeneity of the SBM syndrome. The methodology also made it possible to examine a number of attention parameters that have not previously been considered in the SBM literature. On a group level, the results showed poor attentional selection (α) for the children with SBM, consistent with predictions based on the existing literature. However, on the individual level, several patients did not have significantly reduced scores on this parameter. Three out of the six patients had significantly elevated perception thresholds (t0), but this effect did not reach significance on a group level. Also, visual processing speed (C) did not generally differ from normal levels nor did the storage capacity of visual short-term memory (K); although there was a tendency for both parameters to be lower than in the control group. Visual perception was also generally symmetric. Sustained attention, however, was commonly affected in the patient group, as measured by several varieties of poor response inhibition (commission errors and premature presses) as well as frequent lapses of attention (omission errors). The evaluation of results on a case level provided detailed descriptions of the substantial individual variety displayed by the six patients: Despite the relative homogeneity of the group in terms of medical variables, the attention profiles of children with SBM were rather heterogeneous. The diversity of these profiles was not evident from group analyses.
The Patient Sample
When evaluating the results, it is important to keep in mind the specific characteristics of the patient sample. SBM is the most severe form of spina bifida and is more often than not associated with cerebral damage. Lesion level is a highly influential parameter determining the overall extent of neural damage, which makes lesion level important for cognitive development: low-level injuries are associated with better cognitive prognoses (Fletcher et al., 2005). As such, the patient sample may not be representative of the whole population of children with SBM: Even though all patients had open spinal injuries (as opposed to closed), JS was the only patient with a high-level injury. Furthermore, several factors of importance to cognitive development are important to notice in the patient sample. On the negative side, the presence of hydrocephalus, especially if severe enough to require shunting and revisions (as in the case of patients JS, LP, FA, and NK) is associated with more marked neurocognitive impairments compared to SBM with no hydrocephalus (Fletcher et al. 1995; Iddon, Morgan, & Sahakian, 1996). On the positive side, all patients except for JS had good gait status. The mobility of the individual patient is known to influence experience-based learning and is thus another parameter determining cognitive development (Dennis, 2000). Moreover, all patients had intellectual skills within the normal range: IQ served as criteria of inclusion to prevent confounding factors related to mental retardation. Considering the great variability produced by the level of the spinal lesion, the description of attention function provided by this study may apply most directly to SBM children with low-level dysraphisms. Although our group of patients may be classified as moderately affected compared to other, more severely disabling forms of SBM (high-level open spinal dysraphisms with mental retardation), we did find significant impairments of one or more attention functions in all six children. This may suggest a relatively high frequency of attentional deficits within SBM patients in general.
Basic Efficiency of Visual Attention Processes
One result reached significance on group level in the TVA results: impairments in attentional selectivity. Two patients (RD and FA) had significantly higher α values than normal, indicating poor ability to filter out irrelevant information. Another two patients showed nonsignificant borderline α values, 1.5 standard deviations above the control mean (LP: α = .81 and KI: α = .83). These results may help to explain the prevalence of the inattentive subtype of ADHD described in the SBM literature (Ammerman et al., 1998; Burmeister et al., 2005; Fletcher et al., 2005; Gadow & Sprafkin, 1987; Swartwout et al., 2008) and may correspond with the clinical impression of poor concentration and prevalent distractibility often observed even in well-adjusted SBM patients (Anderson, Northam, Hendy, & Wrennall, 2001; Wills, 1993). It seems plausible that if children are not effective at selecting relevant stimuli, processing becomes troublesome and time consuming. On a behavioral level, patients would therefore likely appear distracted and ineffective, simply because attentional resources necessary to focus on the relevant task are wasted on distracting events.
Although not significant on a group level, half of the patients (RD, FA, and NK) showed significantly elevated thresholds for visual perception (t0). The impact of t0 on everyday behavior must be interpreted with care. The median time at which children in the control sample started processing the visual display was 17.2 ms, and, compared to this, FA and RD were disadvantaged by 10 ms and NK by 21 ms. It is doubtful whether delays of this magnitude influence higher level mental processes like working memory or other complex functions. In other words, slightly elevated thresholds for perception may be compensated for during most everyday tasks where stimuli are available for inspection for more than 200 ms. Nonetheless, the results are interesting as they point to subtle deficits of basic visual processes in children with SBM, comparable in processing level to the orienting deficits described by Dennis et al. (2005a, 2005b). It is possible that some everyday tasks represent peak load situations in which even discrete perceptual impairments influence performance: Clinically, children with SBM often appear poorly coordinated in visually guided, goal-directed movements, and this was supported experimentally by Dennis, Fletcher, Rogers, Hetherington, and Francis (2002) who found action-based visual perception to be impaired in children with SBM as opposed to object-based perception. If processing onset is delayed corresponding to elevated t0 values, visual information important to goal-directed movements might be lost, resulting in a coordination failure. For instance, successfully catching a flying football requires perception of a rapid sequence of movements, analyzed according to egocentric space in order to correctly predict the coordinates of the ball's descent and to initiate an appropriate movement of arms and hands.
Although reduced processing speed, based on reaction-time measures, has previously been reported by Fletcher et al. (1996) and Jacobs et al. (2001), we did not find that visual processing speed was significantly reduced in our patient group. The normal performance was found even though the CombiTVA includes near-threshold exposure durations, which puts high demands on visual processing speed. Only one patient (FA) met the criteria for significance, and only in the left visual field. The C values of patient RD were somewhat reduced compared to control means: RD's processing speed resources were borderline and close to significantly reduced in both visual fields, corresponding to 1.7 standard deviation below control mean. Although not significant, this may indicate the possibility of SBMrelated reductions in processing speed resources in some but far from all children with SBM. The lack of significant reductions of processing speed in this study as opposed to the one by Jacobs et al. may be related to the experimental methods applied. Jacobs et al. used tasks that require the coordinated activity of complex motor function and visuospatial analysis (the Coding subtest of the WISC-III and The Rey-Osterrieth Complex Figure Test). Dependent variables in those tasks are time of completion, which as previously discussed may complicate interpretation and conclusions regarding central parameters of attention, for example, processing speed. In contrast, the verbal and unspeeded reports of the CombiTVA provide specific estimates of attention parameters on a perceptual level, not confounded by motor requirements. Therefore, it is possible that the significantly longer RTs found by Jacobs et al. can be ascribed to factors influencing behavior after basic perception has taken place, for example, factors related to motor timing and coordination. However, the question of visual processing speed in individuals with SBM needs further examination, and it seems crucial to take individual variability into account.
Only one patient, RD, exhibited reduced capacity of visual short-term memory, and was typically able to perceive only one or two objects at a time (K = 1.7). The cause for this reduction is unclear and somewhat surprising in view of RD's good status on medical variables compared to the other patients. Her lumbosacral hernia was partly occulta at birth, which should give her the advantage of less disabling neural damage (Gregerson, 1997). In accordance with this, she does not suffer from hydrocephalus and walks independently. Short-term memory in children with SBM remains to be described specifically in the SBM literature: Research up to now has been centered on the complex processes of explicit memory and recall. The detection of a significantly reduced capacity of short-term memory in a single, clinically well-functioning SBM patient establishes the heterogeneity of the neurocognitive profile of SBM and reflects the importance of highly sensitive case-based methods for both research and assessment.
Despite individual, nonsignificant variability, the group of patients distributed attention resources evenly in the two sides of the visual field. These results are not concordant with Dennis et al. (2005c), who found an exaggerated attentional bias to the left hemispace among 97 children and adolescents with SBM. Results were obtained using line bisection tasks, which also revealed a bias to inferior hemispace in this group. The line bisection task involves a motor component (marking the middle of a line with a pencil), and, although tasks were unspeeded, motor requirements could have influenced the results. The fact that the findings concerning spatial distribution of attentional resources are not concordant further supports the dissociation between visually guided movements and visual perception independent of motor output.
Capacity for Sustained Attention and Response Inhibition
The overall results from the DART showed that children with SBM made more hasty and poorly inhibited responses (as measured by premature presses). Moreover, the patient group experienced more lapses of attention than controls (as measured by omission errors); although only one patient's error rate was high enough to deviate significantly on an individual level (KI). Contrary to previous studies (e.g., Swartwout et al., 2008), we did not find significantly more commission errors in the patient group as a whole, only in two individual patients (FA and NK); a finding that may be attributed to lack of statistical power in our study.
The general results obscure important individual variations, which can be more elaborately understood at the case level by integrating the analysis of each patient's error and RT measures. In terms of response errors, patients JS and RD did not differ significantly from controls on any of the measures. However, to JS, this apparently normal performance had significant costs in RT on go trials: Compared to controls, he needed much more time to respond correctly. Patients LP and KI made more premature responses than normal, and in addition to this, KI demonstrated frequent attentional lapses. Both patients also spent significantly more time settling on a response when making commission errors, perhaps indicating an abnormally time-consuming process of inhibition (which eventually failed). It is likely that these results reflect different strategies for solving the DART. The performances of JS, LP, and KI may represent a behavior in which responses were held back and slowed in order to compensate for poor response inhibition. Both LP and especially KI, however, failed to be consequent in compensating and often responded in anticipation of the next target before it had appeared (premature presses). The performance of KI was further impaired by very frequent attentional absences (omission errors), which together with many hasty responses indicate an uneven, inattentive performance throughout the test. Perhaps the most extensive deficits of sustained attention parameters were found in patients FA and NK. Both of them made significantly more errors related to poor response inhibition (commission errors) but did not seem to be aware of this behavior: Their RTs were not prolonged, indicating no special attempt to compensate by carefully holding responses back until stimuli have been correctly perceived. On the contrary, NK in fact responded more quickly than controls in go trials, however not significantly faster.
In all, individual as well as group performances in the patient sample displayed quite pronounced SBM-related deficits in sustained attention, supporting the conclusions made by Brewer et al. (2001), Lollar (1990), Loss et al. (1998), and Swartwout et al. (2008). Like Swartwout et al., who showed consistent performance in children with SBM across test blocks in terms of go-trial RT, we found no deterioration of significant error rates (errors of omission and premature presses) or go-trial RT over the course of the testing session. This may indicate a stable, though perhaps tonically lowered, level of alertness, which makes it challenging to keep up appropriate response behavior in the absence of external reinforcement from salient stimuli. The individual severity of the deficit seems to vary considerably, which may lead to different behavioral strategies, all unsuitable to meet task demands: Responses made on the basis of too little information or excessively delayed responses. Both strategies are likely to affect the everyday life of children with SBM, causing the child to miss information important to learning and development.
Evaluating the Research Methods
The present study highlights the relevance of analyses at the individual case level. Although results were significant on a group level for parameters α, errors of omission, and premature presses, case evaluations made clear that no measures were significantly deviating for all of the six patients at a time. On parameters such as K, the number of commission errors, and reaction time for commission errors, the results reflect important variability hidden in the group data. Analyses on a case level thus allow for a more sensitive evaluation of the diversity of attention profiles in children with SBM. By taking individual variability into account, the present study may provide more specific information on attention function in SBM patients compared to previous descriptions in the literature.
As described in the introduction, the qualities of TVA whole and partial report paradigms have been solidly documented in many studies of adult neurological patients. The TVA-based test method has been able to identify specific yet subtle deficits, which were not detected in conventional tests. Moreover, the parameters of visual attention are very specifically described in a mathematical model that makes it possible to isolate measures that are otherwise entangled with other parameters. The present study confirmed the specific quality of TVA-based testing: Individually significant deficits on the t0 parameter were dissociable from nonsignificant processing speed measures (C) and filtering mechanisms were found to be significantly affected on a perceptual level in two patients. Furthermore, this study pioneers the use of TVA for studies of children with neurological disorders. The simple instructions and task demands of the CombiTVA proved to constitute a well-suited tool for testing both normal and patient children aged 11–13. Lastly, the use of TVA in this study adds to the SBM literature by providing new information of attention function in children with SBM, independent of variables related to movement.
The CPT task DART, which is also new in the context of SBM research, used a fixed presentation sequence, which together with the second, distracting task should enable more sensitive measures of sustained attention and alertness. Alertness is not maintained by external factors of the experimental design (unpredictable stimuli), and as a consequence, the child's ability to keep up the appropriate level of alertness required to respond correctly and flexibly throughout the test should be the only variable affecting performance. Moreover, the additional RT measures available from the DART made it possible to nuance individual profiles of sustained attention. Go-trial RTs confirmed results presented by Dennis et al. (2005a) and Vinck et al. (2010) concluding that children with SBM are not disadvantaged by simple motor requirements (press of response keys). As a consequence, significant commission error RTs may be interpreted as reflecting specific deficits of response inhibition, an essential part of attention function. This enables descriptions of individual attention profiles of children with SBM that offer a clinically useful perspective on degrees of difficulty in addition to mere quantitative error rates.
The present study enhances understanding of the SBM condition and provides important methodological perspectives. The new methods and research hypotheses presented must be followed up by investigations of larger groups of patients that are more representative of the whole population of SBM patients. Specifically, it will be of great importance to discriminate between the influences of medical variables such as level of spinal injury. Such detailed descriptions of attention function in children with SBM may contribute to clinical practice by targeting interventions at key deficits, thereby increasing intervention quality.
Original manuscript received February 28, 2011 Revised manuscript accepted October 29, 2011 First published online January 11, 2012
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DIFFERENCES OF TUMOR MASSES AND HEMOGLOBIN LEVELS IN CERVICAL CANCER SQUAMOUS CELL TYPE PATIENTS TREATED WITH COMBINATION OF PACLITAXEL AND CARBOPLATIN CHEMOTHERAPY
1Noviyani, R., 2Suwiyoga, K., 1Lesmana, I., 1Niruri, R., 2Tunas, K., and 2Budiana, I N.G.
1
Department of Pharmacy, Faculty of Mathematics and Sciences, Udayana University,
2
Bali-Indonesia
Department of Obstetrics and Gynecology, Faculty of Medicine, Udayana University,
Bali-Indonesia
Background: Paclitaxel and carboplatin are standard operating procedure for chemotherapy treatment of cervical cancer squamous cell carcinoma at Sanglah General Hospital, Bali-Indonesia. Chemotherapy improves outcome of cancer treatment. However, chemotherapy brings also a variety of adverse effects and complications. This study aims to evaluate the therapeutic and adverse effects of chemotherapy in patients with squamous cell cervical cancer. Methods: This is a case study of six patients with cervical cancer underwent chemotherapy paclitaxel and carboplatin 3-series at Sanglah General Hospital, Bali-Indonesia during January to November 2013. The therapeutic effect of chemotherapy was assessed from cervical cancer tumor mass measured before and after chemotherapy 3-series. The adverse effect of chemotherapy was determined from hemoglobin levels measured before and after chemotherapy. Data were analyzed using a paired t-test with a level of confidence of 95% using the SPSS to find out the differences. Results: In this study we found that there is a difference between tumor mass pre and post 3 series chemotherapy within p < 0.05. In term of toxic effect, we also obtained that there were difference of hemoglobin between pre and post of treatment within p < 0.05. Conclusion: Paclitaxel carboplatin as a chemotherapy drug in patients with cervical cancer is highly recomended when seen from the effects of reduced tumor size, and has a low side effect of anemia (anemia grade 1).
Keywords: cervical, cancer, chemotherapy, paclitaxel, carboplatin.
INTODUCTION
Cervical cancer is the second most common cancer suffered in women around the world. In 2002, cases of cervical cancer were reached 493,000 and recorded 274,000 people have died. Histological type found in cases of cervical cancer is cervical cancer derived from squamous cell is 85%, 21-23% of adeno carcinoma and adeno squamous carcinoma of approximately 3%. 1
Chemotherapy is the treatment of cervical cancer that uses chemicals or drugs to kill cancer cells. (6) Paclitaxel and carboplatin are two drugs that combined as cervical cancer treatment procedures at Sanglah General Hospital, Bali-Indonesia. Chemotherapy is usually carried out for 6 cycles with an interval time of 2 to 3 weeks, 3 however, some patients in Sanglah Hospital may not do 6 chemotherapy cycles, because of the side effects of chemotherapy resulted in the patient's condition deteriorating making it impossible
Address for correspondence: Rini Noviyani Department of Pharmacy, Faculty of Mathematics and Sciences Udayana University, Bali-Indonesia E-mail: email@example.com
to continue chemotherapy after the 3rd cycle. Chemotherapy resulted in regression of the tumor mass, so that the tumor mass can be used as a measure of treatment effectiveness. Regression is a process of decreasing of the tumor mass so that the size of the cells back to initial sizes. Intake of paclitaxelcarboplatin combination chemotherapy could not be separated from its side effects. In one study, the combination of paclitaxel carboplatin resulted in 9-50 % of hematologic toxicity. 8
Chemotherapy is shown to improve the outcome of cancer treatment. However, chemotherapy also brings with it a variety of side effects and complications. Therefore, the evaluation of the therapeutic effects and toxic effects is needed to optimize chemotherapy in patients with squamous cell cervical cancer.
METHODS
This study was performed prospectively using cross sectional methods during the period of January to
November 2013. The sample selection method is consecutive sampling.
Patients and Method
The materials used are the result of data Ultrasonography (USG) of cervical cancer patients before and after chemotherapy, laboratory data that contains the value of hemoglobin levels before and after chemotherapy, informed consent sheet and medical records. USG examination uses SIUICTS8800 digital ultrasound imaging system 4 dimension by an obstetrician. The blood tests in the Laboratory of Clinical Pathology, Faculty of Medicine Udayana University/Sanglah General Hospital uses a Cell-Dyn Ruby on each cycle of chemotherapy either before and after.
Sample
The sample was cervical cancer patients at Sanglah General Hospital Bali-Indonesia who fulfilled the inclusion criteria, that is: new patients with the squamous cell type of cervical cancer IIB-IIIB stage; were willing to involve the research, as well as the clinical condition and laboratory test results meet the requirements for treatment.
Data Analyzes
A number of 6 cervical cancer patients who fulfilled the inclusion criteria were measured for tumor mass before and after 3 series of chemotherapy. Hemoglobin levels of patients was recorded before and after first, second and the third chemotherapy series. Data were analyzed by paired t test with 95% of confidence level. The mean value of tumor mass and hemoglobin levels before and after chemotherapy had a significant difference when p < 0.05. 9
RESULTS
Patients Characteristics
Characteristics of patients in this study are shown in Table 1.
Table 1 Patients' Characteristics Data
| Characteristics | Amout (N=6) | % |
|---|---|---|
| Stage : IIB IIIB | 3 3 | 50 50 |
| Age: 48-55years 56-64years | 3 3 | 50 50 |
| Regions : Badung Tabanan Singaraja Karangasem Flores | 1 2 1 1 1 | 16.7 33.4 16.7 16.7 16.7 |
| Level of Education : Elementary School Junior High School Senior High School | 4 - 2 | 66.6 33.4 |
Difference of Tumor Mass Before and After Chemotherapy
The analysis results of differences in tumor mass volume before and after the 3 series of carboplatin with paclitaxel chemotherapy paired t-test is shown in Table 2.
Table 2 Tumor Mass Values Before and After 3 Series carboplatin Paclitaxel Chemotherapy
Remarks: N = Total Sample, p = Significance, SD = Standard Deviation
Table 3 Hemoglobin Level Before and After 3-Series Carboplatin Paclitaxel Chemotherapy
Remarks: N = Total Sample, p = Significance, SD = Standard Deviation
Paired t-test of tumor mass obtained the difference of the mass within p <0.05. This means that there is a significant difference in tumor mass before and after paclitaxel and carboplatin chemotherapy in patients with squamous cell cervical cancer
Difference of Hemoglobin Before and After Chemotherapy
Hemoglobin levels differences before and after paclitaxel and carboplatin chemotherapy was observed based on paired t-test as shown in Table 3. Table 3 reveals that there was impaired median difference of hemoglobin level of six patients before and after chemotherapy within p < 0.05.
DISCUSSION
Patients Characteristics
Six patients with cervical cancer who met the inclusion criteria for the study had undergone chemotherapy paclitaxel and carboplatin 3-series at Sanglah General Hospital, Bali-Indonesia during January to November of 2013. Table1 are shown the characteristics of the patient sample in this study. Patients in the study consisted of 3 patients with stage IIB and 3 patients with stage IIIB. Ages of patients ranged from 48 years to 64 years. The sixth patient worked as a housewife with the most elementary level of education. Patients' domicile regions are at Badung, Tabanan, Singaraja, Karangasem, and Flores.
Differences of Tumor Mass Before and After Chemotherapy
Tumor mass difference before and after chemotherapy occurs due to tumor regression. Regression is a process of decreasing of the tumor mass that the size of the cells can return to normal and is more likely to be appointed by the regression of the tumor mass because it can be used as a measure of treatment effectiveness. 2 Regression of the tumor mass may also improve the patient's clinical symptoms such as cessation bleeding, smelling vaginal discharge, and loss of pain radiating to the hips and legs dueto the spread of the pelvic cavity. 4
Differences of Hemoglobin Before and After Chemotherapy
The differences in hemoglobin levels before and after administration of chemotherapy occur because platinum agents as cervical cancer chemotherapy can cause anemia. Platinum agents like carboplatin will cause disruption of iron metabolism and decrease the life span of erythrocytes. Iron plays a role in the formation of hemoglobin and other essential compounds such as myoglobin, cytochrome, cytochrome oxidase, peroxidase, and catalase. 2 Chemotherapy induced anemia by interferes with the process or processes of hematopoesis formation of blood cells, including precursor components of RBC (Red Blood Cells) in bone marrow. 5 In terms of the average hemoglobin levels of patients after chemotherapy, patients have anemia degree 1 as described in the Gynecologic Oncology Group (GOG) in which the degree of anemia hemoglobin level 1 has a range between 10.0 to 12.0 g/dL.
CONCLUSION
Paclitaxel and carboplatin as a chemotherapeutic drug is highly recomended when viewed from the effects of therapy which can reduce tumor size and has a low side effect anemia (anemia grade 1).
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Before the Federal Communications Commission Washington, D.C. 20554
MEMORANDUM OPINION AND ORDER
Adopted: January 4, 2010
By the Commission:
TABLE OF CONTENTS
Released: January 5, 2010
I. INTRODUCTION
1. We have before us eight requests seeking reversal of staff-level decisions denying requests for waiver of section 1.2110 of the Commission's installment payment rules filed by Alpine PCS, Inc. ("Alpine") 1 , CommNet Communications Network, Inc. ("CommNet"), 2 GLH Communications, Inc. ("GLH"), 3 Inforum Communications, Inc. ("Inforum"), 4 Lancaster Communications, Inc. ("Lancaster"), 5 Allen Leeds ("Leeds"), 6 TV Communications Network, Inc. ("TVCN"), 7 and Virginia Communications, Inc. ("Virginia") 8 (collectively the "Parties"). 9 Each of the Parties defaulted on
1 Alpine PCS, Inc., Request for Waiver of Automatic Cancellation Rules for Auction No. 5, C Block Licenses for Santa Barbara (Mkt. No. 406-C) and San Luis Obispo (Mkt. No. 405-C), and Request for Debt Restructuring, Petition for Reconsideration, filed Feb. 28, 2007 ("Alpine Petition").
2 CommNet Communications Network, Inc., Request for Waiver and for Reinstatement of the 900 MHz Specialized Radio Service T Block License for MTA007, Dallas-Fort Worth, KNNX959, Petition for Reconsideration, filed June 7, 2007 ("CommNet Petition"); Supplement to Petition for Reconsideration, filed June 8, 2007 ("CommNet Supplement").
3 GLH Communications, Inc., Request for Waiver of Installment Payment Rules, Application for Review, filed Mar. 9, 2007 ("GLH AFR"); Supplement to Application for Review, filed Nov, 1, 2007 ("GLH Supplement").
4 Inforum Communications, Inc., Request for Constructive Waiver of Section 1.2110(g)(4)(ii) of the Commission's Rules, Petition for Reconsideration, filed Feb. 9, 2004 ("Inforum Petition"); Supplement to Petition for Reconsideration, filed July 23, 2004 ("Inforum Supplement").
5 Lancaster Communications, Inc., Request for Waiver of Installment Payment Rules for Auction No. 7 and Reinstatement of Licenses, Petition for Reconsideration, filed Mar. 9, 2007 ("Lancaster Petition").
6 Allen Leeds, Application for Review, filed on Apr. 16, 2007 ("Leeds AFR").
7 TV Communications Network, Inc., Request for Waiver of Installment Payment Rules for Auction No. 6 and Reinstatement of Licenses, Application for Review, filed Feb. 28, 2007 ("TVCN AFR"); Supplement to Application for Review, filed Mar. 20, 2007 ("TVCN Supplement").
8 Virginia Communications, Inc., Request for Waiver of Installment Payment Rules for Auction No. 6 Licenses, Petition for Reconsideration, filed Feb. 28, 2007 ("Virginia Petition"); Request for Leave to File Supplement to Petition for Reconsideration and Contingent Request for Waiver of Page Limitation, filed Jan. 15, 2008; Supplement to Petition for Reconsideration, filed Jan. 15, 2008 ("Virginia Supplement"); Erratum to Supplement to Petition for Reconsideration, filed Jan. 16, 2008 ("Virginia Erratum").
payment obligations for wireless licenses won at auction and subject to the Commission's installment payment loan program. Therefore, pursuant to section 1.2110(g)(4)(iv) of the Commission's rules, the licenses automatically canceled. 10 As explained below, the Parties have failed to demonstrate that the staff committed errors of fact or law in denying their requests for waiver of the Commission's installment payment rules. We therefore deny the Parties' requests for reversal of the decisions that were adopted pursuant to the delegated authority of the Commission's Wireless Telecommunications Bureau (the "Bureau") or of the Bureau's Auctions and Spectrum Access Division (the "Division"). 11
II. BACKGROUND
A. The Commission's Installment Payment Program
2. When the Commission first adopted competitive bidding rules in 1994, it established an installment payment loan program under which qualified small businesses that won licenses in certain services were allowed to pay their winning bids in quarterly installments over the initial term of the license. 12 In deciding to offer installment payment loans, the Commission reasoned that in appropriate circumstances such plans would, by reducing the amount of private financing small entities needed in advance of auctions, help to provide opportunities for small businesses to participate in the provision of spectrum-based services. 13 Licensees paying in installments were generally allowed to pay only interest in the early years of the license term. 14 When the Commission discontinued the use of installment payment loans for future license auctions in 1997, 15 it allowed entities that were already paying for licenses in installments to continue doing so. 16
(Continued from previous page)
9 Of the eight parties that filed requests for reconsideration or review of the denial of their previous requests to waive 47 C.F.R. § 1.2110, five also filed untimely supplements to their original pleadings. See CommNet Supplement, GLH Supplement, Inforum Supplement, TVCN Supplement, and Virginia Supplement. See also infra para. 16.
10 47 C.F.R. § 1.2110(g)(4)(iv).
11 The Auctions and Industry Analysis Division is the predecessor of the current Auctions and Spectrum Access Division and was responsible for certain of the decisions adopted and discussed herein. The term "Division" therefore collectively refers to both.
12 Implementation of Section 309(j) of the Communications Act – Competitive Bidding, PP Docket No. 93-253, Second Report and Order, 9 FCC Rcd 2348, 2389-91 ¶¶ 231-40 (1994). The first Commission auction for which installment payments were available was Auction 2 (218-219 MHz Service), which concluded on July 29, 1994.
13 Id. at 2389-90 ¶ 233. The goal of providing opportunities for small businesses to participate in the provision of spectrum-based services is set forth at 47 U.S.C. § 309(j)(3)(B), (4)(D).
14 See 47 C.F.R. § 1.2110(e)(3)(iii), (iv) (1994); 60 Fed. Reg. 52,865 (Oct. 11, 1995) (correcting 1994 designated entity regulations of 47 C.F.R. Part 1 to redesignate 47 C.F.R. § 1.2110(b)(4)(x)(E) as 47 C.F.R. § 1.2110(e)).
15 The Commission discontinued the use of installment payments based on its findings that (1) installment payments are not necessary to ensure meaningful opportunities for small businesses to participate successfully in auctions; (2) the Commission must consider all of the objectives of Section 309(j), including the development and rapid deployment of new services for the benefit of the public; (3) filings for bankruptcy by entities unable to pay their winning bids may result in delays in the deployment of service; and (4) requiring the payment of bids in full within a short time after the close of auctions ensures greater financial accountability from applicants. Amendment of Part 1 of the Commission's Rules – Competitive Bidding Procedures, WT Docket No. 97-82, Third Report and Order and Second Further Notice of Proposed Rulemaking, 13 FCC Rcd 374, 397-400 ¶¶ 38-40 (1998) ("Part 1 Third Report and Order"). The Commission affirmed this decision in 2000. Amendment of Part 1 of the Commission's Rules – Competitive Bidding Procedures, WT Docket No. 97-82, Order on Reconsideration of the Third Report and Order, Fifth Report and Order, and Fourth Further Notice of Proposed Rule Making, 15 FCC Rcd 15,293, 15,322 ¶ 55 (2000) ("Part 1 Reconsideration of Third Report and Order"). The last Commission auction for which installment payments were available was Auction 11 (broadband PCS F block), which ended on January 14, 1997.
16 See, generally, Part 1 Third Report and Order, 13 FCC Rcd at 436 ¶ 106.
3. Certain features of the Commission's installment payment rules have remained the same since their inception. The rules have always conditioned the grant of licenses upon the full and timely performance of licensees' payment obligations and have provided that, upon a licensee's installment payment default, the license cancels automatically and the Commission institutes debt collection procedures. 17 In other words, a licensee that defaults on an installment payment loses the license, is not refunded any prior payments and is subject to collection of the remaining balance of the debt. 18
4. In 1997, the Commission liberalized its installment payment grace period rules for licensees that were already paying their winning bids in installments, providing these licensees with significant advantages not previously available to them. Under the initial installment payment rules adopted in 1994, any licensee whose installment payment was more than 90 days past due was in default, unless the licensee had properly filed a grace period request. 19 The rules as amended in 1997, however, provided licensees with an automatic grace period, i.e., a grace period to which they were entitled without having to file a request. 20 The amended rules also entitled all licensees paying in installments to a grace period of 180 days. Thus, if a licensee did not make full and timely payment of an installment, it was automatically granted a 90-day period during which it was allowed to pay the installment along with a 5 percent late fee. 21 If it did not submit the missed installment payment and the 5 percent late fee before the expiration of this 90-day period, the licensee was automatically granted a second 90-day period during which it could remit payment along with an additional late fee equal to 10 percent of the missed
17 See, 47 C.F.R. § 1.2110(e)(4) (1994); 60 Fed. Reg. 52,865 (Oct. 11, 1995) (correcting 1994 designated entity regulations of 47 C.F.R. Part 1 to redesignate 47 C.F.R. § 1.2110(b)(4)(x)(E) as 47 C.F.R. § 1.2110(e)); and 47 C.F.R. § 1.2110(f)(4) (1998). See also Amendment of Part 1 of the Commission's Rules – Competitive Bidding Procedures, WT Docket No. 97-82, Third Order on Reconsideration of the Third Report and Order, 19 FCC Rcd 2551 (2004) (addressing the inapplicability of 47 C.F.R. § 1.2104 of the Commission's rules to installment payment defaults) ("Part 1 Third Reconsideration of Third Report and Order"). In this order, the Commission discussed its 1997 decision not to deviate from its license-cancellation-plus-debt-collection rule for installment payment defaults and explained the reasonableness of this decision. Noting that automatic license cancellation is not unique to defaults on installment payments (licenses terminate automatically, for example, when licensees fail to build out in compliance with the Commission's rules, whether they are paying their winning bids in installments or have paid them in full in a lump sum), the Commission explained that its rules are designed to encourage entities that cannot meet their financial obligations to exit the auction process sooner rather than later in order to avoid delays in licensing spectrum to entities that are able to provide service to the public. Thus, the consequence of defaulting after the close of an auction is more severe than the consequence of withdrawing a high bid during an auction, when a new high bidder can still emerge. Similarly, the consequence of a post-licensing default, such as an installment payment default or a failure to meet construction or service requirements, is more severe than the consequence of a pre-licensing default because the former could adversely affect service to the public much longer than the latter. Id. at 2561-62 ¶¶ 29-31.
18 Part 1 Third Reconsideration of Third Report and Order, 19 FCC Rcd at 2561-62 ¶ 29. The Commission reasoned that this consequence is comparable to that of a non-installment payment post-licensing default on a license won at a Commission auction – such as a default resulting from failure to build out or egregious conduct – where the license is canceled, and no part of the full license payment is refunded. Id. at 2558 ¶ 18.
19 47 C.F.R. § 1.2110(e)(4)(i), (ii) (1994); 60 Fed. Reg. 52,865 (Oct. 11, 1995) (correcting 1994 designated entity regulations of 47 C.F.R. Part 1 to redesignate 47 C.F.R. § 1.2110(b)(4)(x)(E) as 47 C.F.R. § 1.2110(e)). Licensees were permitted to request a grace period of 90 to 180 days.
20 47 C.F.R. § 1.2110(f)(4)(i), (ii) (1998); Part 1 Third Report and Order, 13 FCC Rcd at 436-38 ¶¶ 106-07. The amended rules took effect on March 16, 1998.
21 47 C.F.R. § 1.2110(f)(4)(i) (1998); Part 1 Third Report and Order, 13 FCC Rcd at 436 ¶ 106.
payment. 22 A licensee's failure to make its required payment, including the associated late fees, by the end of the 180 day period placed it in default. 23
5. In liberalizing its grace period rules, the Commission found that the amended rules eliminated uncertainty for licensees seeking to restructure other debt contingent upon the results of the Commission's installment payment provisions 24 and that the added certainty the rules provided to licensees would increase the likelihood that licensees and potential investors would find solutions to capital problems before defaults occurred. 25 Noting that a grace period is an extraordinary form of relief in cases of financial distress and that the rules it adopted are consistent with commercial practice, the Commission declined to provide more than 180 days for licensees to make late payments and rejected the argument that licenses should not cancel automatically upon default. 26
B. The Parties
6. The Parties each requested a waiver of the installment payment rules, seeking relief from their payment deadlines and from the automatic cancellation of the license(s). In each case, the Division or Bureau denied the requested waiver, and the Parties now seek reversal of those decisions. Here, we provide a brief summary of the facts for each of the Parties. 27
1. Alpine
7. Alpine won two broadband Personal Communication Services ("PCS") C block licenses in Auction 5 28 and as an eligible entity elected to participate in the Commission's installment payment program. Installment payments for Alpine's licenses were due on January 31, 2002, and, pursuant to our rules, Alpine had until the expiration of the two-quarter grace period permitted under the rules, i.e., until July 31, 2002, to render such payments along with the associated late fees. On July 24, 2002, Alpine filed a request for debt restructuring or compromise and, on July 29, 2002, filed an amended version of this request. 29 The Commission's chief financial officer wrote to Alpine on July 30, 2002, acknowledging receipt of the request. 30 On the final day of the second quarterly grace period, July 31, 2002, Alpine also filed a request for waiver of the automatic cancellation provision of the rules. 31 On August 1, 2002, both
22 47 C.F.R. § 1.2110(f)(4)(ii) (1998); Part 1 Third Report and Order, 13 FCC Rcd at 436 ¶ 106.
23 47 C.F.R. § 1.2110(f)(4)(iv) (1998). These rules were amended in 2000 to provide licensees with two quarters (i.e., two three-month periods), rather than two ninety-day periods, in which to submit late installment payments and associated late fees. Part 1 Reconsideration of Third Report and Order, 15 FCC Rcd at 15,310 ¶ 28. This change aligned the schedule for late payments with the quarterly schedule of regular installment payments.
24 Part 1 Third Report and Order, 13 FCC Rcd at 439-40 ¶ 110.
25 Id. at 443 ¶ 116.
26 Id. at 439-40 ¶¶ 109-10; Part 1 Reconsideration of Third Report and Order, 15 FCC Rcd at 15,304-05 ¶ 19.
27 The facts summarized here are presented in more detail in the relevant underlying Division or Bureau order.
28 The licenses held by Alpine were for the broadband PCS C block in the San Luis Obispo, CA Basic Trading Area ("BTA") (BTA405), call sign KNLF333, and the Santa Barbara, CA BTA (BTA406), call sign KNLF334.
29 Alpine Petition at 13; Letter from Robert F. Broz, President of Alpine PCS, Inc. to Regina Dorsey, Special Assistant to Chief Financial Officer, Office of Managing Director, Federal Communications Commission, dated July 24, 2002, "Edited and Resubmitted as of July 29, 2002" (July 29, 2002) (collectively "Alpine First Restructuring Request").
30 Letter from Mark A. Reger, Chief Financial Officer, Federal Communications Commission, to Robert F. Broz, President, Alpine PCS, Inc., dated July 30, 2002. See also Alpine Petition at 14.
31 Alpine PCS, Inc., For a Waiver of Section 1.2110(g)(iv) of the Rules Relating to the Payments due on July 31, 2002 Regarding its Santa Barbara (Mkt. No. 406-C) and San Luis Obispo (Mkt. No. 405-C) C Block Licenses, Request for Waiver, filed July 31, 2002.
licenses automatically canceled for Alpine's failure to make its installment payments. 32 In a January 30, 2004 letter to Alpine, the Commission's Office of General Counsel returned the debt compromise request without action, citing to Alpine's changed material circumstances. 33 On January 29, 2007 the Bureau denied Alpine's request for waiver of the automatic cancellation rule. 34 On February 28, 2007, Alpine filed the petition for reconsideration we have before us seeking reversal of the Bureau's denial. 35 On December 18, 2007, Alpine filed a second request for debt compromise, 36 which, on April 29, 2008, was dismissed without prejudice as "both premature and incomplete." 37
2. CommNet
8. CommNet won a 900 MHz Specialized Mobile Radio ("SMR") license in Auction 7 and elected to participate in the Commission's installment payment program. 38 Before making its first installment payment, which was due on November 30, 2001, CommNet requested a one-year suspension of its payment obligations citing financial difficulties. 39 Its request was denied, 40 and CommNet made its quarterly payments, including late fees, until the installment payment due on November 30, 2003. Under the rules, CommNet had two quarterly grace periods, i.e., until June 1, 2004, to make that payment along with associated late fees. 41 CommNet alleged that it attempted to make that payment a few days before the second quarter grace period deadline, but stated it missed the deadline due to its own administrative
32 In the Matter of Alpine PCS, Inc., Request for Waiver of Automatic Cancellation Rule for Auction No. 5, C Block Licenses for Santa Barbara (Mkt. No. 406-C) and San Luis Obispo (Mkt. No. 405-C), Order, 22 FCC Rcd 1492, 1495 ¶ 8 (WTB 2007) ("Alpine Order").
33 Letter from Paul K. Cascio, Office of General Counsel, Federal Communications Commission, to Robert F. Broz, President of Alpine PCS Inc., dated Jan. 30, 2004. See also Alpine Petition at 15-16.
34 Alpine Order, 22 FCC Rcd at 1503 ¶ 25.
35 Alpine also sought, and was denied, a stay of Auction 78, which offered among other licenses, licenses for the spectrum on which Alpine had previously been authorized to operate. Alpine PCS, Inc., Request for Stay of Auction 78 for the Broadband PCS C Block Licenses in the San Luis Obispo, CA and the Santa Barbara – Santa Maria, CA Basic Trading Areas, Order, 23 FCC Rcd 10485 (WTB/ASAD 2008) (denying Alpine's request to stay Auction 78). The Auction 78 inventory included 30 Advanced Wireless Service ("AWS") licenses and 25 broadband PCS licenses. See "Auction of AWS-1 and Broadband PCS Licenses Rescheduled for August 13, 2008; Notice and Filing Requirements, Minimum Opening Bids, Upfront Payments and Other Procedures for Auction 78," Public Notice, 23 FCC Rcd 7496 (WTB 2008).
36 Letter from Frederick M. Joyce and Christine McLaughlin, Counsel for Alpine PCS, Inc., to Anthony Dale, Managing Director, Federal Communications Commission, dated Dec. 18, 2007 ("Alpine Second Restructuring Request").
37 Letter from Regina Dorsey, Deputy Chief Financial Officer, Federal Communications Commission, to Frederick M. Joyce and Christine McLaughlin, Counsel for Alpine PCS, Inc., dated Apr. 29, 2008.
38 The 900 MHz SMR license held by CommNet was for the T block in the Dallas-Fort Worth TX Major Trading Area ("MTA") (MTA007), call sign KNNX959.
39 Letter from Delaney M. DiStefano, Counsel for CommNet Communications Network, Inc., to Margaret Wiener, Chief, Auctions and Industry Analysis Division, Wireless Telecommunications Bureau, dated Nov. 14, 2001.
40 Letter from Kelly Quinn, Deputy Chief, Auctions and Industry Analysis Division, Wireless Telecommunications Bureau, to Delaney M. DiStefano, Esq., Counsel for CommNet Communications Network, Inc., 17 FCC Rcd 10,418 (WTB/ASAD 2002).
41 Because the last day of the second quarter of the grace period, May 31, 2004, fell on Memorial Day, the Commission considered payments timely if it received them no later than June 1, 2004. See CommNet Communications Network, Inc., Request for Waiver and for Reinstatement of the 900 MHz Specialized Radio Service T Block License for MTA007, Dallas-Fort Worth, KNNX959, Order, 22 FCC Rcd 8612, 8616 ¶ 8 (WTB 2007) ("CommNet Order").
errors. 42 On June 2, 2004, the license canceled automatically. 43 CommNet then sought reinstatement of the license and waiver of the automatic cancellation rule. 44 On May 9, 2007, the Division denied CommNet's request. 45 On June 7, 2007, CommNet filed the petition for reconsideration we have before us seeking reversal of the Division's denial.
3. GLH
9. GLH acquired four broadband PCS C block licenses by assignment in 2001. 46 As an eligible entity, GLH elected to assume the debt associated with the licenses and to participate in the Commission's installment payment program to finance its acquisition. GLH's installment payments for the four licenses were due on January 31, 2003. 47 Pursuant to our rules, GLH had two quarterly grace periods, i.e., until July 31, 2003, to render such payment along with associated late fees. In advance of this deadline, on April 16, 2003, GLH filed a request for waiver of the installment payment rules seeking a two-year waiver of the Commission's automatic cancellation and debt collection rules and asking the Commission to consider proposals for compromising its debt. 48 The Bureau denied this request on July 18, 2003. 49 GLH failed to submit the installment payments, along with the associated late fees, for the four licenses by July 31, 2003, and the licenses canceled automatically on August 1, 2003. 50 On August 15, 2003, GLH filed a petition for reconsideration of the Division's July 2003 denial of its waiver request, and in February of 2007, the Bureau denied that request. 51 On March 9, 2007, GLH filed the application for review we have before us seeking reversal of the Bureau's denial.
42 Id., 22 FCC Rcd at 8616 ¶ 9 (noting CommNet's allegation that, because its bookkeeper had left "due to economic circumstances," an inexperienced individual made the banking mistake leading to the missed payment).
43 Id. at 8616 ¶ 8.
44 Id. at 8612 ¶ 1.
45 Id. at 8627 ¶ 30.
46 Request of GLH Communications, Inc. for Temporary Waivers of Installment Payment Deadlines (47 C.F.R. § 1.2110(g)(4)) and Debt Collection Rules (47 C.F.R. § 1901 et seq.), Order, 18 FCC Rcd 14,695 (WTB/AIAD 2003) ("GLH Order"), recon. denied, Order on Reconsideration, 22 FCC Rcd 2411, 2414 ¶ 6 (WTB 2007) ("GLH Order on Reconsideration"). GLH initially sought waiver for six broadband PCS licenses, but paid the outstanding obligations on those two licenses and assigned them to NTCH, Inc. See GLH Order on Reconsideration, 22 FCC Rcd at 2411 n.3. See also File No. 0001402262 (applying for voluntary pro forma transfer of broadband PCS C block licenses for BTA120 and BTA211). See also Wireless Telecommunications Bureau Assignment of Authorization and Transfer of Control Applications Action, Report No. 1686, Public Notice, at 2 (rel. Dec. 10, 2003) (granting assignment of authorization requested in File No. 0001402262). The remaining four licenses were for the broadband PCS C block in the following BTAs: Cookeville TN (BTA096), call sign KNLF461; Florence AL (BTA146), call sign KNLF463; Kingsport, TN-Johnston City, TN (BTA229), call sign KNLF465; and MiddlesboroHarlan, KY (BTA 295), call sign KNLF468.
47 GLH Order on Reconsideration, 22 FCC Rcd at 2414-15 ¶ 7.
48 Id.
49 GLH Order, 18 FCC Rcd at 14,703 ¶ 21.
50 GLH Order on Reconsideration, 22 FCC Rcd at 2415 ¶ 8.
51 Id. at 2422 ¶ 27.
4. Inforum
10. Inforum acquired a Broadband Radio Service ("BRS") 52 license through an assignment on October 6, 1999. 53 As an eligible entity, it assumed the installment payment debt for the license. An installment payment for the license was due on January 31, 2001, and, under the Commission's rules, Inforum had two quarterly grace periods, i.e., until July 31, 2001, to make its payment along with associated late fees. 54 Inforum failed to render the installment payment by July 31, 2001, and the license automatically canceled on August 1, 2001. On January 8, 2004, the Division denied Inforum's request for reconsideration and for waiver of the automatic cancellation rule. 55 On February 9, 2004, Inforum filed the petition for reconsideration we have before us seeking reversal of the Division's denial. 56
5. Lancaster
11. Lancaster won twenty-two 900 MHz SMR licenses in Auction 7 and elected to participate in the Commission's installment payment plan to satisfy its winning bid obligations. 57 With respect to two of the twenty-two licenses, Lancaster failed to pay the entire installment payment due on September 1, 2003. 58 Under the Commission's rules, Lancaster had until the end of the second quarterly grace period, i.e., until March 1, 2004, to render those payments along with associated late fees. 59 Lancaster failed to make the necessary installment payments and those two licenses canceled
52 In 2004, the Commission amended the rules governing the Multipoint Distribution Service ("MDS") in order to encourage the deployment of broadband services by commercial and educational entities, and renamed MDS as BRS. See Amendment of Parts 1, 21, 73, 74 and 101 of the Commission's Rules to Facilitate the Provision of Fixed and Mobile Broadband Access, Educational and Other Advanced Services in the 2150-2162 and 2500-2690 MHz Bands, WT Docket No. 03-66, Report and Order and Further Notice of Proposed Rulemaking, 19 FCC Rcd 14,165 (2004). Because the new rules are now in effect, we refer to the service by its new name.
53 The BRS license held by Inforum was for the Sarasota, FL BTA (MDB408). At the time of the assignment, Inforum was named Skylynx Communications, Inc. See Inforum Communications, Inc. and TDI Acquisition Corporation, Memorandum Opinion and Order, 20 FCC Rcd 820, 822 ¶ 6 n.22 (2005) ("Inforum-TDI Assignment Order").
54 See Request of Inforum Communications, Inc. for Petition for Reconsideration and Waiver Request for Late Acceptance of BTA Installment Payment, Order, 19 FCC Rcd 83, 84 ¶ 2 (WTB/ASAD 2004) ("Inforum Order").
55 Inforum Order, 19 FCC Rcd at 87 ¶ 13.
56 On February 9, 2004, Paradise Cable, Inc. filed an application for review of the Inforum Order, claiming an interest in the proceeding as the alleged rightful licensee of the Sarasota BTA instead of Inforum. Paradise's claims to the licenses at issue, however, have been rejected by the courts and the Commission. See Inforum-TDI Assignment Order, 20 FCC Rcd at 827 ¶ 12 (affirming Commission staff order that dismissed Paradise's petition to deny assignment of licenses from Inforum to another entity, deferring to decrees by three federal courts that rejected attempts to revoke or rescind consummation of assignment of licenses from Paradise to Inforum), aff'd, Paradise Cable, Inc. v. Federal Communications Commission, No. 05-1040, slip op. (D.C. Cir. Feb. 15, 2006). Paradise therefore lacks standing to challenge the Inforum Order and we dismiss its application for review.
57 Lancaster Petition at 2. The licenses held by Lancaster covered the Guam MTA (MTA050), Blocks A through T, the Dallas TX MTA (MTA007), Block A, and the San Antonio, TX MTA (MTA033), Block S. The call signs were KNNY300 through KNNY306 and KNNY309 through KNNY323. See Lancaster Communications, Inc. Request for Waiver of Installment Payment Rules for Auction No. 7 and Reinstatement of Licenses Application for Assignment of 900 MHz Specialized Mobile Radio Licenses, Order, 22 FCC Rcd 2438, 2438 n.4, 2441 ¶ 6 (WTB 2007) ("Lancaster Order").
58 The call signs for these two licenses were KNNY305 and KNNY306. See Lancaster Order, 22 FCC Rcd at 2441 ¶ 7 & n.28. Normally, Lancaster would have had through the last day of February to pay an installment payment due at the end of August, but, because both the original payment deadline and the second grace period deadline fell on a non-business day, the deadlines were extended until the next business day. Id.
59 Id. at 2441 ¶ 7.
automatically on March 2, 2004. 60 Lancaster also failed to pay installment payments for the remaining twenty licenses by the due date of November 30, 2003. 61 Under the Commission's rules, Lancaster had until the end of the second quarterly grace period, i.e., until May 31, 2004, to render those payments along with associated late fees. 62 On May 28, 2004, Lancaster filed a request for waiver of the automatic cancellation rule, seeking additional time to fulfill its installment debt obligations. 63 Lancaster failed to make the necessary installment payments and those twenty licenses canceled automatically on June 1, 2004. On February 7, 2007, the Bureau denied Lancaster's request for waiver of the automatic cancellation rule. 64 On March 9, 2007, Lancaster filed the petition for reconsideration we have before us seeking reversal of the Bureau's denial.
6. Leeds
12. Leeds, an individual, won two BRS licenses in Auction 6, and elected to satisfy his winning bid obligations through participation in the Commission's installment program. 65 Installment payments for Leeds's two licenses were due on February 28, 1997. Under the Commission's installment payment rules at that time, Leeds had until May 30, 1997 to render such payment or to file a timely grace period request. Leeds failed to do either and the licenses automatically canceled on May 31, 1997. 66 On August 29, 1997, three months after the time allowed under the rules, Leeds submitted a request seeking additional time in which to make his February 1997 installment payments, a reduction in the amount of his obligation for the two licenses, and/or a refund of some of the money previously paid to the Commission. 67 The Division denied these requests on October 2, 2001. 68 Leeds sought reconsideration of this denial, and, on January 29, 2007, the Bureau denied Leeds's petition. 69 On April 16, 2007, Leeds filed the application for review we have before us seeking reversal of the Bureau's denial. 70
60 Id. at 2441 ¶ 7 and n.29.
61 Id. at 2441-42 ¶ 8.
62 Id.
63 Id.
64 Id. at 2447 ¶ 22.
65 The BRS licenses in question were for the Lexington, KY BTA (B252) and the Rockford, IL BTA (B380). See Allen Leeds, Order, 22 FCC Rcd 1508, 1510-11 ¶ 4 and n.12 (WTB 2007) ("Leeds Order").
66 Leeds Order, 22 FCC Rcd at 1511 ¶ 5.
67 Id., citing Letter from James A. Stenger, Counsel for Allen Leeds, to Mark Rossetti, Auctions and Industry Analysis Division, Wireless Telecommunications Bureau, dated Aug. 29, 1997, at 2, 3-4.
68 Letter from Margaret Wiener, Chief, Auctions and Industry Analysis Division, Wireless Telecommunications Bureau, to James A. Stenger, Counsel for Allen Leeds, 16 FCC Rcd 17,621 (WTB/ASAD 2001).
69 Leeds Order, 22 FCC Rcd at 1519 ¶ 24.
70 Although Leeds did not file his application for review within thirty days of public notice of the Bureau's Leeds Order, as required by 47 C.F.R. § 1.115(d), we address the merits of the application because the Bureau, contrary to its customary practice of mailing adjudicatory orders to the parties, did not provide Leeds with personal notice of the Leeds Order until it provided notice to Leeds's counsel more than thirty days after public notice of that order. See 47 C.F.R. § 0.445(a). Leeds asserts he did not have actual notice of the Leeds Order within thirty days of public notice of the order and that he filed his application for review promptly after receiving personal notice of the Leeds Order. We find that a waiver of the thirty day time limit in 47 C.F.R. § 1.115(d) is justified and is in the public interest because Leeds's delay in filing the application for review was directly attributable to his lack of personal notice of the Leeds Order.
7. TVCN
13. TVCN won twelve BRS licenses in Auction 6 and acquired two additional BRS licenses in the secondary market. 71 As an eligible small business, TVCN elected to participate in the Commission's installment payment program for all fourteen licenses. 72 TVCN failed to make an installment payment due on November 30, 1998, for one of the licenses within the grace period then provided under the rules, i.e., by May 31, 1999, and the license automatically canceled on June 1, 1999. 73 TVCN subsequently missed the August 31, 2001 installment payment deadline for the remaining thirteen licenses, and pursuant to our rules, had two quarterly grace periods, i.e., until February 28, 2002, to make the required installment payments along with the associated late fees. 74 On November 29, 2001, TVCN filed a request, asking for, inter alia, a waiver of the installment payment rules and grant of an indefinite payment grace period of six months or longer so that TVCN could seek "new financing and/or buyers" to acquire the licenses. 75 TVCN did not make the installment payments due by the end of February 2002, and, as a result, the thirteen licenses automatically canceled on March 1, 2002. 76 On February 4, 2003, TVCN filed another request for a waiver of the installment payment rules, seeking a one-year grace period for making payments towards its debt obligation for all fourteen of the BRS licenses. 77 On January 29, 2007, the Bureau denied TVCN's requests for waiver of the automatic cancellation rule. 78 On February 28, 2007, TVCN filed the application for review we have before us seeking reversal of the Bureau's denial.
8. Virginia
14. Virginia won five BRS licenses in Auction 6 and as an eligible entity elected to participate in the Commission's installment payment plan. 79 Installment payments for Virginia's licenses were due on February 28, 2002, and, under our rules, it had two quarterly grace periods, i.e., until September 3, 2002, to make such payments along with associated late fees. 80 On August 30, 2002,
71 The BRS licenses held by TVCN were for the following markets: Clarksburg-Elkins, WV (MDB082), Dickinson, ND (MDB113), Fairmont, WV (MDB137), Logan, WV (MDB259), Morgantown, WV (MDB306), Salina, KS (MDB396), San Luis Obispo, CA (MDB405), Scottsbluff, NE (MDB411), Scranton-Wilkes Barre, PA (MDB412), Steubenville, OH (MDB431), Stroudsburg, PA (MDB435), Watertown, NY (MDB463), Wheeling, WV (MDB471), and Williston, ND (MDB476). See TV Communications Network, Inc., Request for Waiver of Installment Payment Rules for Auction No. 6 and Reinstatement of Licenses, Order, 22 FCC Rcd 1397, 1397 n.1, 1400-01 ¶ 6 (WTB 2007) ("TVCN Order").
72 The Commission's original installment payment rules were in effect when TVCN began paying for the twelve licenses it won at auction and the first of the two licenses it acquired through assignment pursuant to the original installment payment rules. Payment for all of those licenses plus the second license acquired in the secondary market came under the amended grace period rules once they were implemented. See TVCN Order, 22 FCC Rcd at 1400-01 ¶ 6. See also Part 1 Third Report and Order, 13 FCC Rcd at 436 ¶ 106.
73 TVCN Order, 22 FCC Rcd at 1401 ¶ 7.
74 Id.
75 Id., citing Letter from Omar A. Duwaik, President, TV Communications Network, Inc. to Magalie R. Salas, Secretary, Federal Communications Commission, dated Nov. 29, 2001.
76 TVCN Order, 22 FCC Rcd at 1401 ¶ 7.
77 Id. at 1401-02 ¶ 8.
78 Id. at 1409 ¶ 24.
79 The BRS licenses held by Virginia were for the following markets: Athens, OH (MDB023), Cedar Rapids, IA (MDB070), Chilicothe, OH (MDB080), Davenport-Moline, IA (MDB105), and Waterloo-Cedar Falls, IA (MDB462). See Virginia Communications, Inc., Request for Waiver of Installment Payment Rules for Auction No. 6 Licenses, Order, 22 FCC Rcd 1386, 1386 n.2, 1389-90 ¶ 7 (WTB 2007) ("Virginia Order").
80 Id., 22 FCC Rcd at 1390 ¶ 8.
Virginia requested a waiver of the installment payment rule and a restructuring of its debt for the licenses. 81 On September 4, 2002, the licenses canceled automatically because of Virginia's failure to make any installment payments. 82 On April 7, 2003, Virginia submitted to the Commission's Office of Managing Director a proposal for restructuring its debt. 83 On January 29, 2007, the Bureau denied Virginia's requests for a waiver of the installment payment rules and for an extension of the payment deadlines and returned without action Virginia's request for restructuring of its debt on the licenses. 84 On February 28, 2007, Virginia filed the petition for reconsideration we have before us seeking reversal of the Bureau's denial.
III. DISCUSSION
15. Because the Parties raise related issues regarding the application of the Commission's installment payment rules and seek substantially similar relief from the decisions reached by the Bureau or the Division pursuant to their delegated authority, we consolidate these requests for resolution. 85
16. Before reviewing the substantive arguments raised by the requests, we note that five of the Parties also filed supplements to their initial filings outside the thirty day pleading cycle established in our rules, which require petitions for reconsideration and applications for review and their supplements to be filed within thirty days of public notice of the Commission's action on delegated authority. 86 Of these five supplements, two claim to correct inadvertent error, 87 one furthers arguments advanced in the underlying petition for reconsideration, 88 and two raise new questions of law that were not presented to
81 Id. at 1386 n.2, citing Waiver Request, Extension Request: BTA Quarterly Installments, filed by Virginia Communications, Inc., on August 30, 2002, and supplemented, Supplemental Memorandum in re: Virginia Communications, Inc., on May 23, 2003.
82 Virginia Order, 22 FCC Rcd at 1390 ¶ 8.
83 Id.
84 Id. at 1396-97 ¶¶ 21-24 (explaining that Virginia's debt restructuring proposal did not include adequate information or comply with the Commission's rules sufficiently to support a request for debt compromise).
85 See 47 C.F.R. §§ 1.106, 1.115.
86 See 47 C.F.R. §§ 1.106, 1.115; 47 U.S.C. § 405(a) (requiring petitions for reconsideration to be filed within thirty days from the date public notice is given of the Commission's decision or action). See also In the Matter of BDPCS, Inc., BTA Nos. B008, B036, B055, B089, B110, B133, B149, B261, B298, B331, B347, B358, B391, B395, B407, B413, and B447, Frequency Block C, Memorandum Opinion And Order, 15 FCC Rcd 17,590, 17,596-97 ¶ 10 (2000) ("BDPCS MO&O") (dismissing untimely supplements). CommNet, GLH, Inforum, TVCN, and Virginia filed untimely supplements to their original pleadings. See CommNet Supplement, GLH Supplement, Inforum Supplement, TVCN Supplement, Virginia Supplement, and Virginia Erratum.
87 CommNet Supplement (resubmitting Declaration of Counsel and correspondence with Commission staff); TVCN Supplement (offering missing pages from its AFR). In addition, a letter from a third party was submitted after the filing deadline with respect to the TVCN AFR. See Letter from Michele Farquhar, Counsel for Oneida Broadband, LLC, to Gary Michaels, Deputy Chief, Auctions and Spectrum Access Division, Wireless Telecommunications Bureau, dated Sept. 29, 2006 (stating TVCN and Oneida had entered an agreement for TVCN to transfer the licenses to Oneida and Oneida offering to pay debt).
88 See generally Inforum Supplement (further arguing why Inforum should be considered to have been granted a constructive waiver of the Commission's automatic cancellation rule). In addition, three letters were submitted after the filing deadline regarding the Inforum Petition, two of which were filed by a third party. See Letter from Jennifer Richter, Counsel for Sprint Nextel to FCC Secretary, dated June 30, 2006 (arguing that Inforum's case constituted a constructive waiver); Letter from Suzanne S. Goodwyn, Counsel for Inforum Communications, Inc., to FCC Secretary, dated Aug. 1, 2006 (attaching Sprint's letter of June 30, 2006 and arguing why a grant of a waiver would be consistent with Commission precedent) ("Inforum Letter"); Letter from Trey Hanbury, Director for Sprint Nextel, to Margy Wiener, Chief, Auctions and Spectrum Access Division, Wireless Telecommunications Bureau, (continued….)
the Bureau. 89 Pursuant to our rules, we dismiss all five of the supplements as untimely filed. 90 We also do not separately address any of the letters received after the filing deadline. 91
17. The Commission will grant an application for review of a final action taken on delegated authority only when such action, inter alia, conflicts with statute, regulation, precedent or established Commission policy; involves application of a precedent or policy that should be overturned; or makes an erroneous finding as to an important or material factual question. 92 Similarly, reconsideration is only appropriate when the petitioner shows error in findings of fact or conclusions of law in the original order or raises additional facts not known or not existing until after the petitioner's last opportunity to present
(Continued from previous page) dated July 14, 2008 (urging favorable resolution of Inforum’s waiver and processing of assignment applications from Inforum to TDI, a wholly-owned Sprint subsidiary).
89 See GLH Supplement at 1-2 (contending that the Bureau's decision in Advance Acquisition Inc. Request for Waiver of Bid Withdrawal Payment, Order, 22 FCC Rcd 18,846 (WTB 2007) ("Advance Acquisition Order") should apply to the Commission's calculation of GLH's outstanding installment payment obligations); Virginia Supplement at 6-9, 14 (arguing (1) that the Commission did not properly consider its own records regarding Virginia's spectrum holdings in determining whether it was the entity that most valued the subject spectrum, (2) that it had a limited property right in the license that precluded automatic cancellation, and (3) that it would be inequitable for the Commission to cancel the licenses, attempt to collect on the debt, and reauction the same spectrum).
90 See 47 C.F.R. §§ 1.106(f), 1.115(d). With respect to Virginia's late submissions, while the Commission has some discretion to consider late-filed supplements to timely filed petitions for reconsideration, we decline to do so where the arguments could have been made earlier. See, e.g., Richard R. Zaragoza, et al., 2009 WL 1405882 (May 20, 2009) (where timely petition for reconsideration was filed, dismissing supplement filed after 30-day reconsideration deadline where, among other reasons, material "could have been provided earlier"). We note, however, that since many of the arguments offered by Virginia in its supplement mirror issues raised in timely filed petitions for reconsideration or applications for review filed by other parties, we have fully addressed those issues below in considering these other pleadings. See generally, Virginia Supplement and Virginia Erratum. We also decline to consider the late supplement to the GLH AFR. The Bureau's decision in the Advance Acquisition Order, which the GLH Supplement urges us to consider, would not change the outcome here. We note first that the Commission has not yet had an opportunity to consider the issue presented to the Bureau in that case. Nevertheless, it is clear that the Advance Acquisition Order would be wholly inapplicable here, where we are reviewing challenges to denials of waivers of 47 C.F.R. § 1.2110. See Licenses of 21 st Century Telesis, Inc. for Facilities in the Broadband Personal Communications Services, Memorandum Opinion and Order, 15 FCC Rcd 25,113, 25,121-23 ¶¶ 17-20 (2000) ("21 st Century MO&O") (explaining the Commission's application of a strict standard of review for requests of waiver of its automatic cancellation rule), recon. denied sub nom, Licenses of 21 st Century Telesis Joint Venture and 21 st Century Bidding Corporation for Facilities in the Broadband Personal Communications Services, Order on Reconsideration, 16 FCC Rcd 17,257 (2001) ("21 st Century Order on Reconsideration"), petition dismissed in part and denied in part, 21st Century Telesis Joint Venture v. FCC, 318 F.3d 192 (D.C. Cir. 2003). In the Advance Acquisition Order, the Bureau held that, given the exceptionally high level of the final bid withdrawal payment due under the rules, the final payment owed was higher than necessary to serve the rule's purpose of deterring insincere bidding in Commission auctions. The Commission's rule prescribing the calculation of final bid withdrawal payments, 47 C.F.R. § 1.2104(g)(1), and the underlying purpose it serves are inapposite to our consideration here of the automatic cancellation of a license and the acceleration of the full outstanding debt obligation, which is governed exclusively by 47 C.F.R. § 1.2110.
91 To the extent the Inforum Letter raises any new legal arguments, we decline to consider it on the same grounds that we dismiss the late-filed Inforum Supplement. Further, we note that many of the arguments offered in the Inforum Letter mirror issues raised in timely filed petitions for reconsideration and applications for review by itself and other parties and therefore those arguments have been fully addressed herein. We also need not address the ex parte letters submitted by third parties on behalf of either Inforum or TVCN, which in any event duplicate arguments made in a timely manner by Inforum and TVCN and rejected by us.
92 See 47 C.F.R. § 1.115. See also, Application for Review of Declaratory Ruling Issued by the Chief, Cable Services Bureau, In re Jay Lubliner and Deborah Galvin, Potomac, Maryland, Memorandum Opinion and Order, 13 FCC Rcd 16,107, 16,109 ¶ 4 (1998).
such matters, or as to which consideration is in the public interest. 93 A petition that simply reiterates arguments previously considered and rejected will be denied. 94 As discussed fully below, the Parties have failed to demonstrate that the denials of their requests for waiver of the Commission's installment payment rules were contrary to precedent, statute or rule, applied precedent or policy that should be overruled, were based on erroneous findings or assumptions as to the facts, or that the staff decisions in any other way were based on errors of fact or law. Consistent with sections 1.106 and 1.115 of our rules, we therefore deny the petitions for reconsideration and applications for review. 95
A. The Staff Decisions Correctly Applied the Waiver Standard
18. To address the appeals before us, we must consider whether, on delegated authority, the Bureau and the Division committed errors of fact or law in denying the Parties' requests for waiver of the automatic license cancellation rule under the standard set forth in section 1.925 of our rules. 96 To obtain a waiver of the Commission's rules, an applicant must show either (i) that the underlying purpose of the applicable rule would not be served or would be frustrated by application to the instant case, and that a grant of the requested waiver would be in the public interest; or (ii) that the unique factual circumstances of the particular case render application of the rule inequitable, unduly burdensome or contrary to the public interest, or that the applicant has no reasonable alternative. 97
19. In resolving requests for waiver of the installment payment rules, the Commission and its staff have consistently concluded that the underlying purpose of the automatic cancellation rule is to preserve the reliability and integrity of the competitive bidding and licensing processes by ensuring that licensees have the ongoing financial ability and the willingness to fulfill their auction-related payment obligations, thereby affirming that licenses have been assigned to the parties that place the highest value on the spectrum and will put it to efficient and effective use for the benefit of the public. 98 Accordingly, as discussed below, the Commission has held that grant of a waiver of the automatic cancellation rule would undermine the purpose of the rule where the licensee has not demonstrated its ongoing ability and willingness to fulfill payment obligations despite its default. 99 In addition, the Commission has consistently found that the various grounds for waiver as claimed here by the Parties – including temporary financial difficulties, provision of service, history of past payments, and alleged billing errors – do not constitute unique circumstances that justify waiver of the automatic cancellation rule in the
93 47 C.F.R. § 1.106(c). See WQAM License Limited Partnership, Memorandum Opinion and Order, 15 FCC Rcd 13,549, 13,549 ¶ 2 (2000) (citing WWIZ, Inc., 37 F.C.C. 685, 686 (1964), aff'd sub nom. Lorain Journal Co. v. FCC, 351 F.2d 824 (D.C. Cir. 1965), cert. denied, 383 U.S. 967 (1966)).
94 Id.; see also, e.g., Bennett Gilbert Gaines, Interlocutory Receiver for Magic 680, Inc., for Renewal of License for Station WCBM(AM), Baltimore, Maryland, et al., Memorandum Opinion and Order, 8 FCC Rcd 3986 ¶ 3 (Rev. Bd. 1993).
95 See 47 C.F.R. §§ 1.106, 1.115(a).
96 47 C.F.R. § 1.925.
97 Id.
98 See, e.g., Morris Communications, Inc., Memorandum Opinion and Order, 23 FCC Rcd 3179, 3195 ¶ 35 (2008) ("Morris Order"), aff'd, Morris Communications, Inc. v. FCC, 566 F.3d 184 (D.C. Cir. 2009) ("Morris Appellate Opinion"); see also, 21 st Century MO&O, 15 FCC Rcd 25,113.
99 See, e.g., Morris Order, 23 FCC Rcd at 3194-96 ¶¶ 34-39; see also, Southern Communications Systems, Inc. Request for Limited Rule Waiver to Comply with PCS Installment Payment for C Block Licenses in the Cleveland, TN BTA, Memorandum Opinion and Order, 15 FCC Rcd 25,103, 25,105-06 ¶ 7 (2000) ("Southern MO&O"), further recon. denied, Second Memorandum Opinion and Order, 16 FCC Rcd 18,357 (2001) ("Southern Second MO&O"); 21st Century MO&O, 15 FCC Rcd at 25,117-18 ¶ 10.
absence of a demonstrated ability and willingness to fulfill the payment obligations associated with the license(s). 100
20. The Commission's long established policy and precedent regarding the installment payment automatic cancellation rule is clear. In offering eligible small businesses the ability to pay their winning auction bids through the installment payment program, the Commission's rules have always explicitly conditioned retention of a license on the full and timely payment of each installment. 101 The rules state that failure to do so results in the automatic cancellation of the license. 102 The rules provide for this consequence because compliance with the Commission's payment rules is critical to realizing the public interest objectives of section 309(j) of the Communications Act. 103 The Commission presumes that the entity that bids the most for a license in an auction is the entity that places the highest value on the use of the spectrum and is best able to put the licenses to use for the benefit of the public. 104 Entities demonstrate that they value spectrum licenses more highly than others do by paying the full amounts bid for those licenses. 105 Thus, requiring licensees to demonstrate their continuing ability to pay as a condition of holding a license is essential to an efficient licensing process that is fair to all auction participants, both those who win licenses and those who do not. 106
21. The Commission has reasoned that the presumption that the auction assigned the license to the party that placed the highest value on the spectrum is lost when licensees paying winning bids in installments fail to pay the principal, related interest, and any late fees in compliance with the Commission's rules. 107 If the Commission were to allow licensees to keep their licenses after they had failed to comply with the Commission's payment rules, it would increase the incentive for bidders to
100 See Morris Order, 23 FCC Rcd at 3197 ¶¶ 40-43.
101 See 47 C.F.R. § 1.2110(d)(4) (1994); see also 60 Fed. Reg. 52,865 (Oct. 11, 1995) (correcting 1994 designated entity regulations of 47 C.F.R. Part 1 to redesignate 47 C.F.R. § 1.2110(b)(4)(x)(D) as 47 C.F.R. § 1.2110(d)).
102 47 C.F.R. § 1.2110(b)(4)(x)(E)(4)(iii) (1994); 60 Fed. Reg. 52,865 (Oct. 11, 1995) (correcting 1994 designated entity regulations of 47 C.F.R. Part 1 to redesignate 47 C.F.R. § 1.2110(b)(4)(x)(E) as 47 C.F.R. § 1.2110(e)); see Part 1 Third Reconsideration of Third Report and Order, 19 FCC Rcd at 2553 ¶ 6. Under the Commission's rules and precedent, once a license automatically cancels, the license term ends, the outstanding debt is accelerated, and the former licensee is no longer eligible to participate in the Commission's installment payment plan. 47 C.F.R. § 1.2110(g)(4)(iv); Morris Order, 23 FCC Rcd at 3190-91 ¶ 26.
103 Morris Order, 23 FCC Rcd at 3194 ¶ 34.
104 See Letter from Margaret Wiener, Chief, Auctions and Spectrum Access Division, Wireless Telecommunications Bureau, to Ronald E. Quirk, Jr., Counsel for Morris Communications, Inc., 20 FCC Rcd 8176, 8179-81 (2005) ("Morris Division Order ") (citing 21st Century MO&O, 15 FCC Rcd at 25,123-24), aff'd, Morris Order, 23 FCC Rcd at 3194 ¶ 34. In the Morris Order, the Commission noted that the Division, in denying Morris's request for waiver, had correctly observed that if the Commission were to exercise much flexibility in relieving bidders from their bid obligations, the bid would cease to operate as an effective proxy for identifying those who value the spectrum the most, thereby undermining the presumption that the high bidder is best able to put the spectrum to efficient and effective use for the benefit of the public. Morris Order, 23 FCC Rcd at 3194 n.106.
105 Satellite Signals of New England, Inc., Request for Waiver of Installment Payment Rules for Auction No. 6 and Reinstatement of Licenses, Order, 22 FCC Rcd 1937, 1944-45 ¶ 14 (WTB 2007) ("Satellite Signals Order"), recon. dismissed, Satellite Signals of New England, Inc., Petition for Reconsideration and Request for Conditional Waiver of Installment Payment Rules for Auction No. 6, Memorandum Opinion and Order, 24 FCC Rcd 10,919 (WTB 2009).
106 Morris Division Order, 20 FCC Rcd at 8179-81 (citing 21st Century MO&O, 15 FCC Rcd at 25,123-24), aff'd, Morris Order, 23 FCC Rcd at 3194 ¶ 34.
107 See, e.g., 21 st Century MO&O, 15 FCC Rcd at 25,123-24 ¶ 22; see also, Morris Order, 23 FCC Rcd at 3194 ¶ 34, aff'd, Morris Appellate Opinion, 566 F.3d 184.
make bids they could not pay and reduce opportunities for other bidders to win licenses. 108 By increasing the likelihood that winning bidders will be entities that are able to pay their bids and provide service to the public, the Commission furthers economic opportunity and competition in the marketplace. 109 In this manner, strict enforcement of the installment payment rules preserves a fair and efficient licensing process and promotes the rapid deployment of services for the benefit of the public. 110 Indeed, where initial licenses are assigned based on competitive bidding, strict enforcement of payment rules serves the public interest whether the licensee acquired the license directly through competitive bidding or through assignment in the secondary market, and whether the license was subject to the installment payment program or not. 111
22. The Commission's policy of strict enforcement of the automatic cancellation rule does not, however, preclude the grant of a waiver. Indeed, the Commission has waived the automatic cancellation rule in several cases where the facts and circumstances have indicated that the public interest would be served by preserving the license assignment, despite a missed payment deadline. 112 In each such case, however, the Commission has granted the waiver only after finding that there was no serious question regarding the defaulting licensee's ongoing ability and willingness to fulfill its payment obligations despite its default and, therefore, no question regarding the presumption that it remained best suited to utilize the spectrum. 113 In contrast, where a defaulting licensee has not promptly paid its debt in full after acceleration or made continuing post-default payments with an unconditional promise to pay its accelerated debt in accord with the Commission's payment terms, the Commission has consistently
108 See, e.g., Duluth PCS, Inc. and St. Joseph PCS, Inc., Request for Partial Waiver of the Section 1.2110(g) of the Commission's Rules, Order, 19 FCC Rcd 7137, 7139-40 ¶ 5 (WTB/ASAD 2004) ("Duluth PCS Order").
109 See, e.g., 21 st Century MO&O, 15 FCC Rcd at 25123-24 ¶ 22.
110 See 21st Century MO&O, 15 FCC Rcd at 25123-24 ¶ 22; Morris Order, 23 FCC Rcd at 3194 ¶ 34; Morris Appellate Opinion, 566 F.3d at 191 n.6.
111 We disagree with GLH's suggestion that denial of a waiver is less warranted where the defaulter acquired its license through assignment, or that, given the cessation of the installment loan program, strict adherence to the Commission's payment deadlines is no longer necessary. See GLH AFR at 4, 10-11. Instead, we endorse the Bureau's conclusion that it is important to the integrity of the auctions program for an assignee that has assumed an installment debt to fully and timely pay the amount of the winning bids. See GLH Order on Reconsideration, 22 FCC Rcd at 2417 ¶ 15. As the Commission has said in refusing to waive other post-auction payment deadlines, the Commission associates strict enforcement of its payment deadlines with preservation of "the integrity of the auction and licensing process by ensuring that applicants have the necessary financial qualifications." See Mountain Solutions Ltd., Inc. v. FCC, 197 F.3d 512, 522 (D.C. Cir. 1999) (quoting from Part 1 of the Commission's Rules – Competitive Bidding Proceeding, WT Docket No. 97-82, Order, Memorandum Opinion and Order and Notice of Proposed Rule Making, 12 FCC Rcd 5686, 5720-21 ¶ 61 (1997) ("Part 1 Order-MO&O-NPRM"), and affirming the Commission's strict enforcement of its post-auction down payment deadlines and the denial of a request for waiver); see also Delta Radio, Inc. v. FCC, 387 F.3d 897, 901 (D.C. Cir. 2004) (upholding the Commission's strict enforcement of its post-auction final payment deadline).
112 See, e.g., Leaco Rural Telephone Cooperative, Inc. Request for Waiver and Reinstatement of Broadband Radio Service Authorization for the Hobbs, New Mexico Basic Trading Area, MDB191, Order, 21 FCC Rcd 1182 (WTB 2006) ("Leaco Order"); Advanced Communications Solutions, Inc. Request for Waiver of Section 1.2110(g)(4)(iv) and Reinstatement of 900 MHz Specialized Mobile Radio Licenses, Order, 21 FCC Rcd 1627 (WTB 2006) ("Advanced Order").
113 See, e.g., Advanced Order, 21 FCC Rcd at 1632 ¶¶ 11, 12, 1633 ¶ 14; Leaco Order, 21 FCC Rcd at 1185-87 ¶¶ 10-12. See also Big Sky Wireless Partnership, Request for Waiver and Reinstatement of Broadband Radio Service Authorization for the Butte, Montana Basic Trading Area, MDB064, Order, 21 FCC Rcd 10,066, 10,070-71 ¶¶ 11-12, 10,072 ¶ 14 (WTB 2006) ("Big Sky Order").
denied requests for waiver of the automatic cancellation rule based on the licensee's failure to demonstrate its ability and willingness to pay. 114
23. The Commission's strict application of the automatic cancellation rule and the showing necessary to justify a waiver of the rule are therefore well established. 115 In the instant matters, however, the Parties are all similarly situated to defaulters that have previously been denied waivers of the automatic cancellation rule. In all of the cases we examine in this order, the very circumstances asserted by the Parties to justify their requests for waiver raise serious doubts about whether, despite their defaults, the Parties had the ongoing financial ability and willingness to fulfill their payment obligations, a fundamental requirement necessary to retain the presumption that they were best suited to utilize the spectrum. None of the Parties asserts circumstances that, considered individually or together, overcome those doubts and justify waiver. Accordingly, as discussed in greater detail below, the Parties do not demonstrate either (1) that the underlying purpose of the automatic cancellation rule would be frustrated by its application and grant of a waiver would be in the public interest, or (2) that unique circumstances render application of the automatic cancellation rule inequitable, burdensome, or contrary to the public interest.
24. We therefore find that the Bureau and the Division correctly applied the Commission rules, precedents and policies and did not commit error in denying installment payment waiver requests based upon (1) claims of temporary financial difficulties; (2) a licensee's past payment history; (3) a promise, or an alleged ability, to provide service to the public; (4) the existence of a potential assignee to assume or satisfy the debt; (5) a licensee's unfulfilled promises to pay installment debt obligations in full; and (6) allegations of payment notice errors or lack of notice.
1. The Financial Circumstances of Each of the Parties Do Not Justify Waiver of the Automatic Cancellation Rule
25. All of the Parties claim that the Bureau or the Division erroneously concluded that their financial circumstances raise serious questions about their ongoing ability and willingness to fulfill their payment obligations and, therefore, unjustifiably denied their requests for waivers of the automatic cancellation rule. 116 We note at the outset that the decisions of the Bureau and the Division relied upon the facts the Parties raised regarding their financial circumstances in the record below, and we address the
114 Morris Order, 23 FCC Rcd at 3194-3195 ¶ 35 (citing, e.g., 21st Century MO&O, Lancaster Order, and Satellite Signals Order).
115 See, e.g., 21 st Century Telesis Joint Venture v. FCC, 318 F.3d 192 (D.C. Cir. 2003) (affirming the Commission's automatic cancellation of a license for an installment payment default); Southeast Telephone, Inc. v. FCC, No. 991164, 1999 WL 1215855 (D.C. Cir. Nov. 24, 1999) (rejecting challenge to Non-Delinquency Orders); Southeast Telephone, Inc. v. United States, No. 99-5019, 1999 WL 993956 (6th Cir. Oct. 20, 1999); accord P&R Temmer v. FCC, 743 F.2d 918, 928 (D.C. Cir. 1984) (upholding automatic cancellation of FCC license for licensee's failure to comply with license condition). See generally Turro v. FCC, 859 F.2d 1498, 1500 (D.C. Cir. 1988) ("[S]trict adherence to a general rule may be justified by the gain in certainty and administrative ease, even if it appears to result in some hardship in individual cases.").
116 See, e.g., Alpine Petition at 3 (arguing that Alpine's need for "temporary waiver" was based on financial circumstances beyond its control); CommNet Petition at 1 (arguing that the Bureau failed to take into account its offer to pay off the amount due); GLH AFR at 12 (arguing that GLH had demonstrated its capacity to pay, but just needed additional time); Inforum Petition at 7 (stating that its continuing payments through October 2003, two years after default, proved financial capability and commitment to retaining the license); Lancaster Petition at 5-6 (arguing that the Bureau's decision erroneously discredits Lancaster's financial qualifications); Leeds AFR at 9 (arguing that his need for deferment of payments was reasonable); TVCN AFR at 2, 8-9 (arguing that financial difficulties do not mean TVCN was not financially able to pay installments and that the provision of service despite operating losses provided evidence of its financial ability); and Virginia Petition at 9 (arguing that temporary delay in payments does not support the conclusion that it lacked ability to make installment payments).
same facts in reaching our decision today. 117 We find that the Bureau and Division did not err in evaluating the Parties' own statements and actions as evidence of their financial circumstances and correctly decided that, in light of the Parties' failure to demonstrate the ongoing ability and willingness to fulfill their financial obligations despite their defaults, waivers would undermine the underlying purpose of the automatic cancellation rule. We also find that the Bureau and Division did not overlook any unique financial circumstances or arguments that would have rendered application of the automatic cancellation rule inequitable, burdensome, or contrary to the public interest and justified grant of any of the requested waivers.
26. In explaining the facts leading up to their missed payments and their need for waiver, Alpine, GLH, Inforum, Lancaster, Leeds, TVCN, and Virginia each describe negative or worsening financial circumstances resulting from various alleged causes outside of their control, including the sudden loss of financing or revenue due to the actions of a third party or other business set backs. 118 Alpine, GLH, Leeds, TVCN, and Virginia also argue that their inability to obtain a waiver or other relief from the Commission promptly after they had requested it caused or exacerbated their financial difficulties. 119 Alpine, CommNet, Leeds, and TVCN state that poor economic conditions in the industry contributed to their own financial difficulties and hindered their ability to meet their payment obligations. 120 TVCN also asserts that its financial difficulties were further complicated by the events of
117 See, e.g., Alpine Order, 22 FCC Rcd at 1497-98 ¶ 14; Alpine Petition at 10, 27 (describing financial distress based on unexpected loss of financing); CommNet Order, 22 FCC Rcd at 8620-21 ¶ 17; CommNet Petition, Decl. of Marjorie Conner (noting that in January 2006, eighteen months after its default, "CommNet's financial situation had changed for the better"); GLH Order on Reconsideration, 22 FCC Rcd at 2418 ¶ 18; GLH AFR at 4-5 (explaining that GLH was "unable" to pay due to unexpected loss of financing); Inforum Order, 19 FCC Rcd at 86-87 ¶ 10; Inforum Petition at 2-3 (stating that the "crippling financial burden" of litigation left it unable to implement business plan with licenses); Lancaster Order, 22 FCC Rcd at 2444 ¶ 16; Lancaster Petition at 2 (describing financial difficulties resulting from the health problems of principal owner); Leeds Order, 22 FCC Rcd at 1511 ¶ 5; Leeds AFR at 12-13 (stating that based on a number of events the "economics of the auction deal" changed); TVCN Order, 22 FCC Rcd at 1404 ¶ 13; TVCN AFR at 8, 10, 14 (attributing its failure to make installment payments to a loss of financing, delay in finding new financing following September 11, 2001, and financial difficulties in the industry); Virginia Order, 22 FCC Rcd at 1391 ¶ 10, 1393 ¶ 15; Virginia Petition at 4-5 (describing a "short-term setback" based on breach by third-party of contract, which led to loss of revenue, missed payments, and the submission of proposal for repayment on "modified schedule").
118 Alpine Petition at 8-10 (stating that after the sudden termination of its financing, Alpine unsuccessfully attempted to find alternative financing); GLH AFR at 3-5 (explaining that GLH acquired the subject license subject to the obligation of the assignor, Leap, to pay GLH the monies necessary for GLH to make the installment payments, but that Leap suffered unexpected financial difficulties resulting in GLH's default on its debt); Inforum Petition at 2-7 (stating that based upon the "crippling financial burdens" of litigation and the loss of key personnel, it had recognized that it could not implement its business plan for the licenses and had agreed to assign them, but that it had defaulted prior to assignment because of the confusion and unavailability of officers at payment deadline); Lancaster Petition at 2 (stating that Lancaster had some financial difficulties resulting from the health-related problems of its owner); Leeds AFR at 5, 9, 12-14 (stating that that because of alleged Commission inaction on other license applications, he had not been awarded licenses that were "critical" for his plan, and that he had suffered a "loss in value" and needed a waiver so that he would have "more time to finance the auction debt"); TVCN AFR at 10 (stating that its prior financing commitment had became "doubtful"); and Virginia Petition at 4 (stating that it had lost financing from a third party).
119 See Alpine Petition at 2, 13-16, 25-27, 29-31 (citing Commission's failure to compromise Alpine's debt despite its financial distress); GLH AFR at 5-6 (citing loss caused by Commission's failure to grant temporary relief); Leeds AFR at 5-9, 12-14 (stating that its inability to obtain through Commission litigation other licenses critical to its business plan caused loss in value and "changed the economics of the auction deal"); TVCN AFR at 14, 18-19 (citing denial of waiver despite industry financial difficulties); Virginia Petition at 9 (claiming financial difficulties were caused or exacerbated by debt acceleration under Commission rules).
120 Alpine Petition at 3, 10-11 ("widespread depression" in the telecommunications industry in 2001-2002 was among the factors leading to Alpine's default); CommNet Order, 22 FCC Rcd at 8615-16 ¶¶ 7, 9 (noting that (continued….)
September 11, 2001. 121 Each of the Parties also contends that its circumstances created the need for only a "temporary" waiver of the installment payment rule to allow for additional time to make its payments. 122
27. With respect to the first prong of the waiver standard, the Commission and staff have consistently emphasized that the ability to comply with the installment payment rules is critical to realizing the public interest objectives of section 309(j) of the Communications Act. 123 The Commission recently cited its earlier conclusion that "'grant of a waiver based upon financial distress would undermine the purpose of the rule,'" because the "'[t]he installment payment rules are meant to preserve the reliability and integrity of the auction and licensing process by ensuring that the applicants have the necessary financial qualifications, thereby maintaining the goal of awarding licenses to the parties who most value the spectrum and providing expeditious service to the public. . . . '" 124 Accordingly, where the financial circumstances of a party seeking waiver of the automatic cancellation rule provide evidence that calls into question its ongoing financial ability and willingness to fulfill its payment obligations, grant of the waiver would frustrate the rule's underlying purpose and the first prong of the waiver standard is not satisfied.
28. Thus, the Commission has granted waivers of the automatic cancellation rule only where the defaulting parties affirmatively demonstrate that they have the ongoing ability and willingness to fulfill their payment obligation by, for instance, promptly paying the accelerated debt in full or by making continuing post-default payments with an unconditional promise to pay their accelerated debt in accord with the Commission's payment terms. 125 Indeed, Commission and staff decisions have consistently
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CommNet cited a "downturn in economic conditions" and an employee's departure "due to economic circumstances" as a basis for its 2001 waiver request for a one year suspension of its obligation to make its installment payments and its 2004 request for waiver and reinstatement); Leeds AFR at 16 (stating that "wireless cable businesses began to fail . . . and MDS spectrum became virtually worthless"); TVCN AFR at 8 (explaining that the Commission should not be surprised by TVCN's financial difficulties given the state of the wireless cable television industry).
121 TVCN AFR at 10. TVCN explains that, by May 2001, a $300 million financing commitment TVCN had received appeared to have fallen through and that, following September 11, 2001, another possible source of funding was "put on hold." Id.
122 See Alpine Petition at 3, 12-13 (arguing that Alpine needed "temporary," not permanent, waiver of the automatic cancellation rules and sought debt relief or restructuring from the Commission); CommNet Petition at 1-2, Decl. of Marjorie Conner (asserting that an offer had been made to pay off the debt, and, as counsel she had reiterated that offer to staff, in light of CommNet's improved financial situation); GLH AFR at 3, 5 (stating it needed "temporary debt relief" and seeking an additional two years to pay); Inforum Petition at 2-3, 6-7, 10 (noting that it sought to assign license because of inability to implement business plan based on financial circumstances, but needed waiver after making payment two days after default because of confusion and absence of key personnel); Lancaster Petition at 2 (arguing that it had sought a very brief extension of time to make its installment payment); Leeds AFR at 3, 1314 (arguing for a "minor waiver with regard to the timing of his filing" and that he needed "more time" to finance the debt); TVCN AFR at 3, 10 (requesting a "[t]emporary [w]aiver" for six-month suspension of installment payments); Virginia Petition at 4, 9 (discussing its need to obtain an extension of "just a few months" until loan funds became available).
123
47 U.S.C. § 309(j);
see,e. g.,Morris Order, 23 FCC Rcd at 3194 ¶ 34.
124 Morris Order, 23 FCC Rcd at 3194-95 ¶ 35 n.108 (quoting Southern MO&O, 15 FCC Rcd at 25,107 ¶ 8 n.29).
125 Advanced Order, 21 FCC Rcd at 1633 ¶ 14, 1634 ¶ 19; Big Sky Order, 21 FCC Rcd at 10,072 ¶ 14; Leaco Order, 21 FCC Rcd at 1185-86 ¶ 10. We emphasize that despite our well established practice of accepting post-default payments towards a defaulter's outstanding debt obligation as well as the weight afforded to such payments in considering the grant of a waiver of the automatic cancellation rule, each of the Parties here ceased making any such payments towards their outstanding accelerated debt. See Lakeland PCS LLC and Cricket Licensee (Lakeland) for Assignment of PCS License for Station KNLG741, Second Order on Reconsideration, 15 FCC Rcd 23,733, 23,735 n.11 (WTB/CWD 2000) ("Lakeland Order") (noting that, since the licensee remains obligated for the full amount of (continued….)
refused to waive the automatic cancellation rule where a party failed to comply with the installment payment rule and raised doubts regarding its ability and willingness to meet the outstanding payment obligations associated with its licenses on a prospective basis. 126
29. Here, the financial circumstances of each of the Parties demonstrate that none have met the first prong of our waiver standard. First, none of the Parties promptly paid their outstanding accelerated debt in full or made consistent ongoing payments subsequent to default with an unconditional promise to pay their accelerated debt in accord with the Commission's payment terms. 127 These circumstances raise questions as to their ongoing financial ability and willingness to fulfill their payment obligations post-default, and the Commission has never granted a waiver of the automatic cancellation rule where a party has ceased making post-default payments towards its outstanding debt obligation. 128 Second, in the requests before us, each of the Parties has sought to repay its outstanding debt on its own terms, not on the terms to which it agreed when it acquired the licenses. 129 Requests for alternative
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the debt when the license automatically cancels, mere acceptance of a post-default payment, by itself, would not constitute a constructive waiver).
126 See Morris Order, 23 FCC Rcd at 3196 ¶ 39. See also, 21st Century MO&O, 15 FCC Rcd at 25,126 ¶ 27; Southern MO&O, 15 FCC Rcd at 25,110-11 ¶ 15; Requests for Extension of the Commission's Initial NonDelinquency Period for C and F Block Installment Payments, Memorandum Opinion and Order, 14 FCC Rcd 6080, 6080-84 ¶¶ 1-7 (1999), aff'd, SouthEast Telephone v. FCC, No. 99-1164, 1999 WL 1214855 (D.C. Cir. Nov. 24, 1999); Letter from Margaret W. Wiener, Chief, Auctions and Industry Analysis Division, Wireless Telecommunications Bureau to Jorge J. Inga, M.D., and Rafael Blanco, M.D., Pan American Interactive Corporation, 18 FCC Rcd 15,314 (WTB/AIAD 2003) ("Pan American Interactive Letter"); Letter from Margaret Wiener, Chief, Auctions and Industry Analysis Division, Wireless Telecommunications Bureau to Messrs. Stephen Diaz Gavin and Paul C. Besozzi, Counsel for U.S. Telemetry Corporation, 17 FCC Rcd 6442, 6446-47 (WTB/AIAD 2002) ("US Telemetry Letter").
127 Alpine Petition at 23; Alpine Order, 22 FCC Rcd at 1495 ¶ 8 (stating that Alpine had failed to make its payment due in January 2002); see CommNet Petition at 1-2 (arguing that since June 2004 it has offered to pay its outstanding debt "to settle this matter" but has been waiting for instructions "responsive to the Company's offer to pay . . . pursuant to a settlement"); GLH AFR at 18 (acknowledging that it still has not paid the amounts initially due in January 2003); Inforum Petition at 7 & n.11 (admitting that it has not made a post default payment since October 2003 and stating that it awaits waiver relief or instructions); Lancaster Petition at 7 (conceding that Lancaster owes over $900,000); Lancaster Order, 22 FCC Rcd at 2442 ¶ 9 n.35 (stating that Lancaster made no payment toward its debt after March 2004); Leeds AFR at 16 (conceding that Leeds has not made any installment payments since his deferral request in 1997, arguing that "it would be foolhardy" to do so); TVCN AFR at 13; TVCN Order, 22 FCC Rcd at 1401-02 ¶¶ 7, 8 (explaining that TVCN failed to make its August 2001 payment within two quarters, and stating that TVCN has made no payment towards its debt obligation for any of the subject licenses since May 2001); Virginia Petition at 4; Virginia Order, 22 FCC Rcd at 1390 ¶ 8 (explaining that Virginia missed its payments due on February 28, 2002, and did not make such payments by September 3, 2002, the end of the two quarterly grace periods).
128 Morris Order, 23 FCC Rcd at 3196 ¶ 39 (explaining that Morris neither paid its accelerated debt in full nor made an unconditional promise to pay its debt on the Commission's payment terms, seeking instead to pay in accordance with its own payment terms, something the Commission had never allowed in granting waivers of the automatic cancellation rule).
129 Alpine Petition at 32 (seeking renegotiation of its debt obligations); CommNet Petition at 2 (stating that it can and will pay the full amount of its debt pursuant to a "reasonable settlement" with the Bureau); GLH AFR at 5 (requesting two years to make payment); Inforum Petition at 7, n.11 (explaining that it has ceased paying its installment debt and will resume such payment only upon a grant of its waiver request); Lancaster Petition at 2 (explaining that Lancaster did not seek a compromise or reduction of its debt but only an "additional interval" to remit its installment payments). But see In the Matter of Lancaster Communications, Inc., Petition for Reconsideration, filed August 6, 2004 (seeking an unspecified amount of additional time to render its installment payments so it could assign the licenses to a prospective purchaser); Leeds AFR at 10 (arguing that he seeks a deferral, not an adjustment, to his debt obligations), but see Leeds AFR at 2-3 (arguing that the Bureau did not (continued….)
payment schedules also raise doubts about an entity's ongoing ability and willingness to fulfill its payment obligations after default, and therefore the Commission has never granted a waiver of the automatic cancellation rule to a party seeking to repay its outstanding debt on its own terms. 130 Moreover, as detailed above, each of the Parties has made statements in the record that acknowledge significant financial difficulties. 131 All of these factors raise doubts that the Parties possessed the ongoing ability and willingness to fulfill their financial obligations and conflict with the presumption that they remain best suited to utilize the spectrum license(s). None of the other circumstances alleged by the parties overcome those doubts or independently demonstrate an ongoing ability and willingness to honor their financial obligations in accordance with the Commission's rules.
30. Further, the assertion that a party requests only "temporary" relief from a payment deadline is not compelling. 132 Claims of even temporary financial difficulties do not justify waiver of the installment payment rules under section 1.925. 133 Because the Parties have all failed to promptly pay their debt in full, and have not made consistent post-default payments with an unconditional promise to pay their debt in accord with the Commission's payment terms, their actions belie the alleged temporary nature of the relief sought and lend support to the staff determinations that the Parties have not overcome the loss of the presumption that they were best suited to utilize the spectrum. 134 The Commission has held that its installment payment program provides licensees with a substantial amount of time in which to pursue private market solutions to financial problems. 135 Moreover, the Commission has repeatedly observed that "[n]o matter what deadline we establish, it is inevitable that some licensees will seek more
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properly weigh his request for an adjustment of his auction obligation); TVCN AFR at 3, 16-17 (seeking either temporary waiver of six months or a conditional temporary waiver of two months to pay off its outstanding debt);
Virginia Petition at 10 (seeking the ability to resume its installment payments or restructure its debt without automatic cancellation of the licenses).
130 Morris Order, 23 FCC Rcd at 3196 ¶ 39 (noting that an offer to pay on terms different from the Commission's does not justify waiver of the automatic cancellation rule).
131 See supra para. 25 and accompanying notes. Further, we find no merit to the claims by CommNet and Inforum that they were awaiting feedback from the Commission regarding how to pay their outstanding debt obligations. See CommNet Petition at 2 n.1; Inforum Petition at 7 n.11. It is well established that upon automatic cancellation, the former licensee owes the full amount of its outstanding installment debt, and for that reason the Commission accepts post-default payments offered to it by installment defaulters. See Lakeland Order, 15 FCC Rcd at 23,735 n.11 (noting that, since the licensee remains obligated for the full amount of the debt when the license automatically cancels, mere acceptance of a post-default payment, by itself, would not constitute a constructive waiver).
132 We note that waiver of a specific installment payment deadline, if granted, would actually be permanent with respect to that deadline, rather than temporary. A party's distinction between temporary and permanent waiver seems more appropriately applied to a request for waiver of the payment obligation itself, rather than the payment deadline.
133 See Morris Order, 23 FCC Rcd at 3194-95 ¶ 36 (party requesting waiver asserted financial difficulties based on economic conditions that limited its resources available for paying installments and constructing stations and sought to defer making any payments for one year).
134 See, e.g., 21 st Century, MO&O, 15 FCC Rcd 25,123-24 ¶ 22. See also Alpine Order, 22 FCC Rcd at 1497-98 ¶ 14 (finding that, when licensees that are paying winning bids in installments fail to pay the principal and related interest in compliance with the Commission's rules, the presumption that the auction assigned the license to the party that placed the highest value on the spectrum is lost).
135 Southern MO&O, 15 FCC Rcd at 25,110-11 ¶ 15 (referring to the two consecutive 90-day automatic grace periods then available to installment payors); see Letter from Margaret Wiener, Chief, Auctions and Industry Analysis Division, Wireless Telecommunications Bureau to Mr. John Jung, Jung on Jung, 18 FCC Rcd 14,427, 14,430 (WTB/AIAD 2003) ("Jung on Jung Letter"); see also US Telemetry Letter, 17 FCC Rcd at 6446; Part 1 Third Report and Order, 13 FCC Rcd at 439-40 ¶ 110 (discussing rules providing time to pursue market solutions and consistency of rules with standard commercial practice).
time to pay." 136 When a party requests additional time to fulfill its payment obligations, it raises serious doubts about its ability and willingness to continue to meet its financial obligations as a Commission licensee. Commission precedent therefore required the Bureau and the Division to consider the Parties' financial circumstances, and we find no indication that staff misconstrued any of the available facts in determining that the Parties had not met our waiver standard. 137
31. The staff, therefore, correctly decided that waiver of the automatic cancellation rule was not justified under the first prong of the waiver standard. Granting the requests before us, despite evidence of the parties' financial difficulties, would contradict long standing precedent. Also, as the Commission has previously explained, it would only encourage auction participants to overbid for licenses with the expectation that they would be provided relief, if needed, from their payment obligations, an outcome that would undermine the purpose of the automatic cancellation rule. 138
32. With respect to the second prong of the waiver standard, we also find that the staff decisions correctly determined that none of the Parties had demonstrated unique financial circumstances that entitled them to a waiver of the automatic cancellation rule. All businesses face potential risks and unexpected challenges, ranging from those affecting an individual business, such as a personnel matter, to those affecting an industry or, indeed, the entire nation, such as an economic downturn. With regard to challenges affecting an individual licensee, the Commission has concluded that claims regarding financial difficulties resulting from a licensee's business decisions and commercial dealings, including those in which a third party has withdrawn its financial support, do not amount to unique facts or circumstances that make application of the automatic cancellation rule inequitable, burdensome, or contrary to the public interest. 139 The Commission has also stated that it "cannot take into account the private business arrangements that an applicant has made to finance its successful [auction] bid" 140 and that an unanticipated lack of financing is not a special circumstance warranting a deviation from the Commission's installment payment rules. 141 With regard to industry-wide or national challenges, the Commission has explained that all licensees face potential fluctuations in the marketplace and that
136 See Requests for Extension of the Commission's Initial Non-Delinquency Period for C and F Block Installment Payments, Order, 13 FCC Rcd 22,071, 22,072-73 ¶ 4 (1998) ("C and F Block Installment Payment Order"), recon. denied, 14 FCC Rcd 6080 (1999), aff'd., SouthEast Telephone v. FCC, No. 99-1164, 1999 WL 1215855 (D.C. Cir. Nov. 24, 1999), (quoting Amendment of the Commission's Rules Regarding Installment Payment Financing for Personal Communications Services (PCS) Licenses, WT Docket No. 97-82, Order on Reconsideration of the Second Report and Order, 13 FCC Rcd 8345, 8354 ¶ 24 (1998)). See also Southern MO&O, 15 FCC Rcd at 25,110-11 ¶ 15; GLH Order on Reconsideration, 22 FCC Rcd at 2418 ¶ 19.
137 Morris Order, 23 FCC Rcd at 3196 ¶¶ 37-39 (explaining that it was appropriate for Commission's delegated authority to consider the petitioner's request for additional time in denying a request for waiver of the automatic cancellation rule).
138 Alpine Order, 22 FCC Rcd at 1497 ¶ 13.
139 See, e.g., Southern MO&O, 15 FCC Rcd at 25,107-08 ¶ 10 (finding that a failure to appropriately manage business arrangements does not justify waiver of the automatic cancellation rule); BDPCS MO&O, 15 FCC Rcd at 17,604-07 ¶¶ 27-30 (finding that loss of expected source of funding cannot justify waiver of the Commission's rules and that Commission is not required to "police the private business activities of each bidder").
140 See, e.g., BDPCS MO&O, 15 FCC Rcd at 17,606-07 ¶ 30 (citing BDPCS, Inc., Emergency Petition for Waiver of Section 24.711(a)(2) of the Commission's Rules, Memorandum Opinion and Order, 12 FCC Rcd 3230 (1997)).
141 See, e.g., U.S. Telemetry Letter, 17 FCC Rcd at 6447 (licensee is responsible for the consequences that flow from its business decision); C and F Block Installment Payment Order, 13 FCC Rcd at 22,072-73 ¶ 4 ("The challenge of raising capital to finance . . . licenses exists in varying degrees for all licensees and does not constitute 'unique facts and circumstances.'"). See, generally, supra n.139.
therefore a widespread economic downturn is, by its very nature, not a unique circumstance that would provide grounds for waiving the installment payment rules. 142
33. Thus, each of the Parties knew or should have known that the consequence of failing to comply with the Commission's installment payment rules was automatic cancellation and that waiver of the Commission's rules was an extraordinary remedy. We therefore reject the arguments of Alpine, GLH, Leeds, TVCN, and Virginia to the extent that they claim that their inability to obtain a waiver or other relief from the Commission promptly after they requested it caused or exacerbated their financial difficulties and provided evidence of unique circumstances sufficient to support a request for waiver. 143 The Parties, not the Commission, are responsible for their private business plans and decisions affecting their financing and ability to meet their payment obligations. As the Commission has previously explained, the timing of the Commission's response to a regulatory request does not provide a basis upon which to waive our payment rules. 144
2. Past History of Making Installment Payments Does Not Justify Waiver of the Automatic Cancellation Rule
34. In support of their requests for reversal of the underlying orders, Alpine, GLH, Inforum, Lancaster, Leeds, and TVCN argue that the Bureau and Division erred in failing to recognize their prior installment payment history as grounds for waiver. They assert that strict enforcement of the automatic cancellation rule despite such payments was inequitable and contrary to our statutory public interest objectives. 145
142 See, e.g., Pan American Interactive Letter, 18 FCC Rcd at 15,317-18; Jung on Jung Letter, 18 FCC Rcd at 14,430-31; US Telemetry Letter, 17 FCC Rcd at 6447.
143 See Alpine Petition at 13-16, 25-27 (citing Commission's failure to compromise Alpine's debt despite its financial distress should provide grounds for a waiver); GLH AFR at 5-6 (citing loss caused by Commission's failure to grant temporary relief); Leeds AFR at 5-9, 12-14 (stating that its inability to obtain through Commission litigation other licenses critical to its business plan caused loss in value and "changed the economics"); TVCN AFR at 14, 18 (citing denial of waiver despite industry financial difficulties); Virginia Petition at 9 (claiming that its financial difficulties in rendering timely payment were caused or exacerbated by debt acceleration under Commission rules). While TVCN argues that but for the events of September 11, 2001, it would have obtained its funding (TVCN AFR at 10), we note that the Bureau and Division have previously and, we believe, appropriately refused to accept as a sufficient basis for waiving the installment payment rules general claims of economic hardship related to September 11, 2001. See Rapid Wireless Ltd., Order, 22 FCC Rcd 1410, 1414 ¶ 9, 1416-17 ¶ 14 (WTB 2007); Jung on Jung Letter, 18 FCC Rcd at 14,428-32; see also Delta Radio, Inc. v. FCC, 387 F.3d 897, 903 (D.C. Cir. 2004) (upholding the Commission's denial of a request to waive a final payment deadline):
Neither is the unpredictable nature of the September 11 attacks an excuse: Delta does not claim that it had secured financing and then lost it as a direct result of the attacks, but blames the general market downturn for its inability to pay. All bidders must take market volatility into account; Delta apparently failed to do so. Entering the auction unprepared to pay on schedule is precisely the kind of conduct the FCC rules are designed to deter.
144 US Telemetry Letter, 17 FCC Rcd at 6447 (explaining that the time taken by the Commission to process an assignment application does not change or affect the licensee's payment obligations); see infra paras. 72-76 (illustrating why Alpine's allegation of Commission delay in resolving Alpine's waiver request fails to justify granting that request).
145 Alpine Petition at 3, 19 (contending that Alpine had already paid $13 million in payments to the Commission); GLH AFR at 5, 13 (contending that because of GLH's and the prior licensee's seven year record of timely payment, GLH should have been granted a waiver of the automatic cancellation deadline); Inforum Petition at 7 (arguing that it wire transferred the amount owed two days after the automatic cancellation deadline and rendered nine additional payments through October 31, 2003, as proof of its commitment to retaining the Sarasota BTA authorization); Lancaster Petition at 6 (arguing that the Bureau failed to consider the more than $1,000,000 in payments Lancaster had made during the first seven years of the license term); Leeds AFR at 16 (arguing that a waiver of the automatic (continued….)
35. We find that the staff decisions correctly concluded that, where an entity presents circumstances that raise questions about its ongoing ability and willingness to fulfill its payment obligations after a default, an entity's history of making payments does not overcome those questions or constitute a unique circumstance that would make application of the automatic cancellation rule inequitable or contrary to the public interest. 146 As a threshold matter, we reject any suggestion that an entity's past compliance with our installment payment rules should be considered unique. Where a party has presented facts indicating its financial distress, the Commission has consistently declined to waive the automatic cancellation rule based on claims of a prior timely installment payment history. 147 As explained above, we consider whether the party requesting a waiver has raised doubts about its ongoing ability and willingness to fulfill its payment obligations despite its default in determining whether strict enforcement of the automatic cancellation rule serves the underlying purpose of ensuring an efficient and fair auction and licensing process. We agree that a licensee's course of conduct, including its payment history, can be relevant to determining whether it is willing and able to fulfill its payment obligations in a timely manner on an ongoing basis. 148 Here, however, the past payment history of each of these Parties does not overcome substantial evidence of their inability or unwillingness to honor their ongoing financial obligations despite their defaults. Thus, where a party concedes that it has experienced financial difficulties and has stopped making full and timely installment payments, and states that it can only fulfill its payment obligations if another party acquires the license or under alternative terms and conditions, as each of these six Parties has argued here, 149 such circumstances raise doubts about the party's ongoing ability and willingness to meet its financial obligations that outweigh assertions based on prior installment
(Continued from previous page) cancellation deadline was warranted given the facts and would allow him to receive the benefit of the down payments and the initial installment payment he had made toward the licenses in the amount of $288,000 in 1996); TVCN AFR at 15 (maintaining that the staff's denial of TVCN's request for waiver did not take into account the "balance of the equities," including timely payments of $1,200,000).
146 We note that five of the Parties argue that both their past payment history and their provision of service justify waiver. See Alpine Petition at 19 (arguing that the FCC fails to explain why Alpine's past payments of over $13 million in debt payments and construction of networks does not warrant grant of a waiver); GLH AFR at 2,5, 11-12 (explaining that the licenses had been constructed and there was a past record of timely payments, and arguing that this served the underlying purposes of the Commission's payment rules); Lancaster Petition at 5-6 (maintaining that because Lancaster has met the Commission's substantial service requirements and has a seven year payment history, it is not the type of irresponsible bidder the installment payment rules were intended to protect against); Leeds AFR at 15 (explaining that a waiver was appropriate because he was investing time and money to launch wireless cable systems as evidenced by his efforts to provide service in Lexington and Rockford and his payment of his 20 percent down payment); and TVCN AFR at 8-9, 15, (arguing that in considering its request for waiver, the Commission did not properly consider the construction of its systems and the $1.2 million TVCN has made in debt payments). See also discussion below at Section III.A.3. In light of their financial circumstances, which raise serious questions about the ongoing ability and willingness of each of these parties to fulfill its payment obligations, assertions about payment history and provision of service taken together do not overcome concerns abut the licensee's financial difficulties or justify waiver of the automatic cancellation rule. See Morris Order, 23 FCC Rcd at 3196-97 ¶¶ 39-41 (affirming the denial of a waiver request despite assertions regarding both payment history and provision of service).
147 See, e.g., Morris Order, 23 FCC Rcd at 3197 ¶ 41 (concluding that in the wake of claims of financial distress and in light of a request to pay its debt obligations under alternative terms, Morris provided no evidence of its ability and willingness to pay its winning bids, and none of the other circumstances it alleged overcame those doubts or provided an independent basis upon which to have granted waiver of the automatic cancellation rule).
148 See, e.g., Advanced Order, 21 FCC Rcd at 1632 ¶ 12 (explaining that the fact that Advanced had made payments in accordance with the Commission's rules for approximately eight years and had continued to make regular postdefault payments while its request for waiver was pending diminished the concern that the ability to pay was in question).
149 See supra Section III.A.1.
payment history. Accordingly, the Bureau and the Division did not err in denying the requests for waiver despite these parties' alleged histories of prior payments. 150
3. Provision of Service Does Not Justify Waiver of the Automatic License Cancellation Rule
36. Alpine, GLH, Lancaster, Leeds, TVCN, and Virginia argue that the Bureau or the Division erred by not giving sufficient weight to their arguments regarding provision of service in considering whether to grant a waiver of the automatic cancellation rule. 151 These parties maintain that the underlying purpose of the installment payment rules should be to accelerate service to the public and that a grant of a waiver of the automatic cancellation rule would speed such service, thereby serving the public interest. 152 We find that the staff decisions correctly concluded that, where an entity presents circumstances that raise questions about its ongoing ability and willingness to fulfill its payment obligations, assertions about the provision of service do not outweigh those questions and establish that the underlying purpose of the automatic cancellation rule would be frustrated by its application. Nor do such arguments regarding service constitute unique circumstances that would make application of the automatic cancellation rule inequitable or contrary to the public interest. 153
37. When presented with this issue in the past, the Commission or its staff consistently has determined that, absent demonstration of an ongoing ability and willingness to pay despite a default, arguments regarding the provision of service do not outweigh the public interest in preserving the integrity of the auction and licensing process through strict enforcement of payment deadlines and, therefore, do not justify waiver of the automatic cancellation rule. 154 The Commission recently explained that any interest in a particular licensee's provision of service must be balanced against the broader public interest in preserving the integrity and efficiency of the Commission's auction process, as well as the
150 As the Commission has previously explained in denying a request for waiver, "[t]he fact that Petitioner had previously been complying with the rules and paying towards its debt does not excuse it from making all of its installment payments on a timely basis." 21 st Century MO&O, 15 FCC Rcd at 25,127 ¶ 29.
151 Alpine Petition at 7, 20 (arguing that the Bureau's denial of its waiver violated the statutory requirement of 47 U.S.C. § 309(j)(3) to promote rapid deployment of services); GLH AFR at 2, 5, 11-13 (arguing that the denial of the waiver has led to the loss of service to severely underserved customers and that the Bureau erred in not deeming the capacity to pay to be of lesser importance than actual service to the public); Lancaster Petition at 5-7 (arguing that the Bureau summarily disposed of Lancaster's argument that it should be granted a waiver of the automatic cancellation rule so that its customers would not experience an interruption in service); Leeds AFR at 11 (arguing that, if the Commission had seriously considered his request for waiver and reduction of auction debt, the channels could have been put to immediate use); TVCN AFR at 9, 10-11 (arguing that its provision of service provided evidence of financial ability and served the public interest); and Virginia Petition at 8 (arguing that in light of Virginia's record it constitutes the most feasible vehicle for rolling out service and the denial of its request for waiver therefore frustrates the underlying purpose of the Commission's rules).
152 Alpine Petition at 20; GLH AFR at 11-13; Lancaster Petition at 6; Leeds AFR at 11-12, 15; TVCN AFR at 11 (arguing that uninterrupted service was in the public interest); and Virginia Petition at 10. See also Inforum Letter (advocating that resolution of the Inforum Petition and grant of a waiver will allow the license to be assigned to the Sprint Nextel, which will allow it to provide Sarasota with wireless broadband service).
153 As we noted above, five of the Parties argue that both their past payment history and their provision of service justify waiver. See supra n.146. See also Morris Order, 23 FCC Rcd at 3196-97 ¶¶ 39-41 (affirming the denial of a waiver request despite assertions regarding both payment history and provision of service).
154 The Commission has previously denied requests for extension of payment deadlines notwithstanding the provision of service by licensees. See C and F Block Installment Payment Order, 13 FCC Rcd at 22,071-72 ¶¶ 2-3 and dissenting statement at 22,077 (discussing service provided by two of licensees denied waivers of the installment payment and automatic cancellation rules). See also Southern Second MO&O, 16 FCC Rcd at 18,360-61 ¶ 9; Southern MO&O, 15 FCC Rcd at 25,105-06 ¶ 7; 21 st Century MO&O, 15 FCC Rcd at 25,117-18 ¶ 10, 25,123-24 ¶ 22, 25,126-27 ¶¶ 28-29.
Commission's obligation to fairly and consistently enforce its installment payment rules. 155 In short, we agree with the Bureau's conclusion that an entity must establish its qualifications to be a Commission licensee by demonstrating an ability and willingness to meet its payment obligations for its spectrum license and by providing service to the public. 156
38. Historically, the Commission has also concluded that, even where a licensee was providing service at the time of its waiver request, such service did not constitute unique circumstances that would excuse the licensee from meeting its installment payment deadlines. 157 We therefore conclude that it was appropriate, and indeed necessary, for the Bureau and the Division to deny requests for waiver of the automatic cancellation rule despite statements by six of the Parties regarding their provision of service to the public. Given the evidence of financial difficulty presented by each of these parties, their claims regarding provision of service do not merit waiver of the automatic cancellation rule under either prong of the waiver standard. 158
4. The Existence of a Potential Assignee Does Not Justify Waiver of the Automatic Cancellation Rule
39. Inforum and TVCN each assert that waiver of the installment payment rules is appropriate to allow assignment of the cancelled license(s) to a potential assignee. 159 TVCN specifically maintains that the Commission would receive full payment of the outstanding debt obligation through the assignment of licenses. 160 Lancaster similarly asserts that the person controlling Lancaster at the time of default has died and control of the company has been transferred to a charitable foundation that will make payments. 161 Each of these parties claims that waiver is warranted because the public interest would be served by preserving the licenses for use by another party, despite default and automatic cancellation. 162
155 Morris Order, 23 FCC Rcd at 3199-200 ¶ 49.
156 Lancaster Order, 22 FCC Rcd at 2444 ¶ 16.
157 See Duluth PCS Order, 19 FCC Rcd at 7141-42 ¶¶ 8-9, 11; see also Southern Second MO&O, 16 FCC Rcd at 18,360-61 ¶ 9; 21 st Century MO&O, 15 FCC Rcd at 25,126-27 ¶¶ 28-29.
158 Morris Order, 23 FCC Rcd at 3199-200 ¶ 49.
159 Inforum Petition at 3, 13 (explaining that Inforum was in the process of assigning the licenses to TDI at the time the licenses automatically canceled and arguing that the still-pending assignment application to TDI supports Inforum's request for a constructive waiver); Inforum Order, 19 FCC Rcd at 84 ¶ 3 (citing Inforum's request to receive a constructive waiver so that Inforum could transfer the licenses to TDI); TVCN AFR at 16-17 (explaining that Commission staff met with TVCN and Oneida and that Oneida's president emphasized his company's willingness and readiness to pay off the balance owed to the FCC by TVCN).
160 TVCN Order, 22 FCC Rcd at 1401-02 ¶ 8; see also TVCN AFR at 17 (explaining that Oneida's president emphasized his company's willingness and readiness to pay off the balance owed to the FCC by TVCN).
161 Lancaster Petition at 3 (explaining that, in the months preceding his death, Mr. Foster, the controlling interest of Lancaster, oversaw the establishment of the Foster Charitable Foundation, Inc. to which he would bequeath his interest in Lancaster); see also id. at 7-8 (explaining that Mr. Foster had passed away and that control of Lancaster had passed to the Foster Charitable Foundation, and if Lancaster was granted a waiver it could pay the outstanding balance owed and provide service to the public).
162 Inforum Order, 19 FCC Rcd at 84 ¶ 3 (citing Inforum's request to receive a constructive waiver so that Inforum could transfer the licenses to TDI); Inforum Petition at 13 (arguing that the still-pending assignment application to TDI supports Inforum's request for a constructive waiver); Lancaster Petition at 7-8 (arguing that since its principal owner has died waiver would not confer a benefit on anyone in control at the time of the missed payment, and since control of the company has transferred to a charitable foundation that will make payments, waiver would serve the public interest); TVCN AFR at 17, 19 (arguing that grant of a waiver will allow payment by "TVCN-Oneida").
40. We agree with the staff that "the existence of a potential assignee does not negate the licensee's failure to comply with the Commission's rules." 163 Any benefit that might result from permitting Inforum, Lancaster, or TVCN to retain the licenses and assign them to another party is speculative at best. 164 Moreover, any benefit that might be realized in the cases of Inforum, Lancaster, or TVCN is outweighed by the substantial harm of granting a waiver of payment obligations to an entity that has admitted it lacks the ongoing financial ability and the willingness to fulfill the payment obligations that serve to validate the presumption on which award of the licenses was based. 165 Granting a waiver in these circumstances would increase the likelihood that winning bidders in the future will not be the parties that can put the licenses to their highest and best use, but rather the parties that are the most optimistic regarding their chances to secure a post-auction buyer or obtain post-auction financing or relief similar to the relief requested by these parties. 166 Thus, we find that the staff correctly concluded that the existence of a proposed assignee that would allegedly assume the licensee's payment obligations does not provide a basis upon which to grant waiver of the automatic cancellation rule under either prong of our standard.
5. An Offer to Pay the Outstanding Installment Debt Does Not Justify Waiver of the Automatic Cancellation Rule
41. CommNet, Leeds, and TVCN contend that on reconsideration, we should take into account their explicit offers to pay their outstanding installment debt obligations. 167 CommNet and TVCN also maintain that in denying their requests for waiver of the automatic cancellation rule the staff erred in not favorably considering their offers to satisfy their installment payment debt. 168
42. Where a party does not demonstrate an ongoing ability and willingness, despite its default, to fulfill its payment obligations, e.g., by promptly paying the accelerated debt in full or continuing to make regular post-default payments with an unconditional promise to pay the accelerated debt in accord with the Commission's payment terms, an unsubstantiated offer to pay an outstanding installment debt that has come due under our rules does not merit waiver of our automatic cancellation rule. 169 Unlike those that have been granted waiver of the automatic cancellation rule, CommNet, Leeds,
163 Lancaster Order, 22 FCC Rcd at 2444-45 ¶ 17; TVCN Order, 22 FCC Rcd at 1405-06 ¶ 15. See also Letter from Margaret Wiener, Chief, Auctions and Industry Analysis Division, Wireless Telecommunications Bureau, to J. Curtis Henderson, Senior Vice President & General Counsel, Nucentrix Spectrum Resources, Inc., 17 FCC Rcd 559, 561 (WTB/AIAD 2002) (declining to grant a waiver for an administrative oversight in payments while the licensee was in negotiations to assign its license to a third party); Letter from Margaret Wiener, Chief, Auctions and Industry Analysis Division, Wireless Telecommunications Bureau, to Russell H. Fox, Esq., and Russ Taylor, Esq., Counsel for Capital Two-Way Communications, Inc., 16 FCC Rcd 11,786, 11,788 (WTB/AIAD 2001) (declining to grant a waiver of the installment payment rules while the licensee was in negotiations to assign its license to a third party).
164 See TVCN Order, 22 FCC Rcd at 1405-06 ¶ 15.
165 See id. See also Inforum Order, 19 FCC Rcd at 85 ¶ 6 (explaining that the Division denied waiver to allow for finalization of sale to TDI because doing so would undermine the Commission's auction and licensing rules). 166 See TVCN Order, 22 FCC Rcd at 1406 ¶ 16.
167 CommNet Petition at 1-2 (arguing that the staff erred in failing to accept CommNet's offer to pay in full upon Commission agreement to settle); Leeds AFR at 16, 18 (arguing that, since spectrum values have improved, Leeds "is willing" to pay off his debt); and TVCN AFR at 16-17 (arguing the staff erred in rejecting TVCN's offers to pay its outstanding debt).
168 CommNet Petition at 1-2; TVCN AFR at 16 -17.
169 See Morris Order, 23 FCC Rcd at 3196 ¶ 39. In denying Morris's request for waiver of the automatic cancellation rule based on similar arguments, the Commission weighed Morris's promises to pay in full against its failure to continue to make post default payments, its claims of financial distress, and its requests for alternative payment terms. Id. Furthermore, where the Commission's staff has granted waiver of the automatic cancellation rule, it has weighed favorably demonstrations by the defaulting licensees of their actual ability to meet their payment (continued….)
and TVCN have failed either to make consistent and ongoing post-default payments towards their installment debt obligation or to promptly pay their accelerated debt in full. 170 Moreover, each has indicated that there are restrictions associated with its offer to pay its outstanding debt. 171
43. In light of their statements and actions calling into question their ongoing ability and willingness to meet their financial obligations, including the lack of any post-default payments by them, we find that CommNet, Leeds, and TVCN have failed to demonstrate that their asserted offers to pay in full provide a basis for waiver. Therefore, we find no error in the staff's denial of these requests for waiver of the automatic cancellation rule.
6. Allegations of Commission Errors and Confusion Regarding Computation or Lack of Notice Do Not Justify Waiver of the Automatic Cancellation Rule
44. Inforum argues that the Commission's installment payment notices included confusing errors that justify waiver of the automatic cancellation rule. 172 Additionally, Inforum, Leeds, and TVCN maintain that they did not receive sufficient notice from the Commission regarding their payment obligations. 173 These parties argue that, in light of these alleged computational and notice issues, waiver of the Commission's automatic cancellation rules is justified. 174
45. We find no error in the Bureau and Division determinations that claims of Commission errors, computational confusion, and arguments of lack of notice regarding payment obligations are insufficient grounds to support waiver of our automatic cancellation rule. 175 In fact, beginning with the decision in 21 st Century MO&O, the Commission repeatedly has emphasized that it is the licensee's responsibility to know the amounts and the due dates of its installment payments. 176 As explained by the Commission in that decision, the practice of sending out individual installment payment notices is not
(Continued from previous page) obligations. See, e.g., Leaco Order, 21 FCC Rcd at 1185-86 ¶ 10, 1187 ¶¶ 12-13 (in granting a waiver of the automatic cancellation rule, the Bureau took into consideration the fact that the licensee promptly paid its debt obligation in full upon the acceleration of its debt, prior to the grant of the waiver); Tracy Corporation II, Request for Waiver of Installment Payment Rules for Auction No. 11 and Reinstatement of License, Memorandum Opinion and Order, 22 FCC Rcd 4071, 4075-76 ¶ 10, 4078-79 ¶ 18 (WTB 2007) ("Tracy Order") (the licensee in Tracy continued to make regular post-default payments and had paid its debt in full prior to the grant of the waiver); Advanced Order, 21 FCC Rcd at 1632 ¶¶ 11-12 (the licensee in Advanced made regular post-default payments and indicated that it could and would pay its outstanding debt, and its financial institutions confirmed that it had procedures in place to do so).
170 See, e.g., Leaco Order, 21 FCC Rcd at 1185-86 ¶ 10, 1187 ¶¶ 12-13 (in granting a waiver of the automatic cancellation rule, the Bureau took into consideration the fact that the licensee promptly paid its debt obligation in full upon the acceleration of its debt, prior to the grant of the waiver); Advanced Order, 21 FCC Rcd at 1632 ¶¶ 1112 (the licensee in Advanced made regular post-default payments and indicated that it could and would pay its outstanding debt, and its financial institutions confirmed that it had procedures in place to do so).
171 See supra n. 129.
172 Inforum Petition at 4-7, 11-12.
173 Id. at 4-7, 11-12; Leeds AFR at 8-9; TVCN AFR at 4-6, 13.
174 Inforum Petition at 4-6, 12 (detailing the history of Inforum's payment invoices and its confusion of the amount owed); Leeds AFR at 9 (explaining that his belief regarding the due date of his payment was reasonable because his counsel memorialized his understanding of his payment obligations in a letter to the Commission's staff, and that the Commission failed to respond to that letter in a timely manner); TVCN AFR at 13 (arguing that the Commission erroneously failed to send payment notices for license MDB405).
175 In the Morris Order, the Commission came to the same conclusion regarding this issue. Morris Order, 23 FCC Rcd at 3188 ¶ 21.
176 Id.; see also 21 st Century MO&O, 15 FCC Rcd at 25,119-21 ¶¶ 15-16; Southern MO&O, 15 FCC Rcd at 25,107 ¶ 8, 25,107-08 ¶ 10.
mandated by any Commission rule and has been performed as a mere courtesy for Commission licensees. 177 Furthermore, as the Commission explained in the Morris Order, it is every licensee's responsibility to know its payment deadlines and to ensure that its payments are submitted on time. 178
46. Although these Parties raise allegations of Commission errors, their own confusion over computations, and lack of notice regarding their payment obligations, none of them argue that such errors were the actual cause of their defaults. Rather, it is clear from the record that each Party's failure to render timely payment was either a calculated decision by the defaulter or the result of error on the part of the defaulter. Specifically, TVCN concedes that it elected not to make the subject payments, albeit under its claimed mistaken belief that its request for relief from the installment payment rules would prevent automatic cancellation of the license(s). 179 Likewise, Leeds admits that he elected not to make his required payment, claiming that he did so because the Commission did not contradict his mistaken belief that his payment deadline had been orally extended. 180 Furthermore, even though Inforum charges that it "may have [been] prejudiced" by alleged Commission errors, 181 it nonetheless admits that it failed to render timely payment because its principals were not available on the due date to submit such payment. 182 Thus, we find that the staff correctly denied requests for waiver of the automatic cancellation rule that were based on alleged Commission errors, confusion over computations, or lack of notice of payment obligations.
B. None of the Parties Is Similarly Situated to Entities that Received Other Relief from the Installment Payment Rules
1. The Bureau Correctly Refused to Treat the Parties Similarly to Licensees That Filed for Bankruptcy Prior to Cancellation of Their Licenses
47. Four of the Parties – Alpine, GLH, Leeds, and TVCN – contend that the Bureau incorrectly refused to apply to them the Commission waiver and debt restructuring precedent applicable to licensees that filed for bankruptcy prior to automatic cancellation of their licenses, which should, they claim, provide a basis for granting their requests for waiver of the automatic cancellation rule. For instance, TVCN contends that application of the Commission's automatic cancellation policies against licensees that do not file for bankruptcy protection but not against those that file for bankruptcy before cancellation is arbitrary, capricious, and an abuse of discretion. 183 Similarly, GLH argues that the Commission should have granted its waiver request and allowed it to restructure its debt as the Commission did for GLH's bankrupt creditor Leap, rather than force GLH into bankruptcy court. 184 Alpine argues that the Commission failed to explain why NextWave was entitled to debt restructuring and waivers while Alpine was not. 185 Leeds maintains that if the Commission seriously had entertained his
177 21st Century MO&O, 15 FCC Rcd at 25,120-21 ¶ 16.
178 Morris Order, 23 FCC Rcd at 3188-89 ¶ 21.
179 TVCN AFR at 10, 12.
180 Leeds AFR at 9 (arguing that the Commission could have corrected Leeds' counsel's December 1996 letter, which indicated that Leeds believed his payment was due in August 1997, and that Leeds believed his understanding was correct when the Commission did not reply to his counsel's letter).
181 Inforum Petition at 12.
182 Id. at 6-7.
183 TVCN AFR at 12, 16-17 (arguing that, although it could have filed for bankruptcy, TVCN elected to file a request for waiver of the automatic cancellation deadline because it believed that doing so better served the public interest, and that it "has effectively been penalized for planning ahead").
184 GLH AFR at 12.
185 Alpine Petition at 21-22.
request for reduction of his auction debt, it would have accomplished the same policy objectives that it articulated in granting a waiver of its rules to NextWave and others. 186 We find that Alpine, GLH, Leeds, and TVCN have failed to show that by denying their waiver requests the Bureau treated them differently from similarly situated parties. The Bureau's denials were therefore not an abuse of discretion.
48. Because Alpine, GLH, Leeds, and TVCN did not file for bankruptcy protection prior to the automatic cancellation of the subject licenses, they are not similarly situated to licensees that did. Accordingly, Commission decisions granting requests for waiver and debt restructuring in the context of resolving the bankruptcies of licensees that filed for protection prior to the automatic cancellation of their licenses are not applicable to Alpine, GLH, Leeds, and TVCN. In FCC v. NextWave Personal Communications, Inc., the Commission did not waive its automatic license cancellation rule, but rather the Supreme Court ruled that section 525(a) of the Bankruptcy Code barred the Commission from enforcing its automatic license cancellation rule against NextWave, a licensee in bankruptcy, upon its failure to make timely payments for the debt associated with its licenses. 187 However, as the Bureau properly explained in denying Alpine's request for waiver of the Commission's automatic cancellation rule, if section 525(a) does not apply because the licensee had not filed for bankruptcy prior to the automatic cancellation of the license, nothing in the NextWave decision prevents the regular operation of the Commission's automatic cancellation rules. 188 For that reason, we reject the attempts of TVCN, GLH, Alpine, and Leeds to analogize their situations to that of licensees that avoided application of the automatic cancellation rule by filing for Chapter 11 bankruptcy protection prior to missing their required installment payments.
49. Similarly, we disagree with Alpine, GLH, and TVCN to the extent that they argue that the Commission's resolution of bankruptcy litigation creates an inequitable policy preference because it enables a bankrupt licensee to avoid automatic cancellation, while a licensee offering a proposal to satisfy its outstanding installment payment obligation to the Commission without resorting to bankruptcy may lose its license. 189 It is bankruptcy law, and not the Commission, that enables a bankrupt licensee to avoid automatic cancellation. As the Bureau properly explained in affirming the Division's denial of GLH's request for waiver, an argument that the result is inequitable cannot support grant of a waiver of the automatic cancellation rule because bankruptcy is a status governed by statute, and different treatment based on differing circumstances is not inequitable. 190 We agree with the Bureau that Congress's decision to grant certain treatment to entities in bankruptcy provides no sound basis for arguing that entities outside bankruptcy should receive similar treatment. 191
50. Moreover, to the extent that Alpine, GLH, Leeds, and TVCN assert that the denials of their requests for waiver somehow "penalized" them for not seeking bankruptcy, or otherwise encouraged them to seek bankruptcy, such arguments are unconvincing in light of the variety of factors that may influence a party's decision regarding bankruptcy. 192 A party's assertion that it might seek the protection of a bankruptcy court, with all the consequences that would entail, is no basis by itself for waiving the
186 Leeds AFR at 11, 13-14.
187 FCC v. NextWave Personal Communications Inc., et al., 537 U.S. 293 (2003) (affirming the D.C. Circuit's decision, 254 F.3d 130 (D.C. Cir. 2001), that because NextWave was under protection of Chapter 11 of the United States Bankruptcy Code, its licenses did not automatically cancel for nonpayment while it was in bankruptcy) ("NextWave").
188 Alpine Order, 22 FCC Rcd at 1500-01 ¶ 21.
189 Alpine Petition at 20-21; GLH AFR at 12; and TVCN AFR at 16-17.
190 GLH Order on Reconsideration, 22 FCC Rcd at 2419 ¶ 22.
191 Id.
192 Alpine Petition at 20-21; GLH AFR at 12; Leeds AFR at 13; and TVCN AFR at 16-17.
Commission's automatic cancellation rules. 193 Based on the discussion above, a threat of impending bankruptcy would not satisfy either prong of the waiver standard of section 1.925 of the Commission's rules. Indeed, the Commission has found that waiving installment payment obligations because a licensee might file for bankruptcy "would harm the integrity of the auction process and encourage licensees to threaten litigation in the future." 194
2. The Division Correctly Concluded that Inforum Did Not Establish Grounds for Constructive Waiver
51. Inforum argues that the Division should have granted its request for a constructive waiver. 195 Inforum bases this argument on Commission actions Inforum cited in its original waiver request – the Commission's acceptance of Inforum's August 2, 2001 late payment and the Commission's August 3, 2001 acceptance for filing of an application to assign the Inforum License to TDI Acquisition Corporation ("TDI") 196 – as well as on the Commission's subsequent acceptance of nine more postdefault payments through October 31, 2003, and its September 9, 2003 dismissal of a petition to deny the TDI assignment application. 197 In addition, Inforum intimates, for the first time, that the Commission's grant of two hub site applications for the License is grounds for a constructive waiver. 198
52. As support for its request, Inforum cites the Lancaster Letter Order, TE-MCG, and Senter, three constructive waiver cases decided on delegated authority under the Commission's former grace period request rules, 199 and suggests that the Commission endorsed these decisions in the NextWave Reconsideration Order. 200 In that order, however, the Commission did just the opposite, rejecting the precedent of Lancaster, TE-MCG, and Senter, which found constructive waiver of the automatic cancellation rule based on Commission acceptance of post-default payments, explaining that it was "not required to repeat previous errors in order to maintain consistency with precedent." 201
193 GLH Order on Reconsideration, 22 FCC Rcd at 2419 ¶ 22; TVCN Order, 22 FCC Rcd at 1407 ¶ 19.
194 Amendment of the Commission's Rules Regarding Installment Payment Financing for Personal Communications Services (PCS) Licenses, Amendment of Part 1 of the Commission's Rules – Competitive Bidding Procedures, WT Docket No. 97-82, Second Order on Reconsideration of the Second Report and Order, 14 FCC Rcd 6571, 6580 ¶ 16 (1999).
195 Inforum Petition at 1-2, 7-12.
196 Petition for Reconsideration and Waiver Request for Late Acceptance of BTA Installment Payment, Inforum Communications, Inc., filed Oct. 30, 2001, at 8-10 ("Inforum Waiver Request").
197 Inforum Petition at 8, 13.
198 Id. at 13.
199 See Letter from Daniel B. Phythyon, Chief, Wireless Telecommunications Bureau, Federal Communications Commission, to Thomas Gutierrez, Esq., Counsel for Lancaster Communications, Inc., 1998 WL 709412 (WTB 1998) ("Lancaster Letter Order"); Letter from Thomas J. Sugrue, Chief, Wireless Telecommunications Bureau, Federal Communications Commission, to Lloyd W. Coward, Esq., Meyer, Faller, Weisman & Rosenberg, P.C., Counsel for TE-MCG Consortium, 14 FCC Rcd 2173 (WTB 1999) ("TE-MCG Order"); Letter from Amy J. Zoslov, Chief, Auctions and Industry Analysis Division, Wireless Telecommunications Bureau, Federal Communications Commission, to Meredith S. Senter, Jr., Esq., Leventhal, Senter & Lerman P.L.L.C., Counsel for Cordell Engineering, Inc., 14 FCC Rcd 5003 (WTB/AIAD 1999) ("Senter Order" or "Cordell Order").
200 Inforum Petition at 7-8 (citing In Re Public Notice of DA 00-49 Auction of the C and F Block Broadband PCS Licenses NextWave Personal Communications, Inc. and NextWave Power Partners, Inc. Petition for Reconsideration, Order on Reconsideration, 15 FCC Rcd 17,500 (2000) ("NextWave Reconsideration Order")).
201 NextWave Reconsideration Order, 15 FCC Rcd at 17,511 ¶ 19 (citing Chem-Haulers, Inc. v. ICC, 565 F.2d 728, 730 (D.C. Cir. 1977)).
53. In fact, since the Commission amended its installment payment rules to allow for two automatic grace periods, there has only been one constructive waiver of the automatic cancellation rule. In Lakeland, also cited by Inforum, 202 a branch-level decision granted a constructive waiver of the automatic cancellation rule because the Commission continued to send payment notices to the former licensee after the licensee's default. 203 Inforum, in contrast, concedes that it did not continue to receive payment notices following its default. 204 While Lakeland notes that the former licensee, unlike Inforum, made all subsequent installment payments after its late payment, 205 the decision emphasizes that the Commission's acceptance of post-default payments without extenuating circumstances is not enough to revive an automatically canceled license. 206
54. The Court of Appeals for the District of Columbia recently upheld the Commission's refusal to grant a constructive waiver under circumstances similar to Inforum's. In Morris Communications, Inc. v. FCC, the court concluded that the Commission reasonably distinguished the precedent of TE-MCG, Senter, and Lakeland on the grounds that Morris: (1) did not continue to receive payment notices following its default, unlike in Lakeland; (2) was on notice that the Commission's acceptance of post-default installment payments would not, by itself, constitute a constructive waiver, unlike in TE-MCG, and Senter; (3) had halted its post-default payments, unlike in Lakeland, TE-MCG, and Senter; and (4) asserted it was having financial difficulties. 207 All of these distinctions also apply to Inforum. 208 Accordingly, we believe that the staff acted properly in determining that Commission acceptance of Inforum's post-default payments did not amount to a constructive waiver.
55. We find the other factors presented by Inforum to be equally insufficient as bases for a constructive waiver of the automatic cancellation of Inforum's license. For example, the August 3, 2001 staff acceptance for filing of an application to assign the license from Inforum to TDI could not reasonably have been construed as a waiver of the installment payment rules. 209 Acceptance of the application was a ministerial act wholly separate from payment processing that conferred no right on either Inforum or TDI. 210 Moreover, the application remains pending, awaiting our resolution of Inforum's instant petition. 211
56. No more persuasive a basis for constructive waiver is the staff level dismissal of a petition by Paradise Cable, Inc. to deny the Inforum-to-TDI assignment application, for Paradise mentions that the license formerly held by Inforum automatically canceled on August 1, 2001 and makes clear that the order "does not address or resolve the issues raised by Inforum" in its Petition to waive the automatic cancellation. 212
202 Inforum Petition at 10-12 (citing Lakeland Order, 15 FCC Rcd at 23,733-34).
203 Lakeland Order, 15 FCC Rcd at 23,734-35 ¶¶ 2-4 See also Morris Order, 23 FCC Rcd at 3188 ¶ 20.
204 Inforum Petition at 11-12.
205 Lakeland Order, 15 FCC Rcd at 23,733-34 ¶ 2.
206 Id. at 23,734-35 ¶ 4. See also 21 st Century Order on Reconsideration, 16 FCC Rcd at 17,261 ¶12 n.24.
207 Morris Appellate Opinion, 566 F.3d at 188-191.
208 We note that Inforum's post-default payments, made between 2001 and 2003, were all made after the release of the Lakeland Order and the NextWave Reconsideration Order.
209 Inforum's petition incorrectly notes the acceptance date as August 3, 2003. Inforum Petition at 8.
210 See e.g., Morris Appellate Opinion, 566 F.3d at 191-192 (finding that the Commission's receipt of notifications of build-out does not constitute "definite" action indicating waiver); Leeds Order, 22 FCC Rcd at 1516-17 ¶¶ 18-19.
211 Inforum Order, 19 FCC Rcd at 84 ¶ 2.
212 Application of Inforum Communications, Inc., Assignor, and TDI Acquisition Corporation, Assignee, for Assignment of Multipoint Distribution Service (MDS) Stations KNSC300, KNSC798, and WMI303, Sarasota, (continued….)
57. Finally, we need not consider Inforum's suggestion that the July 13, 2001 grant of two hub site applications constructively waived its default, as Inforum, having neglected to make this claim in its earlier Waiver Request, 213 cannot properly raise it here. 214 Even absent this procedural defect, the hub site applications were granted more than two weeks before Inforum's default, and thus the grant could not possibly have indicated that the default had been waived. 215
C. There is No Right to Set-Off Following Installment Payment Defaults
58. As discussed above, 216 section 1.2110(g)(4)(iv) provides that when a licensee defaults on an installment payment, its license cancels automatically and it becomes subject to debt collection procedures for the amount it still owes. 217 Four of the Parties – GLH, Lancaster, Leeds, and TVCN– besides attempting to demonstrate their eligibility for a waiver of the automatic cancellation provisions of this rule, try to evade these consequences by attacking the application of the rule itself. 218
59. GLH and TVCN each argue that their outstanding debt obligation should be reduced by the amount of any subsequent sale by the Commission of licenses covering the same spectrum as that covered by the licenses on which they defaulted. 219 GLH offers two theories for the proposition that it deserves a set-off. One of these is that section 1.2104(g)(2), and not section 1.2110(g)(4)(iv), governs the consequences of its defaults. GLH claims that under section 1.2104(g)(2) it should have received "a setoff for the high bid received by the Commission in the re-auction." 220
60. GLH acknowledges, however, that the Commission rejected this argument in the 2004 Part 1 Third Reconsideration of Third Report and Order. 221 In fact, that order was largely devoted to clarifying that section 1.2104 does not, and never did, apply to installment payment defaults. 222 The Commission explained that the rule in section 1.2104(g)(2), in effect since the beginning of the auctions
(Continued from previous page) Florida, and of the Sarasota, Florida BTA (MDB408), Memorandum Opinion and Order , 18 FCC Rcd 18,508, 18,514-15 ¶ 13 n.54. The Commission subsequently upheld this dismissal, acknowledging Inforum’s instant petition and noting that the assignment application remains pending. Inforum-TDI Assignment Order , 20 FCC Rcd at 825-26 ¶¶ 9, 10.
213 See Request of Inforum Communications, Inc. for Petition for Reconsideration and Waiver Request for Late Acceptance of Installment Payment, dated Oct. 30, 2001.
214 See 47 C.F.R. § 1.106(c)(1); Northstar Technology, LLC, Request for a Waiver and Extension of the Broadband PCS Construction Requirements Regarding BTA098 Block F Authorization, Order on Reconsideration, 19 FCC Rcd 22,275, 22,280 ¶ 11(2004) ("Reconsideration is appropriate only where the petitioner shows either a material error or omission in the original order or raises additional facts not known or existing until after the petitioner's last opportunity to respond.").
215 Alpine also cites Senter and Lakeland, but only as general precedent for a waiver of the automatic cancellation rules. Alpine Petition at 22. Alpine neither argues that a constructive waiver occurred in its case nor describes any actions by the Commission that could have been construed as waiving the installment payment deadline. In fact, Alpine describes no circumstances in these two decisions relevant to its own situation, other than their grant of waivers of the automatic cancellation rule. As such, Senter and Lakeland do not provide us a basis for granting the Alpine Petition.
216 See supra para. 3.
217 47 C.F.R. § 1.2110(g)(4)(iv).
218 See GLH AFR at 7-10, 16-18; Lancaster Petition at 7-8; Leeds AFR at 16; TVCN AFR at 17-18.
219 GLH AFR at 7-10, 16-18; TVCN AFR at 17-18.
220 GLH AFR at 7.
221 Id. at 17.
222 Part 1 Third Reconsideration of Third Report and Order, 19 FCC Rcd at 2551-58 ¶¶ 1-20.
program, 223 applies to all winning bidders, including prospective installment payors, that default or are disqualified after the close of bidding but prior to license grant. The provision requires these bidders to pay the difference between their high bid and a lower winning bid for a license covering the spectrum at a subsequent auction, plus an additional three percent of either their high bid or the subsequent winning bid, whichever is lower. 224
61. In the same order, the Commission rejected claims that section 1.2104(g) had ever applied to installment defaults, pointing out that the rule is unsuited to such defaults, as it makes no provision for license cancellation. 225 Rather, section 1.2104(g) assumes that the license has not been granted and remains available for inclusion in a subsequent auction. The Commission explained that applying section 1.2104(g) to post-licensing defaults would lead to unintended and unreasonable results, allowing, for example, a licensee that had paid in full for its license and subsequently failed to meet a post-licensing requirement, such as a service or build-out rule, to claim a set-off should a license be sold for any of the same spectrum that had been covered by its former license. 226 The Commission noted that only section 1.2110 dictates the consequences of an installment payment default, namely the automatic cancellation of the license and Commission initiation of debt collection procedures, and that these consequences have been the only ones applicable to such defaults since the beginning of the auctions program. 227
62. GLH nevertheless argues that by failing to apply section 1.2104(g)(2) to GLH's defaults, the Commission has engaged in a "post hoc re-interpretation" of that provision, which amounts to secondary retroactivity. 228 There can be no retroactivity of any sort, however, without a rule change. The Commission, in the Part 1 Third Reconsideration of Third Report and Order, thoroughly demonstrated that its installment payment rules had, in all material respects, remained unchanged in language and application since their inception, thus appropriately rejecting an accusation that it had engaged in retroactive rulemaking. 229
63. GLH argues that we must disregard the Part 1 Third Reconsideration of Third Report and Order because the year before its release the Court of Appeals for the District of Columbia Circuit, in 21 st Century Telesis, made a comment indicating that section 1.2104(g)(2) does apply to installment payment defaults. 230 We agree with the Bureau's earlier rejection of this same argument by GLH. As the Bureau observed, while the court in 21 st Century Telesis erroneously identified section 1.2104(g)(2) as the rule that determines an installment payor's default obligations, it did so without analysis and in a statement that was immaterial to its conclusion that an installment payor had default obligations that would not be
223 Id. at 2553 ¶ 5. See also 47 C.F.R. § 1.2104(g)(2) (1994).
224 Part 1 Third Reconsideration of Third Report and Order at 2553 ¶ 5.
225 Id. at 2558 ¶ 18.
226 Id.
227 Id. at 2553 ¶ 6. See also 47 C.F.R. § 1.2110(e)(4) (1994); 60 Fed. Reg. 52,865 (1995) (correcting 1994 designated entity regulations of 47 C.F.R. Part 1 to redesignate 47 C.F.R. § 1.2110(b)(4)(x)(E) as 47 C.F.R. § 1.2110(e)).
228 GLH AFR at 18, relying on Celtronix Telemetry, Inc. v. FCC, 272 F.3d 585 (D.C. Cir. 2001), cert. denied, 536 U.S. 923 (2002) ("Celtronix").
229 Part 1 Third Reconsideration of Third Report and Order, 19 FCC Rcd at 2551-58 ¶¶ 1-20, 2559 ¶¶ 21-22. The Commission also held that, even had the rule been changed, such a change would have been permissible under federal precedent and particularly under Celtronix. Id. at 2559 ¶¶ 21-22.
230 GLH AFR at 17-18 (citing 21st Century Telesis Joint Venture and 21st Century Bidding Corporation v. FCC, 318 F.3d 192 (D.C. Cir. 2003) ("21 st Century Telesis").
altered by the claims in the case before it. 231 Accordingly, we are not bound by the court's statement in this instance. 232
64. According to GLH's other theory, the Uniform Commercial Code ("UCC") entitles GLH to a set-off. 233 Although GLH acknowledges that it signed a security agreement with the Commission stating that GLH has no right or interest in any proceeds of the Commission's subsequent sale of a license for spectrum that had been covered by GLH's defaulted licenses, GLH contends that the UCC voids such language. 234 However, GLH provides no authority that dictates the application of the UCC to its situation. 235
65. Furthermore, the Commission has long advised licensees that the UCC does not govern the consequences of installment payment defaults. In the 1996 "C-Block Note and Security Agreement Opinion Letter," the Commission's general counsel and its Wireless Telecommunications Bureau chief offered public guidance on installment payment plan notes and security agreements, explaining that federal common law and not the UCC governs the rights and obligations of the Commission and its licensees with regard to the installment payment program. 236 The C-Block Note and Security Agreement Opinion Letter clarified that in fashioning appropriate federal common law rules, courts would follow the principles of the UCC or other bodies of law, but only so long as those principles did not conflict with the implementation of specific federal policies. Addressing the specific issue of proceeds from a reauction of licenses following a default, the C-Block Note and Security Agreement Opinion Letter emphasized that:
[W]ith regard to the issue of the rights of the debtor, or other creditors, to the excess proceeds (if any) from a reauction following a default, Section 309(j)(8) of the Communications Act provides that all proceeds from the use of competitive bidding shall be deposited in the Treasury of the United States or used to cover certain of the Commission's costs. See 47 U.S.C. § 309(j)(8). Therefore, while the proceeds from the liquidation of the collateral through a[n] FCC-conducted reauction would generally be applied to debts due, the Commission is constrained by the terms of the Communications Act with regard to the distribution of excess reauction proceeds to the debtor or other creditors.
. . .
231 GLH Order on Reconsideration, 22 FCC Rcd at 2421 n.75. We note, in addition, that 47 C.F.R. § 1.2104 was not even briefed by either party in 21 st Century Telesis. See 21 st Century Telesis, Brief for Appellants, 2002 WL 34244526 (Sept. 6, 2002); id. Brief for FCC, 2002 WL 34244527 (Sept. 6, 2002); id. Reply Brief for Appellants, 2002 WL 34244528 (Sept. 6, 2002).
232 See Magnacom Wireless, LLC v. FCC, 503 F.3d 984, 993-94 (9 th Cir. 2007) ("In our circuit, statements made in passing, without analysis, are not binding precedent."). We note that the court in 21 st Century Telesis relied on Mountain Solutions, Ltd. v. FCC, 197 F.3d 512, 522-23 (D.C. Cir. 1999) ("Mountain Solutions"), to support its statement. Mountain Solutions, however, concerned only defaults on second down payments, which, unlike installment payment defaults, are subject to the consequences of 47 C.F.R. § 1.2104(g)(2). See 21 st Century Telesis, 318 F.3d at 198.
233 GLH AFR at 8-10.
234 Id. at 9.
235 GLH refers solely to Erie R. Co. v. Tompkins, 304 U.S. 64, 77 (1938), the only potentially relevant holding of which – that "[e]xcept in matters governed by the Federal Constitution or by acts of Congress, the law to be applied in any case is the law of the state" – is inapposite, if for no other reason than, in the instant situation, an act of Congress, i.e., the Communications Act, does apply. See GLH AFR at 8.
236 Letter from William E. Kennard, General Counsel, and Michele C. Farquhar, Chief, Wireless Telecommunications Bureau, Federal Communications Commission, to Leonard J. Kennedy, Esq., and Richard C. Denning, Esq., 11 FCC Rcd 21,572, 21,577 (OGC/WTB 1996) ("C-Block Note and Security Agreement Opinion Letter").
. . . . To the extent that the provision of UCC § 9-504 (requiring that secured party must account to the debtor for any surplus over the amount remaining on the debtor's obligation) directly conflicts with the Communications Act and FCC regulations, we believe that the UCC must yield to implementation of the federal mandate. 237
66. The Commission has relied upon the C-Block Note and Security Agreement Opinion Letter since shortly after its release, 238 and the letter's advice regarding the inapplicability of the UCC is supported by Magnacom Wireless, a 2007 opinion in which the Court of Appeals for the Ninth Circuit upheld a bankruptcy court's dismissal of a trustee's claim for set-off following the sale of licenses for spectrum previously covered by the bankrupt's now-canceled licenses. 239 The court held that the Commission has a regulatory right to cancel licenses on which the installment payor has defaulted. 240 The court described UCC requirements as "simply inapplicable," stating that nothing in the Commission's security agreement with the debtor or in applicable law requires the Commission's cancellation of a defaulted license to be subject to the UCC. 241
67. TVCN claims that, consistent with "statutory, procedural or constitutional requirements[,]" it should receive a set-off but does not cite any requirement or other authority that would entitle it to one. 242 TVCN also maintains that the Bureau, by denying TVCN its requested relief, abused its discretion and acted capriciously and contrary to law, but again TVCN makes no effort to substantiate its accusation. 243
68. The remaining two Parties, Lancaster and Leeds, rely on none of the aforementioned theories or, indeed, any other theory, to argue for a set-off. Instead, Lancaster explains that, absent a waiver, it would lose significant resources that it could otherwise use for charitable, educational, or scientific causes, while, with grant of a waiver, it could retain its licenses and still provide service, thereby being able to generate revenue for such charitable causes. 244 Leeds simply laments that he must "forfeit" the licenses on which he has defaulted and the principal and interest he has already paid, while remaining subject to government debt collection for the outstanding balance. 245 Thus, while both
237 C-Block Note and Security Agreement Opinion Letter, 11 FCC Rcd at 21,576-77.
238 See, e.g., Part 1 Order-MO&O-NPRM, 12 FCC Rcd at 5693-94 ¶ 11 n.23, 5694-95 ¶ 12 n.25, 5695-96 ¶ 13 n.33 (citing the C-Block Note and Security Agreement Opinion Letter with regard to protections for commercial lenders making loans, and equipment vendors extending credit, to auction winners paying in installments).
239 Magnacom Wireless, 503 F.3d at 987.
240 Id. at 994-95.
241 Id. GLH's additional reliance on U.S. v. Winstar Corp., 116 S. Ct. 2432 (1996), is misplaced, as nothing in that opinion, affirming that the United States had changed the terms of, and thereby breached, contracts with financial institutions has bearing on the case before us. GLH AFR at 10.
242 TVCN AFR at 17-18. TVCN begins with a faulty premise, namely that the Commission originated part of its default policy in Auction 6, which concluded in 1996. Id. This assertion is incorrect, and TVCN offers no authority to support it. As we discuss above, license-cancellation-plus-debt-collection has been the consequence of installment payment defaults since the Commission first adopted its auction rules. See supra paras. 3, 58.
243 TVCN AFR at 17-18.
244 Lancaster Petition at 7-8 ("Absent a grant of the requested waiver, Lancaster would be required to remit over $900,000 to the government immediately, and would not recover any of the 22 SMR licenses it won at Auction No. 7 – thus eliminating any potential for Lancaster to generate revenues from the provision of service to subscribers.").
245 Leeds AFR at 16 ("According to the Decision, Mr. Leeds must forfeit the rights to the MDS1 and 2A and H1 channel licenses, he must forfeit the $288,000 he paid to the Commission in principal and interest and he must be subject to government debt collection for the balance, even though he receives no licenses.").
Lancaster and Leeds complain about the consequences dictated by section 1.2110(g)(4)(iv), neither denies the section's applicability to its default.
D. The Waiver Requests Did Not Toll the Installment Payment Deadline
69. Two of the Parties – Alpine and TVCN – contend that, by filing their waiver requests, they tolled their installment payment deadlines and prevented the automatic cancellation of the licenses. Alpine bases its argument on its original installment payment plan note, which, it argues, says that the note maker will be in default if it remains delinquent for more than ninety days and the maker has not submitted a written request for a grace period or extension of payments. 246 TVCN submits that, because it filed its request for waiver prior to the end of its second quarterly grace period, it believed that automatic cancellation would not go into effect so long as its waiver request was still pending before the Commission. 247 It acknowledges that there may be nothing in the Communications Act requiring that the Commission thus suspend automatic cancellation but explains that it believed that federal and state practice gave rise to its expectation that the Commission would do so. 248
70. Neither Alpine nor TVCN has made a persuasive case for tolling of the installment payment deadline to avoid automatic cancellation of the licenses. TVCN is correct in that nothing in the Act or, for that matter, Commission rules or precedent allows for such tolling. Rather, the overarching message delivered by Commission installment payment decisions is that we strictly enforce installment payment deadlines and the automatic cancellation of licenses when those deadlines are missed. Alpine's Petition fails to acknowledge that the "tolling language" in the note that it cites is a reference to the Commission's prior grace period rules and that the language from the note quoted in its own petition contains a specific provision which conditions the note's terms upon "then-applicable orders and regulations of the Commission" that may be in effect at the time of default. 249 Every installment payment defaulter whose automatic cancellation waiver request has been denied has been subject to the same language. 250 The Commission's rules and policies dictate – and thus TVCN and Alpine, as Commission licensees, knew or should have known – that licenses subject to the Commission's installment payment program cancel automatically upon payment default, without further action from the Commission. 251 If it were otherwise – if installment payors could toll their payment deadlines simply by filing waiver requests – such requests would long ago have become the norm, eviscerating the Commission's enforcement of the automatic cancellation rule and defeating the underlying purpose of the rule, which, we repeat, is to encourage potential licensees to bid only what they can pay and then, if they win, to make all their payments on time. Accordingly, the claims of Alpine and TVCN that they did not default and that their licenses did not automatically cancel are without merit.
E. The Commission's Staff Did Not Violate Commission Rules or Legal Duties
71. Alpine alleges several failings by the Commission and its staff and claims that these require us to reconsider staff denials of Alpine's waiver request and requests for debt compromise. As we discuss, we find no merit in the allegations or any justification for reconsideration.
246 Alpine Petition at 16-17 (arguing that under its notes it has never been in default), 24.
247 TVCN AFR at 12.
248 Id. at 12.
249 Alpine Petition at 17.
250 The Commission has addressed this specific provision in the installment notes, finding it to be a clear reference to the rules that would be applicable at the time of default. Part 1 Reconsideration of Third Report and Order, 15 FCC Rcd at 15,309 ¶ 26.
251 See supra para. 3.
72. Alleged Improper Delay. Alpine contends that the staff violated section 1.1911(e) of the Commission's rules, which states that "[t]he Commission will respond promptly to communications from the debtor, within 30 days whenever feasible, and will advise debtors who dispute the debt that they must furnish available evidence to support their contentions." 252 Alpine bases this accusation on the length of time it took the Commission to respond to the Alpine First Restructuring Request and the Bureau to release an order resolving Alpine's waiver request. 253 Alpine argues that the Commission's delay violated section 1.1911(e) and "led to Alpine's business demise." 254 According to Alpine, this violation was arbitrary and capricious and thus provides a basis on which the denial of Alpine's waiver request and refusal to grant either of Alpine's restructuring requests must be reversed. 255
73. We reject these arguments. As the Commission explained in the Morris Order, section 1.1911(e), which is one of the Commission's debt collection rules, 256 has no relevance to a request for relief from installment payment default rules. 257 Section 1.1911 concerns the Commission's written demand for payment whereby the Commission initiates the demand process. Thus the prompt response by the Commission referenced in section 1.1911(e) applies only to communications from the debtor within, and related to, the demand process. The provision, accordingly, does not apply to Alpine's waiver request. Nor does it apply to Alpine's First Restructuring Request, which, having preceded the Commission's demand letters on Alpine's two defaulted licenses by some eighteen months, 258 was not part of the demand process envisioned by the rule. 259
74. We note that, even where section 1.1911(e) does apply, it calls for a prompt response, not necessarily a resolution, and that the provision's thirty-day response time is a goal, not a mandate. 260
252 47 C.F.R. § 1.1911(e).
253 Alpine Petition at 30; see supra para. 7 .
254 Alpine Petition at 30.
255 Id. at 30-31.
256 See 47 C.F.R. Chapter I, Part 1, Subpart O, "Collection of Claims Owed the United States".
257 See Morris Order, 23 FCC Rcd at 3189-3190 ¶¶ 23-25.
258 See Letter from Mark Reger, Chief Financial Officer, Federal Communications Commission, to Alpine PCS, Inc., dated Jan. 16, 2004 (demanding payment of the loan for license number PBB405C) and Letter from Mark Reger, Chief Financial Officer, Federal Communications Commission, to Alpine PCS, Inc., dated Jan. 16, 2004 (demanding payment of the loan for license number PBB406C).
259 In any event, Commission staff responded to the Alpine First Restructuring Request within a week of its being filed and to the Alpine Second Restructuring Request approximately two weeks after its filing. See Letter from Mark A. Reger, Chief Financial Officer, Federal Communications Commission, to Robert F. Broz, President, Alpine PCS, Inc., dated July 30, 2002; Letter from Mark A. Stephens, Chief Financial Officer, Federal Communications Commission, to Frederick M. Joyce and Christine McLaughlin, Venable, LLP Counsel for Alpine PCS, Inc., dated Jan. 4, 2008. See also Alpine Petition at 14.
260 As a practical matter, the Commission could not promise in its rule to resolve a complex matter such as a debt restructuring proposal within a brief period such as thirty days. Section 1.1915 of the rules, our provision for debt compromise, allows the Commission to attempt to reach compromise on a claim, "preferably during the course of personal interviews," not a process that lends itself to the speedy response envisioned by 47 C.F.R. § 1.1911(e). See 47 C.F.R. § 1.1915. Furthermore, to determine whether and how to compromise, the Commission must conduct a careful examination of the debtor's finances and credit, a potentially lengthy endeavor. Moreover, under 47 C.F.R. § 1.1915, the Commission must pursue compromise in accordance with Federal Claims Collection Standards ("FCCS"), which do not impose a deadline for resolving a restructuring requests. Finally, when the principal balance of the debt exceeds $100,000 (or a higher amount authorized by the Attorney General), the authority to compromise rests with the Department of Justice. In such case, the Commission evaluates the compromise offer in accordance with FCCS and refers the offer, along with appropriate financial information, to the Department of Justice, again a process that may take more than thirty days. Id.
Moreover, even in a case where an installment debtor had a legitimate question as to Commission staff compliance with a debt collection rule, that circumstance could not shield the debtor against its own failure to comply with a license payment obligation, which failure would have been what had made debt collection necessary in the first place. Section 1.1901(i) states that the Commission's definition of delinquency for the purposes of its debt collection rules "in no way . . . affect the Commission's rules . . . regarding payment for licenses (including installment, down, or final payments) or automatic cancellation of Commission licenses . . . ." 261 This provision cross-references section 1.1902(f), which explains that no debt collection rule "shall supercede [sic] or invalidate other Commission rules, such as the part 1 general competitive bidding rules . . . or the service specific competitive bidding rules . . . regarding the . . . Commission's right to cancel a license. . . ." 262 Finally, section 1.1908 states in its entirety that "[t]he failure or omission of the Commission to comply with any provision in this regulation shall not serve as a defense to any debtor." 263
75. Alpine also suggests that its business "was driven into financial ruin" because of the time it took for resolution of its First Restructuring Request and its waiver request. 264 However, Alpine provides no support for this suggestion, and the record demonstrates that Alpine's financial difficulties preceded and precipitated its defaults. 265
76. Accordingly, Alpine's allegations of Commission delay do not provide grounds for waiver of the automatic cancellation of its licenses. Alpine's arguments also fail to justify reconsideration of Alpine's restructuring requests, because, among other reasons, both requests are premised on Alpine's being able to retain licenses for some or all of the spectrum covered by the canceled licenses. 266
77. Alleged Breach of Fiduciary Duties. Alpine argues that the Commission breached fiduciary duties owed Alpine, because the Commission "flooded the market with PCS spectrum, allowed 'sham' designated entities to bid up license prices, and then refused to renegotiate installment debts." 267
261 47 C.F.R. § 1.1901(i).
262 47 C.F.R. § 1.1902(f). See Morris Appellate Opinion, 566 F.3d at 192.
263 47 C.F.R. § 1.1908.
264 See, e.g., Alpine Petition at 2, 15, 28.
265 Alpine told the Commission in its waiver request that its financial difficulties were largely caused by the failure of an equipment vendor to provide promised financing. Id. at 5. See also id. at 26-27 (explaining that Alpine had sought relief because it was in "difficult financial circumstances"). In dismissing the Alpine Second Restructuring Request, Commission staff noted that the unaudited financial documents submitted by Alpine in support of its request suggested that it had "been operating within the zone of insolvency since 2002 or earlier." Letter from Regina Dorsey, Deputy Chief Financial Officer, Federal Communications Commission, to Frederick M. Joyce and Christine McLaughlin, Counsel for Alpine PCS, Inc., dated Apr. 29, 2008 at 6.
266 See Alpine First Restructuring Request; Alpine Second Restructuring Request.
267 Alpine Petition at 25-27. Alpine cites cases that provide no support for its claim that the Commission owed it a fiduciary duty. Love v. U.S., 915 F.2d 1242, 1247-48 (9th Cir. 1989) involved a farmer's conversion claim against the Farmers Home Administration for its sale of the farmer's property securing an agricultural loan without the required notice and hearing. The court of appeals concluded that the farmer could sue the government under the Federal Tort Claims Act for breach of the duty of good faith. This case has no bearing on Alpine's factual circumstances and does not establish that the Commission has a duty to waive the automatic license cancellation rule for a licensee that defaults on its license payments where the license is expressly conditioned on full and timely payment and the licensee holds no property right in the license. See 47 U.S.C. § 301 ("no such license shall be construed to create any right, beyond the terms, conditions, and periods of the license"). The other cases cited by Alpine are equally inapposite. In Stewart v. Phoenix Nat'l Bank, 49 Ariz. 34, 64 P.2d 101 (1937), the court recognized the existence of a fiduciary relationship between a bank and its customer for whom it had acted as financial advisor for many years. In Barret v. Bank of America, 229 Cal. Rptr. 16 (1986), the court found a bank/depositor relationship to be "quasi-fiduciary" in an action against the bank brought by a personal guarantor of a (continued….)
78. Alpine does not explain how the Commission breached a duty – or, indeed, what that duty was – with regard to the amount of broadband PCS spectrum made available. Alpine, like every other prospective auction participant (and, indeed, every member of the public) had access to a description of the Commission's entire inventory of PCS spectrum well before the Commission ever held its first auction. 268 Alpine alone is responsible for its business judgments regarding its participation in the competitive bidding process. 269 Furthermore, if Alpine had had information or concerns militating against licensing spectrum to other designated entities, it should have raised these issues in a petition to deny prior to the award of licenses, in time for the Commission to take appropriate action.
79. Alpine additionally suggests that Commission staff breached a duty of candor and good faith by "arbitrarily and inexplicably" cutting off compromise negotiations with Alpine at the same time that the Commission was negotiating with NextWave. 270
80. Alpine provides no support for its claim of arbitrary treatment. The settlement of bankruptcy litigation relating to a license that did not automatically cancel for non-payment of installment debt because the licensee was under the protection of Chapter 11 of the Bankruptcy Code provides no basis to support a waiver of the automatic cancellation rules where a licensee has defaulted without such legal protections. As we explain above, 271 Alpine cannot use the course of those negotiations as a justification for avoiding the consequences of its default. 272
81. We also take issue with Alpine's premise that the Commission had a duty to reduce or eliminate Alpine's debt. It did not. Alpine participated in the auctions process voluntarily, entered into installment agreements responsible for knowing the rules applicable to those agreements, and elected not to reduce its licensed spectrum and associated debt when all C block licensees with installment payments had the opportunity to do so. 273 The Commission's strict enforcement of the automatic cancellation rules not only is not a breach of fiduciary duty, it is essential for a fair, effectively administered auctions program.
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loan alleging reliance on the bank loan officer's advice. Finally, in United Teachers Associates Insurance Co. v. Mackeen & Bailey Inc., 99 F.3d 645 (5th Cir. 1996), the court held that a fiduciary relationship could exist between an insurance company and its actuary. None of these cases supports Alpine's claim that the Commission breached a duty to Alpine by strictly enforcing its installment payment default rules.
268 See, e.g., Implementation of Section 309(j) of the Communications Act – Competitive Bidding, PP Docket No. 93-253, Third Report and Order, 9 FCC Rcd 2941, 2945-46 ¶ 10 (1994) (adopting rules for auctions of narrowband PCS licenses); Id., Fifth Report and Order, 9 FCC Rcd 5532, 5534 ¶ 1, 5535-36 ¶¶ 6-7 (2004) (adopting rules for auctions of broadband PCS licenses).
269 See, e.g., Southern MO&O, 15 FCC Rcd at 25,107 ¶ 10 (noting that a licensee's failure to properly organize and manage its business dealings is not a unique circumstance that warrants the granting of a waiver); BDPCS MO&O, 15 FCC Rcd at 17,604-07 ¶¶ 27-30.
270 Alpine Petition at 26-27.
271 See supra Section III.B.1.
272 We note that the Commission previously offered all broadband PCS C block licensees the opportunity to restructure their installment payment obligations to the Commission. See Amendment of the Commission's Rules Regarding Installment Payment Financing for Personal Communications Services (PCS) Licensees, WT Docket No. 97-82, Second Report and Order and Further Notice of Proposed Rule Making, 12 FCC Rcd 16,436 (1997); id., Order on Reconsideration of the Second Report and Order, 13 FCC Rcd 8345 (1998). See also "Wireless Telecommunications Bureau Announces Broadband Personal Communications Services C Block Elections," Public Notice, 13 FCC Rcd 16,705 (WTB 1998); "Wireless Telecommunications Bureau Announces Broadband Personal Communications Services (PCS) C Block Unconditional Elections," Public Notice, 13 FCC Rcd 17,434 (WTB 1998).
273 See supra n.272.
82. Alleged New Policies. Alpine also argues that the Commission violated Alpine's rights by creating "new policies" to Alpine's detriment. 274 Specifically, Alpine suggests that the staff denial of its waiver request deviates from Commission precedent. To sustain this contention, Alpine relies on three decisions, two of which were adopted before the Commission instituted its installment loan program, and none of which has anything to do with the Commission's payment rules. 275 The Commission has held that waivers of other rules, even those including other payment deadlines (such as those involving withdrawal, upfront, and down payment rules), do not support waiver of installment payment rules, because the purpose of and procedures attending other rules are different from those underlying the installment payment deadlines and automatic license cancellation rule. 276 The sorts of waivers at issue in the decisions cited by Alpine involve none of the policy considerations relevant to the underlying purposes of the installment rules, and we, accordingly, find that they do not justify reversal of the denial of Alpine's waivers.
F. GLH Was Not Entitled to a Hearing Prior to the Automatic Cancellation of The Licenses
83. GLH argues that the automatic cancellation of a license amounts to a revocation and should therefore be subject to the Commission's hearing procedures. 277 As explained herein, however, parties are not statutorily entitled to a pre-cancellation revocation hearing.
84. As a general matter, section 301 of the Communications Act makes clear that Commission licenses are granted for the use, but not the ownership, of radio frequencies and that no Commission-issued license "shall be construed to create any right, beyond the terms, conditions, and periods of the license." 278 In keeping with section 301, the Supreme Court has indicated that licensees do not hold property rights in licenses, 279 and the Commission has held that licensees have no vested interest in any frequency licensed to them. 280 Thus, Commission licensees hold only those rights established by the terms and conditions of the licenses issued to them. The Commission's automatic cancellation rules reflect the fact that one of the conditions of holding a license subject to the installment payment program
274 Alpine Petition at 27-29.
275 Alpine Petition at 28 (citing T-Com, Inc. and American Paging, Inc. et al., Memorandum Opinion and Order, 5 FCC Rcd 6691, 6693 ¶ 14 (1990); Mobilfone Service, Inc., 48 RR 2d 1626 (CCB 1981); and Rush Network Corp. Request for Extension of Time to Construct a 220-222 MHz Commercial Nationwide Land Mobile Radio System, Order, 12 FCC Rcd 9731 (WTB/CWD 1997)). These three cases concern waivers granting an extension of time outside the payment context.
276 See 21st Century, 15 FCC Rcd at 25,121-23 ¶¶ 17-20.
277 GLH AFR at 13-16 (arguing that a hearing was required before the Commission could "revoke" the licenses through automatic cancellation, per 47 U.S.C. § 312).
278 47 U.S.C. § 301.
279 See, e.g., FCC v. Sanders Bros. Radio Station, 309 U.S. 470, 475 (1940) ("The policy of the Act is clear that no person is to have anything in the nature of a property right as a result of the granting of a license.").
280 Amendment of the Commission's Rules Regarding Maritime Automatic Identification Systems, WT Docket No. 04-344, Report and Order and Further Notice of Proposed Rule Making and Fourth Memorandum Opinion and Order, 21 FCC Rcd 8892, 8925-26 ¶ 46 (2006) (citing Ashbacker Radio Corp. v. FCC, 326 U.S. 327 (1945), and finding that the Commission has consistently upheld the principle that no licensee obtains any vested interest in any frequency). Moreover, throughout the history of the Commission's auctions program, the consequence of defaults on installment payments has been the same for all licensees:
A default on an installment payment subjects the licensee to the license-cancellation-plus-debtcollection rule. In other words, the licensee loses the license, is not refunded its prior installment payments, and is subject to collection of the balance of the debt.
Part 1 Third Reconsideration of Third Report and Order, 19 FCC Rcd at 2561-62 ¶ 29.
is full and timely payment. If that condition is not satisfied, the license authority lapses under its own terms, and the license is thus deemed automatically cancelled. 281 Accordingly, such a cessation of license authority does not constitute a Section 312 license revocation, and the Section 312 hearing requirements are therefore inapplicable. 282 Nor do the Commission's rules make any provision for a hearing prior to the cancellation of licenses for failure to meet installment payment obligations. Indeed, the nature of an automatic cancellation, the language on the subject licenses themselves, and the rules by their very operation, provide for automatic license cancellation without any action by the Commission in such circumstances. 283
85. The Bureau properly disposed of this argument in the GLH Order on Reconsideration, and GLH raises no new arguments. 284 In accordance with Commission and judicial precedent regarding automatic license cancellation, and pursuant to the Commission's rules, a license cancels automatically, outside of the provisions of section 312 and without prior recourse to hearing, if the licensee fails to abide by one of the conditions for holding that license, such as the full and timely payment requirement that applies to licenses held under the installment payment program. 285
IV. CONCLUSION
86. As discussed above, Alpine, CommNet, GLH, Inforum, Lancaster, Leeds, TVCN, and Virginia have not shown that the decisions denying their requests for waiver of the Commission's installment payment rules were in error. We therefore deny their requests to reverse those decisions.
V. ORDERING CLAUSES
87. Accordingly, IT IS ORDERED that, pursuant to section 5(c)(5) of the Communications Act of 1934, as amended, 47 U.S.C. § 155(c)(5), and section 1.106 of the Commission's rules, 47 C.F.R. § 1.106, the Petition for Reconsideration filed by Alpine PCS, Inc. on February 28, 2007, is DENIED.
88. IT IS FURTHER ORDERED that, pursuant to section 5(c)(5) of the Communications Act of 1934, as amended, 47 U.S.C. § 155(c)(5), and section 1.106 of the Commission's rules, 47 C.F.R. § 1.106, the Petition for Reconsideration filed by CommNet Communications Network, Inc. on June 7, 2007, is DENIED. IT IS FURTHER ORDERED that the Supplement to Petition for Reconsideration filed by CommNet Communications Network, Inc. on June 8, 2007, is DISMISSED.
281 Morris Appellate Opinion, 566 F.3d at 192 (upholding FCC's automatic cancellation of licenses for failure to satisfy full and timely payment requirement, explaining that appellant's "licenses were thus contingent on [its] timely payment of all amounts owing; once [appellant] failed to make the . . . payments [by the final due date], the license themselves also lapsed"). Cf. National Science and Technology Network, Inc. v. FCC, 397 F.3d 1013 (D.C. Cir. 2005) (affirming automatic license cancellation for failure to meet an express license condition – i.e., construction requirements); Capital Telephone Co. v. FCC, 498 F.2d 734, 740 (D.C.Cir. 1974) ("When an applicant accepts a government permit which is subject to certain conditions, he cannot later assert alleged rights which the permit required him to surrender in order to receive it.").
282 Morris Appellate Opinion, 566 F.3d at 192 (rejecting appellant's contention that FCC violated its administrative due process rights by denying it an administrative hearing prior to cancellation of licenses for failure to make full and timely payment, observing that appellant's licenses were conditioned on such payment, and that appellant's licenses, and all rights thereunder, lapsed once appellant failed to make such payment); cf. P&R Temmer v. FCC, 743 F.2d 918, 928 (D.C. Cir. 1984) (holding that Commission's removal of authority to licensee to operate on 15 of the 20 channels originally authorized by license was not a 47 U.S.C. § 316 license modification and therefore did not trigger any 47 U.S.C. § 316 hearing rights, because right to use the 15 channels was conditioned on satisfaction of loading requirement, a condition that licensee had failed to fulfill).
283 See 47 C.F.R. § 1.2110(g)(4)(iv).
284 GLH Order on Reconsideration, 22 FCC Rcd at 2420-21 ¶¶ 23-24.
285 Morris Appellate Opinion, 566 F.3d at 192.
89. IT IS FURTHER ORDERED that, pursuant to section 5(c)(5) of the Communications Act of 1934, as amended, 47 U.S.C. § 155(c)(5), and section 1.115(g) of the Commission's rules, 47 C.F.R. § 1.115(g), the Application for Review filed by GLH Communications, Inc. on March 9, 2007, is DENIED. IT IS FURTHER ORDERED that the Supplement to Application for Review filed by GLH Communications, Inc. on November 1, 2007, is DISMISSED.
90. IT IS FURTHER ORDERED that, pursuant to section 5(c)(5) of the Communications Act of 1934, as amended, 47 U.S.C. § 155(c)(5), and section 1.106 of the Commission's rules, 47 C.F.R. § 1.106, the Petition for Reconsideration filed by Inforum Communications, Inc. on February 9, 2004, is DENIED. IT IS FURTHER ORDERED that the Supplement to Petition for Reconsideration filed by Inforum Communications, Inc. on July 23, 2004, is DISMISSED.
91. IT IS FURTHER ORDERED that, pursuant to section 5(c)(5) of the Communications Act of 1934, as amended, 47 U.S.C. § 155(c)(5), and section 1.106 of the Commission's rules, 47 C.F.R. § 1.106, the Petition for Reconsideration filed by Lancaster Communications, Inc. on March 9, 2007, is DENIED.
92. IT IS FURTHER ORDERED that, pursuant to section 5(c)(5) of the Communications Act of 1934, as amended, 47 U.S.C. § 155(c)(5), and section 1.115(g) of the Commission's rules, 47 C.F.R. § 1.115(g), the Application for Review filed by Allen Leeds on April 16, 2007, is DENIED.
93. IT IS FURTHER ORDERED that, pursuant to section 5(c)(5) of the Communications Act of 1934, as amended, 47 U.S.C. § 155(c)(5), and section 1.115(g) of the Commission's rules, 47 C.F.R. § 1.115(g), the Application for Review filed by TV Communications Network, Inc. on February 28, 2007, is DENIED. IT IS FURTHER ORDERED that the Supplement to Application for Review filed by TV Communications Network, Inc. on November 1, 2007, is DISMISSED.
94. IT IS FURTHER ORDERED that, pursuant to section 5(c)(5) of the Communications Act of 1934, as amended, 47 U.S.C. § 155(c)(5), and section 1.106 of the Commission's rules, 47 C.F.R. § 1.106, the Petition for Reconsideration filed by Virginia Communications, Inc. on February 28, 2007, is DENIED. IT IS FURTHER ORDERED that the Supplement to Petition for Reconsideration filed by Virginia Communications, Inc. on January 15, 2008, is DISMISSED.
95. IT IS FURTHER ORDERED that, pursuant to section 4(i) of the Communications Act of 1934, as amended, 47 U.S.C. § 154(i), and section 1.115 of the Commission's rules, 47 C.F.R. § 1.115, the Application for Review filed by Paradise Cable, Inc. on February 9, 2004, is DISMISSED.
FEDERAL COMMUNICATIONS COMMISSION
Marlene H. Dortch Secretary
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NEST CROWE'S OW O
A genius on screen, but maligned for loutish behaviour off it, RUSSELL CROWE is a man who looks back in anger, but mellows when it comes to wife Danielle and his soon-to-be-born son, writes DAVID LESER.
So, here he is. Russell Crowe. Beyond the hype and the headlines, coiled tightly in his seat, head buried in his hands, occasionally laughing like a little boy, but talking, always talking, and then occasionally looking up at you with those eyes of his, those famous steel blue arrowheads that might easily pass for weapons of war.
the brooding, unshaven figure in a tracksuit in front of you bears any resemblance to the alpha male who seems to fight his way so regularly out of the front pages of the world's newspapers.
those characters, gay plumber included. "There's part of me that is a gay plumber," he says with deadpan delivery. "I love laying pipe ... Excuse me, bad gag, not for the The Women's Weekly."
This is the man some people like to call the drunken lout, the foul-tempered prat, the insecure punk who leaves vapour trails of enmity in his wake, but who also brings to the screen such boiling, watchable genius that he is now regarded as one of the world's finest actors.
And while part of you is going through this rollcall of stellar performances, another part of you is trying to figure out whether
It's a difficult call. We often believe what we read, and yet here he is in the flesh giving you all the reasons why it's as crazy to believe these stories as it is to believe that he is, well, Maximus himself.
Okay, but what about the rest? What about the man behind the characters, the one who allegedly starts a brawl outside a Coffs Harbour hotel four years ago, where he is seen on four separate video cameras verbally abusing two young women, biting a club patron on the neck and throwing a punch at his brother? Did the cameras lie? Did his accusers?
If truth be known, it's a slightly surreal feeling being in his presence. One part of you is programmed not to see the real person at all, rather just the characters he's brought to life for our entertainment: the neo-Nazi skinhead (Romper Stomper), the gay plumber (The Sum of Us), the brutal cop (LA Confidential), the hulking whistleblower (The Insider), the Roman general (Gladiator), the SAS soldier (Proof of Life), the brilliant, schizophrenic maths professor (A Beautiful Mind), and now, in his most recent incarnation, the British 18th century sea captain (Master and Commander: The Far Side of the World).
"And all I'm doing is telling a story. I'm not going to take that character off the screen and walk up and down the street as that character. So, to meet me, you may experience some disappointment. There's nothing I can do about that. You can't expect me to apologise if other people take that character more seriously than the person performing it."
he might have just blown his
And then there's the incident at the BAFTA awards ceremony night in London in February 2002, where he reportedly pinned a television executive against a wall because he had the audacity to cut 50 seconds from his best actor (for Gladiator) acceptance speech? True, he later apologised to the executive, but was it genuine remorse or was it the behaviour of a man who realised chance for a second
A Beautiful Mind)? And then there is the scuffle in the London restaurant in November of that year, when he consecutive Oscar (for
Russell Crowe, 39, a consummate actor and a man who is often misunderstood.
"Do I feel I need to explain myself at any stage?" he asks rhetorically and with a world-weary sigh, a few minutes into our interview in a Sydney hotel room. "Well, this is the explanation, folks. I'm an actor. I play roles. You go to the cinema, you pay your money. The more effort I put in ... basic principles of mathematics, possibly even gravity ... you have a better experience in the cinema.
So that clears that up. Russell Crowe, 39, is not, repeat not, any of his characters, although everything he has ever experienced in his life has informed apparently hurled a racial taunt at the New Zealand Warriors football club owner, Eric Watson, before punching him twice in the face. (Watson retaliated by knocking Crowe to the ground with a well aimed jab.)
Well, to try and find out all one can really do is keep an open mind, ask the questions and hope like hell the interview doesn't end before it begins.
Are these incidents the mark of the man, or are they more the occasional mind explosions of a fiercely intelligent, highly ambitious, but sometimes deeply insecure, individual still coming to terms with his mega celebrity status?
Do you ever recognise yourself in the stories that are written about you, I venture at the outset?
"Somebody asked me about playing the role of a captain [in Master and Commander] and I said, 'It's going to be very difficult to walk away from 70 or 80 [cast and crew members] saying, 'Good morning, Sir'. And that gets played out as some kind of giant egotist and that's not the reality of where it was coming from."
"Very seldom," Russell replies, taking a deep drag on a cigarette. "Every now and then someone will print a complete quote which will make me laugh, when I think about it ... fun to actually say that ... my sense of humour can be a little sharp at times and it's possibly most sharp when I talk about myself in terms of my selfdeprecating sense of humour.
What about incidents such as the
" shortly afterwards. "I haven't mentioned that." No, I know ...? "And I'm not going to. I'm not going to answer your question. "All I can say, mate, is that people are far more aware of me when I go into a room than I've ever been aware of myself. If I'm in a restaurant, I'm usually there to eat. Very simple. If I'm walking down the street, I'm probably going somewhere. Things get applied to who you are and what your intentions are. How are you supposed to combat that? How are you supposed to combat people being able to print things with impunity and say whatever the hell it is they want to say about you. "Now, I'm no choirboy ... but having said that, I'm not a malicious person. I don't view life with a great deal of negativity. I don't think anybody owes me anything ...
"I can [be having] a conversation with somebody that I've known 20 years ago and they can be recounting a story of something we supposedly did together, and I can be sitting there and their memory splits off from reality and they start relating things to me that they would have told at dinner parties over and over again.
"But if you've got photographers up your arse most days of the week of your life, what are you supposed to do? [Does it mean] I can't have a negative conversation with a cab driver, for example, because he might ring a newspaper and tell on me? If [he's] a s**t, f***ing driver and [he's] driving me around in a cab I'm going to tell [him].
"And as things have progressed in my career or whatever, they've added a little bit of information here or there to spice it up. And I'd be sitting there listening to it going, 'I'm actually here now, this isn't the dinner party. This is you and me, right, and now it's very funny that you've related that [story] ... but it didn't happen [like that]'.
"You're writing for The Australian Women's Weekly, right? Well ... the medium of that kind of magazine will not allow you to express the fact that you may believe there is something outside this human existence that you don't understand, and you won't be able to understand, but you're getting clues to.
a kookaburra visiting him before his grandfather's death 14 years ago, he responds warily.
"[You might] have great intentions of treating this as a serious subject matter ... but by the time it's in a British tabloid [it looks like] I talk to birds."
"Okay, well, I'll tell you exactly the situation. I'm in my apartment in Woollahra [in 1989] ... and I was in the kitchen and I had the window open. Five storeys up and a kookaburra just landed on the windowsill. I looked at it and it looked at me. We were this far apart. That had never happened to me before and it wasn't scared of me. I felt it had something to communicate to me, so I just looked at it for a second and I knew that my grandfather [Stan Wemyss] was dead. I just knew it right then."
Russell eventually relents on this point when I insist that his comments will be recorded faithfully and fairly.
It was a visitation? "Yeah ... and when that thought had come into my mind, the phone rang and it was my mother – probably 10 or 15 minutes later – I said to her, 'Is Stan dead?' And she said, 'Yes'."
Russell and Danielle Spencer after their wedding on April 7 this year.
"I actually have two or three of the worst recordings in the history of the New Zealand music industry," he said in another typically self-deprecating aside. "So I've got that whole bottom end covered."
he was 16, he'd adopted the stage name Russ Le Roq and penned his first single, I Wanna Be Like Marlon Brando. It was a spectacular flop.
Although he had significant success in musicals such as Grease and The Rocky Horror Show, it wasn't until he was 25 that he landed his first lead role in a film, The Crossing, playing opposite the woman he would later marry, Danielle Spencer.
This smouldering anger at being passed over for nearly two decades is an important clue to understanding Russell Crowe, as is the fact that – by his own admission – he often felt misunderstood while growing up. At school he won prizes for English and history, but they never seemed to count for much when compared to his alleged behaviour.
"[So] if you're telling a story about a situation that has happened in my life ... for a start, you can't tell it from the perspective [of me] if it's something that's happened to me ... because you're not me."
"[That's] a 19-year apprenticeship," he tells me now, "and 19 years of 'No mate, you're not good enough. Don't like your hairdo. You're the wrong height.' None of the things that are relevant to the character or the possibility of playing characters."
For Russell this was evidence of life's deeper mysteries communicating themselves to him in subtle, but powerful ways. Only trouble is, how do you talk about these things without being misconstrued?
one in the London restaurant? I ask
"So you get a lot of that. And oddly enough, I get it from my own family. Every now and then I will catch my brother [Terry] telling a story and [I'll say to him], 'You know you just told that story. That was you'. And [he'll reply], 'Yeah ... but it's much more fun if I say it's you'.
"Whatever I say ... the fact that I am open about these things makes me such an easy target," he says.
"Being unfairly accused ... dates all the way back to primary school," he says. "There was an incident that happened at [Sydney's] Vaucluse Public, which had nothing to do with me, but I was blamed for. And I remember being punished for it and it turned me and my attitudes towards headmasters and teachers."
IF THERE'S A PROBLEM, THAT'S WHERE IT IS – MY WILLINGNESS TO GIVE MY OPINION
and my willingness to respond in any kind of situation with what I feel at the time.
Russell has delivered these remarks about an hour into what will end up being a three-hour conversation. During this time, we will find ourselves discussing everything from his latest Peter Weirdirected film to various aspects of male friendship, love, ambition, the importance of family and the role of culture and spirituality in one's life.
"We could muse for hours, but all I'm doing is digging a deeper hole. Forgive me for being a little overprotective, but the thing is, right here I am saying I am overprotective and I'm telling you that these subject matters are not good subject matters for me to talk to you about in an interview because of the target [that I become].
show business. His maternal grandfather, Stan Wemyss, had been an awardwinning cinematographer during World War II and his parents, Alex and Jocelyn, were, for much of his early years, set caterers in film and television.
Each topic holds its own fascination – and its own potential for misunderstanding. And Russell has been hard-wired to expect the latter, especially from journalists. When I ask him, for example, to confirm a story that I'd heard about
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"But I haven't stopped talking. And that, mate, is the problem. If there's a problem, that's where it is – my willingness to give my opinion and my willingness to respond in any kind of situation with what I feel at the time.
That's where the problem lies. I'm not faking it and I don't put it with a pretty bow because somebody else needs it that way."
*●●●●●
RUSSELL CROWE'S AMBITION to be an actor was palpable even as a young boy. As he once commented, "I would look at the 28-year-old guy playing the war veteran in a film and tell my parents, 'I don't know why the director doesn't see me in that role. I might be a little short, but I can do it'."
The official school history of his old Mt Roskill Grammar School in Auckland is a case in point. "If I hadn't gone on to do what I do ... [nobody at that school] would remember me from a bar of soap. But they're telling a story – and this is in the official history of the school – where I'd become so unpopular with the junior school that at one fundraising meeting it was voted that I should be chained up and led around the school doing a series of unpleasant tasks in front of a baying crowd.
He knew instinctively he was born for
"[And I'm thinking], 'What f***ing planet are you on. It never f***ing happened
Born in New Zealand in 1964, Crowe moved with his family to Australia in 1970, where, at the age of six, he scored his first acting job in the Australian television series Spyforce. At 12, he appeared in The Young Doctors. In the interim, he acquired the first of many guitars, thus giving expression to his other great passion – music. By the time
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THE AUSTRALIAN WOMEN'S WEEKLY – DECEMBER 2003
swallowed up by a huge tidal wave, if there was a bubonic plague in Europe and if the continent of Africa disappeared from some Martian attack."
Earlier this year, Russell caused an estimated $20,000 damage (which he paid for) at the luxury W Hotel in Sydney, after he and the South Sydney firstgrade team decided to play a game of football in the restaurant after dinner.
In that sense, he is the ultimate Antipodean Male, a man who hates pretence, bridles at authority, hides his genuine warmth and softness under a tough exterior and revels in the company of his fellow man, particularly those from his beloved South Sydney rugby league team.
On one level, it was sheer, drunken recklessness. On another, it was probably the most astute thing anyone had done for the hapless bottom-of-the table team
I'D MOVE TO LOS ANGELES IF AUSTRALIA AND NEW ZEALAND were swallowed up by a huge tidal wave, if there was a bubonic plague in Europe."
[and yet] it's in the f***ing book. It's in the history of the school.
"As Oscar Wilde said, 'Biography is evil'. People from outside somebody else's life can't describe what that person's life was."
instructions from his friend Richard Tognetti, the artistic director of the Australian Chamber Orchestra.
that year – get them drunk mid-week to remind them that it was, after all, only a game.
*●●●●●
TWO YEARS AFTER WINNING his first lead role in The Crossing, Russell Crowe's simmering displeasure with the world was perfectly parlayed into the role of Hando, the vicious skinhead in Geoffrey Wright's movie, Romper Stomper.
“
The following Saturday, the team trounced the far more fancied Melbourne Storm, after receiving an inspirational half-time talk from Crowe, which included him drinking an imaginary glass of Bookers Bourbon to their health. "My message to them was don't forget to enjoy yourself."
Although the movie was condemned by, amongst others, then Australian Prime Minister Paul Keating as "morally bankrupt", the American actress, Sharon Stone, found Russell's performance so electrifying she delayed production on the film The Quick and the Dead in order to get him to play opposite her.
He was also indisputably one of the most talented. Although never formally schooled as an actor, he made the craft look effortless, even when displaying skills for which he had no previous training.
"Russell Crowe is the sexiest guy working in movies today," she declared.
In his latest film, Peter Weir's Master and Commander, Russell's character, the 18th century naval sea captain, Jack Aubrey, is the possessor of an improbable talent: he plays the violin. For that reason, Russell decided that he would take violin
Sex appeal and talent aside, what has continued to make Russell Crowe such a compelling figure – to film-makers and the movie-going public alike – is the whiff of danger that has constantly surrounded him.
Tognetti is full of praise for what Russell accomplished. "It is hard to play the violin," he says. "It is one of the hardest things you can do ... it's like learning a Chinese dialect. And so, given that, he did an astonishing job ... especially as he'd been holding a sword all day."
It's not just the previously mentioned public brawls or the fact that he's been known to tell American producers where to shove their budgets – especially if they don't like his accent – or that in real life he charms leading ladies (Meg Ryan) away from their leading men (Dennis Quaid) – as he did a few years ago. It's that he genuinely seems the antithesis of the manufactured, overly glamourised Hollywood star.
"I'd move to Los Angeles," he once said, "if Australia and New Zealand were
"I made a pact with myself," Russell says, "that I couldn't possibly play a man who played the violin without knowing in my heart that I could truthfully make a beautiful sound on the instrument. And there began a long dance with a very harsh mistress."
It's a message Russell might well have been reminding himself of in the wake of all the bad boy publicity last year.
And it most definitely comes from "a lazy day with the wife doing whatever you want to do".
Joy comes from the bonds of friendship. It comes from reflective time on his farm, at Nana Glen, in the hills behind Coffs Harbour. It comes from opening a new script and smelling the pages. It comes from nailing the character and from completing the film.
In April this year, Russell married singer/actor Danielle Spencer in a ceremony at Nana Glen. Next
"When Danni and I came back
Two-year-old Russell in New Zealand in 1966, before his family settled in Australia.
month will see the birth of their first child, a son, and you can actually hear the pleasure from these developments in his lilting, smokecured voice.
is patiently waiting to go home. Inside, Russell is still talking, still letting the light in on what it means to be Russell Crowe.
In his latest film, Master and Commander, Russell plays an 18th-century sea captain.
Sure there's the incredible job and the homes and the wife and the pay packet ($20million for the last film). But there's also the rumour mill, which just keeps churning every day.
"What the f*** are you people talking
"Every f***ing day," he says, "there's 15, 20 articles or more around the world, which are just rubbish, you know. 'Russell was looking at real estate, I don't know, in Noosa Heads. Russell has bought a castle in Armidale. Russell owns shares in a winery in Tasmania.'
THERE'S A SOCIETAL THOUGHT PROCESS THAT THE ANGRY MAN IS GUILTY.
I tell you what, ladies and gentleman, that's a lie."
[to Darcy's restaurant in Sydney] and I'll see if that's the right moment.
And we wonder why Russell Crowe gets angry. Not because he's done anything wrong, he says. To the contrary, because he hasn't. He's just been constantly hounded and unfairly accused, like in the old days at school.
"It was the end of dinner and everything was cleared up, and there was nobody else around and I just started talking about, you know, the same sort of conversation we had had many times – about how much I loved her and how much I liked being with her, and it just went from there."
"I don't know about soul mate and stuff. I am my own person and I don't know what that means to somebody else who's reading it. But it feels to me that when the person you're with makes you more thoughtful, gives you an intellectual foil that is without restriction to discuss things, and allows your imagination to wander [then] this is beginning to be what I suppose soul mate means.
" together as adults ... when she attended the Academy Awards in 2001 ... it just felt really good. We weren't boyfriend and girlfriend. She just came as my mate to go to the big do. "But if you ever see footage of that moment, even though I'm completely gobsmacked [that I won for Gladiator] ... and it took me a long time to get out of my chair and everything, before I went up on stage, I turned to her and I bent down on her level, because she was sitting in the chair, and I said, 'This is because you're here'. And I gave her a kiss and then went up on stage, and made a speech ...
"But I decided I was going to marry Danni a long time ago. It's got nothing to do with England or restaurants ... I just didn't want to ask her when I thought she might have more than one answer in mind ...
"I had already been hanging out with her for quite a while by that stage, with the ring in my pocket, wondering, you know, is this the right moment? And it just so happened that I thought, 'Well, let's go about? These are stories that are printed in newspapers by people calling themselves journalists."
As for becoming a father, Russell is determined to ensure he gets the right balance between the crazy, peripatetic demands of his working life and those of his family.
"I've got a friend whose son sometimes goes to a rural school, sometimes goes to a city school and sometimes goes correspondence, depending on what the situation is.
"For the next five years," he says, "I think it's a matter of working harder because I want to be the bloke who picks up my son from school. I want to drop him off in the morning and pick him up at the end of the day.
"But the bottom line is you've never seen a more balanced and loved child than that little fella. Really ... continuity in a kid's life has little to do with geography and far more to do with the attention of his parents."
*●●●●●
OUTSIDE THE HOTEL, the Sydney light has faded and Russell Crowe's publicist
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THE AUSTRALIAN WOMEN'S WEEKLY – DECEMBER 2003
"There's a societal thought process that the angry man is guilty," he says. "I tell you what, ladies and gentlemen, that's a lie. That's absolute rubbish.
Russell Crowe is a complex man. He's combustible, loyal, funny, generous to a fault and possessed of a furious, roaming intelligence.
"The guy that can keep calm when he's been accused of all and sundry is more than likely lying to you. And if there's one thing that's guaranteed to get any truthful, decent man to stand up for himself, it's when people are accusing him of something falsely."
Early on in his career, he worked out that he didn't necessarily have to love his characters to play them well. He saw that loving them too much could blind him to their faults, thereby robbing them of their essential, flawed humanity.
As it does in real life, too.
"In my job," Russell says, "it's the faults that make it interesting."
W
Master and Commander: The Far Side of the World will be released in cinemas around Australia on December 4.
THE AUSTRALIAN WOMEN'S WEEKLY – DECEMBER 2003
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PULL-OUT QUOTES:
"I'm an actor. I play roles. You go to the cinema, you pay your money. The more effort I put in ... you have a better experience in the cinema."
"All I'm doing is telling a story. I'm not going to take that character off the screen and walk up and down the street ... So to meet me you may experience some disappointment."
"All I can say, mate, is that people are far more aware of me when I go into a room than I've ever been aware of myself."
"I actually have two or three of the worst recordings in the history of the New Zealand music industry. So I've got that whole bottom end covered."
"When Danni and I came back together as adults ... when she attended the Academy Awards in 2001 ... it just felt really good. We weren't boyfriend and girlfriend. She just came as my mate to go to the big do."
"But I decided I was going to marry Danni a long time ago ... I just didn't want to ask her when I thought she might have more than one answer in mind ..."
"It was the end of dinner and ... I just started talking about, you know, the same sort of conversation we had had many times about how much I loved her and how much I liked being with her, and it just went from there."
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Report to UN- Asia Pacific Adaptation Network
Early Warning Systems for Disasters in Sri Lanka
Sri Lanka is prone to natural disasters such as Tsunami, Landslide, Floods, Cyclones, High winds, Drought, Coastal erosion, Thunder storms etc. The country is also prone to manmade hazards due to unplanned human settlement development and climate change trends. Floods in December 2012 alone affected 17 districts and approximately more than half of million people were affected. Landslide and cutting failure frequently cause disasters in hilly area in Sri Lanka. In the year 2003, 252 deaths were recorded due to cutting failure and landslide.
Since the Tsunami in 2004 the Government of Sri Lanka has taken significant steps forwarded strengthening legislative and institutional arrangements for disaster risk management in 2005.Sri Lanka Disaster Management Act no 13 0f 2005 was enacted which provide the legal basis for instrument a disaster risk reduction in the country. The National Council for Disaster Management (NCDM) is a high level inter-ministerial body. The chairman of the NCDM is HE the president and vice chair the by Hon Prime Minister, other member are leader of the opposition, ministers in charge of 20 selected subject areas , provincial council, chief ministry's and five members of the opposition provides direction to disaster risk management in the country. The act also provides for establishing the Disaster Management Centre (DMC) under the council to be the apex body for the purpose of planning, co— coordinating and implementing of certain natural and other forms of disasters.
Disaster Management Centre (DMC) is the leading agency for disaster management in Sri Lanka. It is mandated with the responsibilities of implementing and coordinating national and sub national level programmes for reducing disaster risk with the participating of the stakeholders.
A) Disaster Management Plans
Main tasks of the DMC is to developed disaster management plans for responding to disaster across all levels. Development of such plans is required by the Sri Lanka Disaster Management Act and National Disaster Management policy.
District disaster management coordinating units (DDMCU) are the focal point for coordinating of district level, divisional level, local authority level and Grama Niladari level for coordinating response and managing and disseminating in emergency situations.
B) Weather Information for Decision Making.
The Meteorological Department responsible for weather forecasting is one of the oldest government departments in Sri Lanka. Since establishment it has rainfall records for some stations of more than 150 years. At present the department maintains 37 Automatic Weather Station (AWS) network with updating every 10 minutes. Rainfall records provide facilities for trend analysis and thus has a major role especially in predicting floods and possibly understanding droughts. Linked to international networks weather data is shared among key Sri Lankan organizations as required, eg Irrigation Department, MASL,
Agricultural Department, National Building Research Organization, Fisheries Department, Coast Conservation Department and Ceylon Electricity Board.
Focal points are available in these institutions and regular interaction takes place including when there is a rainfall event of more than 100mm.
A Climate Studies and Research Division of the Department also analyses data and informs likely scenarios and projections to these agencies.
In addition weather stations are maintained by the Irrigation Department, MASL, Electricity Board and some plantations. The Irrigation Department which has wide network is presently updating its weather stations to 122 automatic weather stations to be completed by 2015 to ensure fast information flow as it is responsible for flood forecasting. Daily updating of reservoir levels is being done by the Irrigation Department with increased frequency input during times where reservoirs are at or near full supply level. Same occurs with MASL where the Water Management Unit constantly appraises water levels in the reservoirs managed by MASL and the CEB. NBRO too maintains a system of automatic rain gauges for use in landslide vulnerable areas.
C) Early Warning Systems for Floods and Droughts.
Being an island, Sri Lanka unlike countries that share basins and rivers, do not have to be preoccupied to respond to events such as floods resulting as a consequence of extreme weather events in neighboring countries. Floods mostly seen as hazard and causing economic loss and loss of life in most instances do have beneficial impacts such as ground water recharge, help maintain wetland eco systems whilst keeping flood plains fertile by depositing rich silt on riparian lands.
Floods are generally critical in May to July in Wet Zone of the country and November to January in Dry zone of the country. There are three types of floods mainly affects in country.
1. Riverine floods; this is another way to say river floods and river reaches its flood stage water can rise and spill over the banks of river.
2. Urban floods; these types of floods that happening in a relatively short period of time and can inundate an area several feet of water.
3. Reservoir induced floods; these types of floods that occur at the downstream of a reservoir due to spillage of reservoir at high rains are classified as reservoir induced floods
a) Flood forecasting
The Irrigation Department is responsible for flood forecasting and issuing early warnings to the general public to safeguard and evacuate from riverine floods and reservoir induced floods.
Irrigation Department currently maintains 32 permanent river gauging stations at critical locations of rivers of the country.
It is planned to increase 122 permanent weather stations at critical river basins and reservoirs by end 2015. Water levels, rainfall data of these locations are presently being transmitted online. Close interaction with the Metrological Department enables a reliable forecasting regime to be in place.
The river gauges have been so calibrated in reference the flood situation of the relevant flood plain as follows.
1. Flood alert level
2. Minor flood level
3. Dangerous flood level
4. Critical flood level
b) Flood Forecasting Process
Kelani , Kalu, Gin & Niwala are the main river basins in the wet zone of Sri Lanka which are viable for frequent flooding. The river stages and the rainfall of key stations of these rivers are monitored continuously (3 times per day even during non-working days) from Colombo ID Head Office. When excessive rainfall occurs and if the river stages are closer to the Minor flood level special Flood Monitoring Unit is organized in Colombo office to monitor water levels in every hour, day & night continuously until the excessive climatic condition is cleared. Prior flood warnings are issued from this office to the relevant agencies including DMC for proper mitigation or adoptive actions.
Special attention is being given to Kelani, Kalu, Gin, Nilwala ( 4 river basins) to establish river gauge stations at all key points. CDMA telephones are provided to all these stations to be connected to Colombo office to enable on time data communication. These data are processed in Colombo and conveyed to the required agencies with minimum time lag.
Gauge stations are manned by ID permanent employees HSL day & night and all the 365 days of the year. At Head Office of ID a Special Operations Unit is organized to work for 24 hours continuously until critical weather conditions are cleared.
Department of Meteorology is consulted for the next 24 hour forecast of rainfall and to get necessary rainfall data from their stations. The data of these gauging stations are transferred presently over the phone to Hydrology Branch of the Department as follows including dissemination.
The water levels of all the major reservoirs managed by ID are daily monitored by staff of respective DIE division and reported to respective District Director and Water Management Division in Head office daily. If water level of any reservoir is closing to spill level then steps are taken to closely monitor such reservoir. The data transfer and dissemination system of reservoirs as follows.
c) Flood Forecasting Decision Support System of Irrigation Department
d) Flood Monitoring Committee
Irrigation Department Flood Monitoring Committee is directly under Director General of Irrigation and Additional Director General (System Management). It is consists of Directors of Irrigation -Assets Management, Hydrology, Water Management and Flood Studies, Drainage and Disaster Management. Emergency Operation Room functions round the clock with participation of officers from Flood Monitoring Committee and their representatives.
e) Flood Management Programme
Out of the 103 river basins, 16 have been identified as critical, due to being longer than 100km with a basin area of 1,000 Km2 or more, for flood mitigation and prevention.
The river basins that were identified as critical are located in areas where there is rapid development resulting in the reduction of the surrounding forest and permeable areas. As a result, surface runoff has increased where excess water flows to the sea without being utilized productively. This event has the potential to create floods, deluging a large area, causing server damages to crops and properties.
Name of the identified critical river basins:
1. Mahaweli Ganga
2. Malwathu Oya (Aruvi Aru)
3. Kala Oya
4. Kelani Ganga
5. Yan Oya
6. Deduru Oya
7. Walawe Ganga
8. Maduru Oya
9. Maha Oya (Mundeni Aru)
10. Kalu Ganga
11. Kirindi OYa
12. Kumbukkkan Oya
13. Menik Ganga
14. Gin Ganga
15. Mi Oya
16. Gal Oya
D) Early Warning Systems for Droughts
There is at present no specific method for drought prediction but both the Meteorological Department and irrigation/agriculture authorities are trying to establish a drought monitoring system. In recent times the increasing frequency and unpredictability in drought occurrences makes it imperative that the issue of drought prediction be taken as priority process.
The onset of drought is an insidious process and difficult to predict till it is upon us and effects noticed. Coping with droughts are related to increasing water storage and river diversions and regulating systems, adjusting crops, cultivars, adopting crop diversification and cultural practice's for crop production under drought conditions.
Climate smart agriculture is being perceived as being increasingly important in this endeavor pending reliable forecasting systems that will enable prior preparation for drought situations. Drought monitoring systems when in place will enable addressing and coping with drought and is increasingly significant in the context of climate change.
E) Early warning system for Landslides
National Building Research Organization (NBRO) under the Ministry of Disaster Management in Sri Lanka has been conducting a Landslide Hazard Zonation Mapping in the ten districts of hill country areas since1989 covering entire districts of Badulla, Nuwaraeliya, Matale, Kandy, Kalutara, Ratnapura, Kegalle,Matara, Hambantota& Galle districts in 1:50000 & 1 : 10000 scale.
Established Auto meter rain gauging for important locations. This gives more accurate rainfall data for early warning. This can update every hours. NBRO issues landslide warning landslide watch level using colure core yellow mention that message "If the rain continue within next 24 hours be watchful on the possibility of landslide and cut slope failure. Level 02 using colour code amber mention that "since a prevailing bad weather condition is expected to continue within next 24 hours be alert on the possibility of landslide rock falls and cut slope failures.1 st & 2 nd warning issued to the Disaster Management Centre and DMC issues warning to the public.
Enhanced real time landslide forecasting and early warning capacity is by establishing automates rain gauges network in 50 communities/ catchment in Badulla, Kandy, Kegalle, Kurunegala, Matale, Nuwaraeliya districts where Doppler Rader coverage is not available.
Main objectives is to issue timely and effective early warning on landslides to vulnerable communities to reduce the lives and property damage. The early warning can be used by inputting real time rainfall data obtained through automated rain gauges with the established of the proposed system, vulnerable communities receive the early landslide early warning message during heavy rain to timely evacuate as pre planned and practiced from risk areas.
At preset over 3000 landslide prone sites have been identified and mapped by NBRO in 9 districts prone to frequent landslides.
F) Multi Stakeholder engagement for last mile Early Warning system
The 2004 Indian Ocean tsunami that claimed the lives of 35000 of Sri Lankan people and displaced one in twenty has highlighted the critical importance of an effective National Early Warning System for Sri Lanka (NEWS:SL). Meeting this need, which has been discussed after each of our too frequent disasters such as the cyclones of 1978 and the floods of 2003, can no longer be postponed.
Recognizing that effective warning is just one of the critical parts of a comprehensive risk management system that includes mitigation, preparedness, response and recovery. Warning is a crucial component of the overall risk management system that failed in the 2004 Indian Ocean tsunami.
G) Current Early warning Systems and Responsibilities
DMC is the main focal point responsible for coordinating early warning, along with the relevant technical agencies and Technical Committees, its dissemination and for ensuring last mile dissemination of same. The Emergency Operations Centre of the DMC will be in constant coordination with all technical agencies responsible for natural and man-made hazards and in instances of any imminent disaster it will take action to inform the responsible officers for onward communication to the sub-national levels and communities. Early warning messages are based on different stages which include "Alert, Warning, Evacuation order, Withdrawals and Stand down."
DMC has established an effective early warning system for disasters – natural, technological and manmade - through the Emergency operation Centre of the DMC. Priority will be given for those disasters, such as riverine floods, landslides, flash floods, tropical cyclones, storm/sea surges etc. At the same time for rarer but very destructive hazards such as tsunami, systems are in place. Methods of obtaining information about impending disaster events and issuing early warnings would vary from one hazard to another due to different characteristics of different hazards. With respect to local hazards such as floods and landslides, local systems already available will be strengthened. For other hazards such as earthquakes, tsunamis, adverse weather conditions and cyclones the relevant agencies will work in constant coordination with the respective regional and international warning centers.
H) Technical Institutions Responsible for Forecasting and Issuing Warning Alerts for Different Hazards; and their Roles and Responsibilities
At present in Sri Lanka, there are several technical agencies to handle issues related to different hazards / disasters. For most of the disasters, there is a government institution legally mandated to monitor the disasters which fall within their expertise as follows,
a) Technical Agencies
Technical agencies are responsible to issue the warnings of relevant disasters as per table below
Technical Agencies responsible for issue of warnings
Technical agencies provide the early warning messages to the DMC. The DMC will analyze these early warning messages and disseminate to the vulnerable communities via various technical and nontechnical communication methods.
I) Communication Systems for Early Warning Dissemination
Early Warning (EW) mechanisms and systems have been established for effective issue of EW of an impending disaster at national and sub-national levels down to the last mile where communities are. Dissemination of warning from National level to the grassroots level are divided into four layers, namely, National, District, Divisional and GN Level. The Emergency Operation Center (EOC) of the DMC receives the EW message from International and Regional Technical Agencies. A national level EW message is disseminated to the emergency response committees and their responsibility is to pass the messages to their own organizations. District level EW is disseminated through District Disaster Management Centre Units (DDMCU) to the District Secretariat and stakeholder agencies and also to the political authority. Divisional level EW messages are disseminated to the divisional secretariat from DDMCUs.
Divisional secretariat will disseminate message to political authority, S & R teams, Police and district stakeholders. At the same time the EW is disseminated to the local authorities they will pass the message to the vulnerable community is mainly through the Police and military communication systems, radio communication, multi-hazard early warning towers, media and the normal telephone systems. GN level EW message is disseminated to the vulnerable community by last mile communication tools.
Alternative countrywide communication systems already been established and with these improvements, DMC ensure that there will be a mechanism to inform the vulnerable communities immediately. These include the Nation-wide Emergency Communication System, which will be used to provide information on:
- Impending cyclones, floods, landslides, epidemics, sea surges, tsunami and storms etc.
- Impending floods due to dam breach, rapid opening of sluice gates; dam & reservoir related floods
- Inundated areas, and closure of roads and bridges that have become impassable
- Evacuation routes and safe areas and etc.
Early warning messages are based on different stages which include "Alert, Warning, Evacuation order, Withdrawals and Stand down."
According to the EW framework, when there is an impending disaster, the technical agency responsible for the given hazard determines the scale of the disaster and the decision is conveyed to the Ministry of Disaster Management and the Emergency Operation Centre of the Disaster Management Centre.
The technical agency may receive hazard alerts from its own in-country monitoring facilities/ mechanisms or from regional and international EW agencies. The vulnerable community itself could also be a source of information to the technical agency regarding an impending disaster. The technical agency or the first respondent is different for different hazards.
Several Methods were integrated with early warning from National level up to grass root
National Leveland District Level
- Media.
- Early Warning Towers.
- Police & Military Communication
- Cell Broadcast/ SMS
- Intra Governmental Network
- Satellite & Radio Communication (HF & VHF)
- Telephones / CDMA/ GSM
- Radio Communication
- Telephones/Fax / CDMA/ GSM
- Police & Military Communication
- Media
Village Level
- Telephones / CDMA/ GSM
-
Police Vehicles – Announcements NGOs and CBOs
- PA Systems
- Sirens ( Hand and Electric)
- Temple and church bells
- Riders/ Push Bicycle & Motor Cycles/Messengers
- SMS / Cell Broad cast
- Early Warning Towers
- Media
- Traditional and Religious methods
- Early Warning Committees (Door to Door)
a) Last Mile Dissemination to the Communities
From the above locations (district / divisional / local authority / Grama Niladhari levels or other identified specific locations) onwards, the dissemination to the communities through following various methods:
Personnel and agencies such as Local authority officials, GNs, Local Police, CBOs, NGOs, Military, Police and Volunteers will be involved in the dissemination activities. The effectiveness of the methods will be different in different locations depending on the location specific characteristics.
b) Early Warning (EW) Mechanism
Each organization must ensure and confirm the delivery of the early warning messages up to their last mile branches. DMC must confirm the proper working of the early warning system and ensure the reception of the warning up to the grass root level. DMC must confirm the ground level information and clarify with the technical agencies whether the information is valid to address a disaster.
c) Role of the Media
Media has a vital role to play in the last mile dissemination of the early warning. It is the Media that accesses the last mile community in most of the areas of the country. DMC has the responsibility to ensure authenticity and accuracy of the early warning messages to media via appointed media spokespersons.
DMC must ensure the accuracy of the press release and provision of the particular information to the media within the shortest duration of time.
d) Role of Military and Police for early warning dissemination
DMC has direct coordination with military and police to disseminate the early warning messages to vulnerable communities. Military and Police posts are located in many areas in the entire country. DMC must ensure the communication method and the accuracy of the early warning messages. Military and Police possess separate early warning systems which can access more vulnerable communities and they can direct these communities to safe locations at ground level.
e) Responsibilities of the District Disaster Management Centre Units for early warning
The District Disaster Management Coordinating Unit (DDMCU) is the district level authority which is responsible for ensuring the dissemination of early warning messages to last mile locations.
DDMCU should establish volunteer committees at the ground level and must ensure to equip enough early warning methods and equipment at the village level locations.
DDMCU must clarify EOC messages with DMC before disseminating the early warning messages to the village levels.
f) Responsibilities of the Grama Niladhari for Early Warning dissemination
Guiding District Disaster Management Coordination Units in coordinating and implementing warning dissemination related activities at the Province, District, Local Authority, Divisional Secretary , GramaNiladhari and Village Disaster Management Committee levels.
Divisional Secretary is the party with major response at Divisional level for the early warning dissemination. DS should update with the relevant committees and ensure proper early warning dissemination at the last mile and dissemination priority by vulnerability of particular disaster.
Grama Niladhari (GN) is the government officer at the village level for the early warning dissemination. GN should update the relevant committees and ensure proper early warning dissemination at the ground level.
Evacuation drills/Mock Drills are compulsory to be conducted /practiced in the possible GN Division or DS Division annually under response/guidance of District Secretary ,Divisional Secretary and Grama Niladhari .Early Warning message flow to last mile/Vulnerable group should be very clearly defined and follow practices as legally permissible. Village Disaster Management Committees major responsibility to regular update and disseminate at last mile.
g) Early Warning Contingency Plan
DMC is required to have a contingency plan if the main system does not support the proper early warning dissemination. It should cover the entire EW system from the national level to the grass root level. DDMCU also must ensure the district level and GN level contingency plans.
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The Economic Case for HS2
David Banister
Transport Studies Unit, School of Geography and the Environment, University of Oxford
Moshe Givoni
Transport Research Unit, Department of Geography and the Human Environment, Tel-Aviv University
66 Working Paper N° 10
September 2014
Transport Studies Unit
School of Geography and the Environment http://www.tsu.ox.ac.uk/
The Economic Case for HS2
Evidence submitted to the House of Lords Economic Affairs Committee Inquiry 15 September 2014
Prof. David Banister
Professor of Transport Studies and Director of the Transport Studies Unit, School of Geography and the Environment, University of Oxford firstname.lastname@example.org
Dr. Moshe Givoni
Director, Transport Research Unit, The Department of Geography and the Human Environment, Tel-Aviv University, P.O.B 39040, Ramat Aviv, Tel Aviv 69978, Israel email@example.com and
Visiting Research Associate, Transport Studies Unit, School of Geography and the Environment, University of Oxford.
Preface:
1. "There has always been an assumed link between the quality of the transport infrastructure and economic growth, yet that link has been difficult to demonstrate even after more than 50 years of research" 1 . It is likely that economic growth leads to the need for investment in transport infrastructure and not the other way round. Assuming that investment in transport infrastructure will lead to economic growth is therefore risky. There is agreement however that investment in transport infrastructure could facilitate economic growth and other economic benefits, where the other economic conditions are supportive. However, it should also be noted that investments in transport infrastructure may not lead to economic growth per se, but it is likely that it will only lead to a redirection of development.
2. Investment in transport infrastructure should primarily yield transport benefits. Such benefits, if taking place, will be realised through improved accessibility, or connectivity (for the purpose of this submission these can be seen as synonyms). In the case of HS2 where there is transport infrastructure in place (both rail and road) improved accessibility or connectivity will largely be a factor of increased capacity and change in travel time.
3. Investments in High-Speed Rail (HSR) are increasingly justified through economic benefits, and while there might be such benefits (usually very difficult to measure), basing for the decision for HS2 solely on these economic factors is risky.
4. With this in mind we discuss below the economic case for HS2 considering in turn: Speed, Capacity, Connectivity - the main transport benefits categories, and then the Wider Economic Benefits (WEB) and Image benefits.
1 Banister D. and Berechman J. (2000) Transport Investment and Economic Development Press
, London: UCL
Introduction:
5. Demand for rail in UK is rising, in part due to the HS1. But according to the latest EU statistics, rail in the UK accounted for only 7.4% of passenger-km travelled on land in 2011, slightly higher than the EU27 average at 7.0% and lagging far behind Switzerland with 17.5%.
6. The EU27 rail statistics does not provide clear evidence that increase in HSR ridership translates into an overall increase in rail ridership at the country level, and the evidence are mixed with wide variations across countries. Between 1995 and 2011, rail ridership increased 35% in Denmark and decreased 38% in Greece, but neither of these countries have invested in HSR . Over the same period, rail ridership increased 60% in France and decreased 7% in Italy, and both these countries have invested heavily in HSR. 2
Speed:
7. The economic case for HS2 relies largely on time savings (about 60% of the user benefits). These savings result from increasing the average speed of travel – station to station, and are only partly influenced by the maximum operating speed (250mph for HS2). More important is the number of stations on the route (the main attribute of connectivity – see below), the alignment, and part of the route where maximum operating speed can be achieved. At the same time, the designed maximum operating speed is a central factor in the cost of any High-Speed Rail.
8. Passengers are not only concerned with travel time station to station, but with the travel time door-to-door in which the station-to-station time or speed is only one part. As speed increases, often by reducing the number of en-route stops, the access travel to the HSR station becomes longer for many passengers and more time consuming. Using the HSR is then either not worthwhile or less attractive. It is not only the number of stations that is important but also their location, and this again forms the main element of connectivity (discussed below).
9. There is evidence suggesting that throughout history humans devoted about one hour a day for travelling. Thus, as technology allowed faster travel, it was distance that increased and travel time did not decrease. This has resulted in modes of transport like HSR increasing the amount of travel (distance) with various economic, environmental and social consequences.
10. Furthermore, the assumptions that travel time is a 'waste of time' could always be questioned, even more so today. Given the level of comfort on board HSR services, travel time can be a 'useful time' – to work, socialize and other things. The potential to use travelling time by HSR substantially increased with developments in wireless communications and the laptop, iPhone, etc. It is not the amount of travel time that is critical but its quality and the extent to which that travel time can be used for a range of activities.
2 TREN (2013) EU transport in Figures: Statistical Pocketbook 2013, Brussels, European Union.
11. If travel time is not a complete 'waste of time', the value of reducing it diminishes. The 60% benefits from travel time savings depend on the value of every 'wasted' minute of travel. But if some travel time can become 'useful time', especially for those travelling on business, travel time savings will play a reduced role in the economic justification for expensive infrastructure like HS2.
12. The value of travel time savings also depends on the level and nature of demand for travel. Without getting into details, much of the travel time savings benefits depend on the forecast of the number of passengers and whether they travel for business or leisure purposes. There is much uncertainty and a range of values in the forecast demand for HS2 have been used, as reflected in the literature.
13. Achieving higher speeds is costly, and when the 150mph threshold is exceeded, the economic benefits may be questionable.
Capacity:
14. Lack of capacity was the main reason for the developing the HSR in Japan, France and recently in China. This is also the main motivation for HS2, even if the debate often focuses on cutting journey travel time by increasing speed. Speed is critical in this respect as it allows running more trains per unit of time. Providing capacity, to meet future demand for rail travel, should be the focus of assessing the economic benefits from HS2 – this is what HS2 is being built for.
15. There is a debate on whether the planned 18 trains per hour at peak period is technically feasible. In this debate the cost of building HS2 to serve peak demand is neglected (the crowding problem), and there is a risk of 'over-designing' HS2 when off-peak periods are considered. While important, the cost of addressing a problem limited to very certain periods of the operating day needs to be given more attention.
16. The lack of capacity will occur at the intermediate stops along the WCML, which HS2 (Stage 1 in particular) is intended to enhance. Milton Keynes is a prime example and is currently benefiting from a very high frequency of rail service (to London for example) due to the high demand for rail travel between Birmingham and London. Some of this demand will be shifted to HS2, and there might not be enough demand to maintain the current frequency of service from Milton Keynes to London. HS2 will release capacity on adjacent lines, but little analysis has been carried out on how this capacity will be used as part of the whole network – the low and high speed networks have been seen to be separate rather than as two parts of the same rail system.
17. The HS2 and HS1 high-speed network would require substantial share of the resources allocated to rail transport for maintenance and operation. There is a risk that these will come at the expense of the conventional network, with the consequence that the quality of service will deteriorate and in turn adversely affecting the demand for rail.
18. Since HSR in the UK will cover small part of the rail network. HS2's increased capacity and improved level of service will likely be for a relatively small share
of the rail 'cities' in the UK. It also depends on how HS2 and HS1 are integrated with the rest of the rail and transport networks (see below).
19. If speed is not so important (as travel time savings may have a lower value), the economic case for increasing capacity through other measures should be given more attention.
20. Service reliability becomes more important, and increased investment (in HSR) permits greater reliability provided that there is excess capacity. But, fast trains conflict with slower trains (also reducing capacity by the need to increase headway between trains), resulting in fast trains requiring a dedicated track to provide the benefits of higher speeds, and this is costly. If slow and fast trains share the same stations (platforms), the planned time table becomes more complex and more susceptible to disruption and delays, thus affecting reliability. Increased speed can affect reliability positively and negatively.
Connectivity:
21. Connectivity refers the ease of getting from origin to destination, and speed here plays a role, but the average speed door-to-door and ease (or inconvenience) of transfer between modes is more important. Furthermore, connectivity refers to the ease of getting to many destinations from a particular origin.
22. The nature of HSR, and HS2, suggests a low number of intermediate stations along the route, as each stop can 'cost' up to 15 minutes 3 . The downside of providing too many stations (to increase access to HSR services) is evident on HS1, where Eurostar is being forced to stop some of its services between London and the Chunnel. Two stations in London, in relatively close proximity (and where one of them is not Heathrow) and two in Birmingham are thus questionable in terms of the economic case.
23. To maximize accessibility and connectivity of HSR services, access to HS2 stations is critical. This mainly relates to station location and the integration of the station with the rest of the transport network.
24. With respect to station location the two generic options are city centre and city outskirts– the benefits a city centre location offers are the disadvantage of the outskirt station location and vice versa 4 .
25. The integration of the HSR station with the rest of the network can be considered at three levels: local/urban, regional and national/international 5 .
26. At the local level, it is the integration with the rest of urban public transport that is critical, and the lack of such integration has proved to be an obstacle in achieving the forecast demand levels at city outskirts station location (e.g. in Taiwan).
3 Connor P.: Rules for High Speed Line capacity, Railway Technical Web Pages: http://www.railwaytechnical.com/Infopaper%203%20High%20Speed%20Line%20Capacity%20v3.pdf.
5 Ibid.
4 For a full discussion see: Banister D. and Givoni M. (2013) High-Speed Rail in the EU27: trends, time, accessibility and principles, Built Environment 39(3): 324-338.
27. At the regional level, integration with the conventional rail network is most critical, as rail will be the main feeder of traffic for HSR. An integrated rail-HSR services means that the station should be shared, otherwise the penalty of transferring between stations (even if only a few hundred metres apart) can erode most accessibility and time savings that HSR can offer. The location of the Birmingham HSR station, not at New-Street station (but next to it), will severely reduce the integration with the conventional railway and connectivity with all those places that New Street station is serving 6 . The recent suggestion to create a hub at Crewe 7 to integrate with the rail and road network follows this logic, but it can encourage use of the car at the expense of local public transport.
28. HSR is a strategic long-distance mode of transport but is limited to distances of up to around 1000km, as long as there are no natural barriers (sea, mountain) in its way. By providing a HSR station at a large international airport, HSR can provide connectivity to the world. Building a spur line to Heathrow airport (and not making it a through station on the line) is like building Birmingham station next and not at New Street station. It will mean bearing the high cost (of connection to Heathrow, or city centre location respectively), but without getting the full benefits. An airport-station at Birmingham International is not a substitute due to the small size of the airport, and the airport station is not planned at the airport but nearby, far enough to force passengers to use another mode of transport to transfer between the station and airport.
29. Connectivity has featured in the HS2 debate very much through the objective of 'bringing the regions closer'. This reduces the geographical separation between the South (London) and the North (Newcastle, Leeds, Manchester, Liverpool, etc.), and thus the economic disparities between these regions. HS2 will bring those cities closer in terms of rail travel time, city centre to city-centre, but the effect of it might only be further strengthening the South at the expense of the North. In Paris and Madrid there seems to have been concentration of activities in the capital cities after the HSR networks in those countries opened, and this was at the expense of the secondary cities 8 . London is probably in a similar position as the dominant city. London and the South East provide the headquarters for 66 out of the FTSE 100 largest companies, while the area in England north of Birmingham host only six 9 . With improved connectivity to London there is a risk that these companies will move to London rather than companies in London moving North.
6 See analysis of these issues in: Martínez Sánchez-Mateos H. S. and Givoni M. (2012) The accessibility impact of a new High-Speed Rail line in the UK – a preliminary analysis of winners and losers, Journal of Transport Geography 25: 105-114.
7 Mentioned in the Higgin's report.
8 Warwick Business School (WBS) (2012) Warwick HS2 Forum: Final Report, Unpublished Report from the WBS for the Warwick HS2 Forum, January.
9 Higgins D. (2014) HS2 PLUS – A report by David Higgins. HS2 Ltd.
30. HS2 will improve connectivity between London and the North and this connectivity must be further enhanced by giving due attention to integrating HS2 (stations) with the rest of the transport network. This will certainly bring the South and the North closer, but there is a risk that this will only further strengthen the South and increase the South/North divide.
Wider Economic Benefits (WEB)
31. Urban regeneration, employment, agglomeration benefits are the main wider economic impacts that might result from constructing HS2. The Department for Transport has estimated that HS2 would create 3,100 permanent jobs in operating the new railway and around 24,600 temporary jobs (excluding the supply chain) during construction. There might also be up to 400,000 jobs in additional developments in areas close to HS2 stations 10 . These estimates were based on a report prepared for the Core Cities Group 11 by consultants (Volterra/Arup, 2011, p2). These estimates raise a question arises, as to whether investment elsewhere in the economy – in improving and developing the conventional rail network or investment outside the transport system (e.g. in education) – would provide similar or greater employment benefits.
32. A considerable amount of research has been carried out on the agglomeration effects, mainly with respect to intra-regional changes, and the key question here is whether they are also found on an inter-regional scale (Graham and Melo, 2010). The argument here is that improved connectivity within a city or region can compound the benefits of agglomeration by making spatial economic transactions more efficient through mechanisms such as sharing, matching and learning (Duranton and Puga, 2004). The difficulties here are both in the specification of the relationships and then in measuring them, and the implied causality (including the strength of the statement – whether better connectivity causes higher output or productivity). Graham and Melo (2011) have examined long-distance travel flow in Britain to provide an indicative assessment of the potential order of magnitude of agglomeration benefits from long-distance transport improvements, namely travel time reductions. They infer from this to the likely effect of HSR, and conclude that (p:15) "even in the best case scenario for the improvement in long-distance travel times and the market share of classic and high-speed rail, the potential order of magnitude of the agglomeration benefits is expected to be small." They qualify their conclusion by saying that their analysis refers to the domestic market but "benefits could also arise from improved connections to continental Europe (e.g. Paris, Brussels, Amsterdam, etc) by linking HS2 to HS1" (ibid). However, Higgins (2014) in his recent paper suggested some changes to HS2, and he raises objections to the proposed link between HS1 and HS2, and as mentioned above the connection to Heathrow.
10 House of Commons, 2013, para 34……
11 The cities concerned are Birmingham, Bristol, Leeds, Liverpool, Manchester, Newcastle, Nottingham, and Sheffield.
33. In contrast, Chen and Hall (2011) have put forward a case for arguing that improvements in rail travel time can result in wider economic benefits, even if these are not quantifiable. When examining the effect of introducing HSR services on some trunk routes in the UK – the entering into service of the IC125 (which meant 125mph maximum speed or 200kph) and IC225 (which meant 225kph maximum speed or 140 mph) in the late 70's and early 90's respectively – they found that "substantial and demonstrable effects in aiding the transition to knowledge economy within a 2hr travel limit of London, thus helping to generate renewed economic growth, but the effects have not been automatic or universal" (p. 703). Furthermore they conclude that "cities connected to a new HST[R] could seize opportunities which non-HST cities will not be able to seize" (ibid). The implications for HS2 are clear. First, it cannot be assumed that HS2 will automatically bring wider economic benefits upon completion, as Graham and Melo (2011) indicate and second, that if it will bring such benefits it will be for a selected number of places that are probably already in the process of economic development, and thus HS2 could facilitate economic development, not create it.
Image
34. The UK is certainly lagging behind France, Spain, Germany, Japan and China in terms of HSR development. In comparison to these countries, the UK rail network is perceived as old, crowded and unreliable (at least this is the view domestically, very much portrayed in and by the media). This could reflect, it is argued, on the whole image of the country and on its attractiveness for foreign investment and companies. The speed of the HSR is central in the image of rail, but exceeding the current standard of 350kph maximum operating speed (and even exceeding 250kph) is not likely to be paid back by the image such enhanced speed might create. If trains run at record speed on one or two lines but the rest of the network is still 'old, crowded and unreliable' the image of Rail UK might not change at all.
Conclusions:
35. There is a strong case to meet future demand for rail transport with more capacity including the WCML, and rail has a strategic role to play in UK inter-city transport network. However, HS2 is unlikely to provide the best value for money from the investment made, and the decision should not only be based on the economic case, as this is a high risk strategy with a very long return on investment period. Indeed, it may not even provide such an economic return.
36. There is a need to reconsider its main characteristics namely its speed, number of stations, their location and their integration with the rest of the transport network, so that a strong transport case and then an economic case can be made for it. This requires a vision for the role of the railways in the overall UK transport strategy, and within that the role for HSR needs to be established.
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The Mystery of Faith
INTRODUCTION
* Out of all of God's creation only humans are capable of having faith. What is faith?
* We want to believe there is more out there than just what we can see, feel, touch, taste and smell. We have a pull for meaning that originates outside of ourselves.
* All humans have a lingering appetite for the eternal.
* "Drink of this water", Jesus said, "and you will thirst again, but drink of the living water I will give you, and you will never thirst again". John 4:14. This is what makes humans different than every other living creature—we have a hunger and thirst for something we can't see.
* We may think the power lies in our ability to believe, or have faith, in something we can't see; but there's actually no power in an ability to have faith, there's only power in the source of what we place our faith in. Faith, in itself, has no power. All power exists in the source of our faith. That source is Jesus.
THREE KEYS TO UNDERSTANDING THE MYSTERY OF FAITH
* For a Christian, our faith begins and ends with Christ. If you remove Jesus out of the faith equation, the whole equation becomes meaningless.
o In Hebrews 12:2 the Bible says Christ is the author and the finisher of our faith. That means the substance of faith that exists on the earth today was created by the life, crucifixion, and resurrection of Jesus.
o Does this substance I'm calling faith exist outside of Jesus? Sure, the Dalai Lama, Buddhist Monks, even Islamic extremist are tapping into this substance of faith. They believe strongly in what they're taught. They're actually gaining strength and courage from that belief. For some, that strength might appear as a miraculous power.
◊ But remember, the power of faith will always be limited by the source of what, or who you put your faith in.
◊ That's why I acknowledge that there's incredible evil in the world today, but I never focus on what I call a lesser power. Jesus said it this way: "In the world you will have tribulation. But take heart; I have overcome the world". John 16:33.
◊ The greater your understanding of faith, the greater ability you will receive to pray, believe, and see God act on your prayer
and on your behalf.
KEY #1: Know Who You Are Placing Your Faith In.
* Faith in God is much more than simply having faith God exists. True faith means you know Who you're placing your faith in.
o You don't have to understand how God did everything He did, you
just have to believe He did it. I don't always understand God, but I do trust Him. I make a conscience decision to trust God even when I don't understand Him.
o When you limit the greatness of God to only what you can logically grasp, you're limiting His ability to answer your prayers. Even the simplest of prayers require a supernatural intervention from God into your life.
o If you are asking God for something like a miracle, a good place to
start would be to at least believe God still performs miracles.
o This Jesus, who we place our faith in, is the same Jesus who told His disciples: "greater works than these will you do, because I go to the Father" John 14:12. Your job is to have faith in Him and His Word. The Word of God tells us what Jesus did; and it tells us what Jesus said we would do through Him. To do this, we need to go beyond reading the
Word of God to practicing The Word of God.
KEY #2: Don't Just Read the Word of God, Apply the Word of God to Your Life.
* Apply the Word of God like you would apply medicine for healing. Apply it like you would sunscreen for protection. The Living Word of God can stir up your faith like nothing else. So, whenever possible, read it out loud. If you have a favorite Scripture verse, memorize it and speak it out over your life and circumstances. Don't just read the Word of God, speak it; let it fill the room and reverberate. Let the truth resonate and marinate within your bones.
* "So faith comes by hearing, and hearing through the word of God".
Romans 10:17.
* The Bible, the Word of God, is the ultimate source of our faith. There's something extraordinary about audibly reading Scripture, then applying it to your personal situation. I pray my favorite Scriptures out loud because it stirs up my faith; and it actually changes the atmosphere around me. Sometimes I'll even insert my name into Scripture, just to personalize it more.
* The Bible is more than a book that needs to be read-- it's a map, it's a tool chest, and it's a weapon for spiritual warfare. This mysterious substance called Faith and the Word of God are eternally attached at the umbilical cord. If you're having a crisis of faith, the first place to turn is to the Word of God.
* The power of God is made perfect in our weakness. The Word of God is the strength we need when we feel our faith is weak.
KEY #3: Grow to Appreciate the True Power of Faith.
*
In Hebrews 11:1, faith is described as "the substance of things hoped for, the evidence of things not seen." That's true, but it's also the substance that connects the physical world we can see with the spiritual world we can't see.
o Faith is the understanding of how the system of Heaven works. It works by faith and it works because of faith.
o Faith is the understanding of how the visible and invisible worlds coexist. Faith says: "God is in control, and although I don't understand it all, He does". And I daily choose to put my life in His hands. When I do that, the power of faith kicks into gear.
o Faith also works like a catalyst—a supernatural change agent—that transforms prayer from merely words to action. We may think it's our
words that direct heaven, but really it's our faith.
o "For truly, I say to you, if you have faith like a grain of mustard seed, you will say to this mountain, 'Move from here to there,' and it will move, and nothing will be impossible for you." Matthew 17:20.
o The word faith should mean something completely different to you
and me than it does to anyone who does not believe in Jesus.
To the world, faith is a way to describe a belief in something you can't see. To us, faith is faith in Jesus. Faith is the understanding of how the system of God's Kingdom works. It only works through faith in Jesus. So to simply say you are a person of faith is an incomplete statement. You have to know and understand the
◊ source at the other end of that faith.
◊ To the world, seeing is believing. To Christians, believing is believing. That's not to say that you and I don't have real experiences that we take as proof that God exists and that the Bible is true. But that proof wouldn't hold up in court. Not because it isn't valid, but because it was spiritually discerned. The wisdom of God will always seem foolish to those who don't know Him. It's no different with faith. Faith in Christ, the Cross and the Resurrection, faith in the entire Bible as the infallible Word of God—all of this takes a different kind of belief. It has to be supernatural.
o To simply say you have faith isn't really saying anything at all. Faith in what? Faith is more than just believing the plausible—it's believing the impossible.
◊ An example:
That's just a slice of history. That's entry level faith at best.
* It doesn't take faith to believe that roughly 2000 years ago a man named Jesus from the small city of Nazareth led a peaceful rebellion that caused uproar among Jewish and Roman society and ultimately was put to death on a cross. And that his death and his rumored resurrection caused this man named Jesus to become a martyr. The details of that martyrdom became the basis for what we call Christianity today. It doesn't require faith to believe that.
* Faith requires believing the entire Bible, including the parts that are difficult to understand. That's just intermediate faith.
* Where faith really gets tested is when you are now asked to believe that those difficult-to-understand, supernatural events of the Bible can still happen today. Oh, and by the way, you're supposed to be instigating some of that. The
great commission takes mature faith to accomplish.
THE PARABLE OF THE SEED AND THE SOWER.
*
In the parable of the seed and the sower, Jesus describes the Kingdom and the Word of God as a seed that a sower tosses to the ground in hopes that a harvest will come.
o Not all seed that meets the ground will produce fruit. The problem does not lie with the seed. The soil represents the hearts of those who hear the Word of God. Not every person who hears the Truth of Jesus will genuinely accept it. There's good soil and there's bad soil.
◊ Good soil means all the conditions exist for the seed to breakthrough, to grow, and to eventually bear fruit. Good soil requires this mysterious substance of faith. Faith protects the seed as it grows. Faith is not shaken in times of drought. Faith knows that the seed, the Word of God, will accomplish the very thing it was sent to accomplish, regardless of the storms that pass through or the provision withheld.
◊ Building faith will require us to examine our soil. What's in it?
What are we putting in it? Maybe a better question: "What aren't we putting in it?"
* What do you believe? What do you believe about God? What do you believe about the Bible? Do you believe that Jesus is the Son of God, died on a cross and was resurrected on the third day? That's great. That's enough faith to get you into heaven. Is it enough faith to pray for miracles?
◊ What happened to the seed that fell on bad soil?
* The first was the seed that fell by the wayside. It represented those who heard the word, but did not fully understand it; and Satan stole it from them.
* How is your faith affected when you don't understand what God is doing? Or what He's allowing to happen? Does your faith require you to understand God every step of the way? If that's the case, then it's going to be pretty easy for your faith to be shaken.
* There will be times when you don't understand what God is doing.
* "For my thoughts are not your thoughts, neither are your ways my ways, declares the Lord. For as the heavens are higher than the earth, so are my ways higher than your ways and my thoughts than your thoughts. For as the rain and the snow come down from heaven and do not return there but water the earth, making it bring forth and sprout, giving seed to the sower and bread to the eater, so shall my word be that goes out from my mouth; it shall not return to me empty, but it shall accomplish that which I purpose, and shall succeed in the thing for which I sent it." Isaiah 55:8-11
* God's Word—His Logos—the written Word of God, and his Rhema—the Holy Spirit-inspired revelatory Word—both have been given with a precise plan in mind. That's what "God's ways are higher than our ways" really means. God has a plan for you regardless of your circumstances. When our faith remains tied to His Word and not our circumstances, our soil is prepared; and the limitations are removed for God to work in our life.
MAINTAINING FAITH
* Reading my Bible is like a faith maintenance plan.
Faith needs to be exercised like a muscle. Renew your faith every day.
* Remind yourself of Who God is every day.
* The disciples struggled with faith. They were with Jesus every day witnessing miracle after miracle. You would think that they would have had the most faith in Israel; not the case. In fact, Jesus nicknamed them "Little Faiths." They were constantly forgetting what they just witnessed Jesus do. They watched bread and fish multiply right in front of their eyes as Jesus fed the 5000; and later that evening they feared the storm had come to drown them.
* If the disciples—who personally witnessed the miracles of Jesus— experienced their faith disappearing in the face of a storm, don't feel bad that yours does. Everyone's faith requires a maintenance plan. It's not just how wide your faith is, it's how deep your faith is.
o Let me give you an example.
◊ seem a bit far-fetched.
I would assume all Christians believe Jesus was raised from the dead. Essentially, that's what makes us a Christian—believing the crucifixion and resurrection of Jesus. But the Bible tells us something happened at the same time, that to some, may
◊ At the same time Jesus was raised from the dead the Bible also says many righteous men and women arose from their tombs and walked around Jerusalem bearing witness to what Jesus had just done in Sheol.
◊ Three days earlier, when Jesus gave up His Spirit, the temple
veil was torn in two and a great earthquake struck Jerusalem. As a result of that earthquake, the tombs were broken open. My point is that the Bible is full of faith-stretching portions of Scripture. Every word of the Bible is the inspired Word of God which means every verse of every chapter of every book has a divine purpose for being recorded.
* To believe in the Cross but not believe in the other supernatural elements of the Bible limits your faith. When your faith is limited, God is limited.
* The parable of the seed and the sower also tells us there were seeds that fell among the thorns and thistles. These were the cares of the world. When it comes to faith, thorns and thistles represent our cares and concerns, our thoughts, our logic; it's us trying to figure things out.
* Fear versus faith.
o Fear of not being in control. Fear that we might be wrong about what God can and can't do. Fear that He won't act on our behalf.
o Fear and Faith are the same thing. They're both the belief that something that hasn't happened will happen. Faith is the belief that something good that hasn't happened will happen. Fear is the belief that something bad that hasn't happened will happen.
o The Word of God restores our faith by replacing the fear and the
cares of this world with the timeless truth and promises of God.
CONCLUSION
We don't truly appreciate faith until it is tested. Many of you are going through a crisis in your life and you're asking God, "Why? Why haven't you changed my husband? Why haven't you removed my cancer?" You want to know why God doesn't just step in and remove the pain, fear and uncertainty.
None of this happened because you just didn't have enough faith to prevent it. That's not it at all. It happened because there's evil in the world that wants to cause you pain. It wants to steal, kill and destroy. John 10:10. And it also wants to attack the very thing in you that can stop it: Faith.
What does it take to have the kind of faith that can change the world? It looks like Abraham, the son of an idol maker, who's told to just start walking; and he does. It's the most fearful man in all of Israel, Saul, who climbs out of his favorite hiding place to lead his people to victory. It's the prostitute; it's the deceiver; it's the least likely; it's the spotted and speckled. It's the weak who are made strong. God also has another name for people like this: He calls them Heroes of Faith.
Faith is more than a belief in something you can't prove. Faith is the understand ing of how the system of Heaven works. It's the power of the Creator that He chooses to place inside imperfect vessels.
You may think you're not qualified to pray for somebody and watch them healed. But I'm here to tell you this: you're overqualified. That's what I see when I look at Hebrews 11 which is often called God's Faith Hall of Fame. I see each of you there. Your faith may be weak. Great! God's power is made perfect in your weakness. Why? Because He receives glory when you do what you can only do through faith in Him. That's why He created you.
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Planning & Development Report to
Combined Meeting of Council
ISC: UNRESTRICTED
C2020-0650
2020 June 15
COVID-19 Relief Package to Support Patios on Private Property
EXECUTIVE SUMMARY
The COVID-19 pandemic has had a deep impact on our city, our province and the world. The City of Calgary has been working to respond to the crisis by supporting citizens, businesses and organizations who have seen dramatic shifts in their everyday lives. On 2020 May 11, Council received a report on the new process in place for temporary patios on public lands, and the additional measures to process applications for those residing on private property. This report proposes additional support for patios on private property associated with restaurants; Administration is now proposing to waive the fees for development permits for outdoor cafes over a six (6) month period from 2020 May 01 to 2020 October 31; retroactively reimbursing applicants who applied between 2020 May 01 to 2020 June 15, and waiving fees for any new applications between 2020 June 15 and 2020 October 31. See Attachment 1 for the associated Planning & Development Fee Schedule with this proposed change applied.
This measure removes the development fees associated with implementing a patio on private property, which will broaden the financial relief to food establishments during this time of economic distress. This financial relief will support additional restaurants in expanding their operations outside, helping them to align their business more closely with the distancing guidelines set by the provincial government in serving patrons; addressing one aspect of that recovery to support local restaurants and establishments and providing Calgarians with more safe, outdoor, entertainment and social opportunities.
Businesses with outdoor cafes will be required to follow Alberta Health requirements as well as Occupational Health and Safety requirements. If alcohol is to be served, establishments will be required to follow Alberta Gaming, Liquor & Cannabis (AGLC) requirements and permitting requirements. A building permit may be needed if structures are required for the outdoor cafe or if there is no exit directly to the street from the outdoor cafe.
ADMINISTRATION RECOMMENDATION:
That Council approve the temporary amendment identified in Attachment 1 to the 2020 Planning Applications Fee Schedule to change the Outdoor Cafe Development Permit to $0 N/A GST, to take effect 2020 May 01 up to and including 2020 October 31.
PREVIOUS COUNCIL DIRECTION / POLICY
During the COVID-19 pandemic, The City is currently offering a variety of municipal financial relief measures.
On 2020 May 11, Council received a report from the Roads business unit (C2020-0543) on a new process for temporary patios on public lands to provide further support for restaurants to extend their operational footprint into an outdoor environment to provide additional support during the COVID pandemic. Also outlined C2020-0543 was Planning & Development's
Approval(s):
Stuart Dalgleish concurs with this report. Author:
Kieran Slattery
ISC: UNRESTRICTED
C2020-0650
COVID-19 Relief Package to Support Patios on Private Property
commitment to streamline applications for patios that require development permits as much as possible.
On 2020 April 30, at a Strategic Meeting of Council as part of the Discussion on Municipal Relief (Verbal) C2020-0508 Council approved several Planning & Development municipal relief measures to enhance the flexibility of permits, and to waive, defer or simplify fees to provide additional support to the development and business community. Federal and provincial policy relief measures are also outlined in presentation C2020-0508 and include measures benefiting individuals and businesses. Additionally, Council directed Administration to return to the 2020 May 11 Strategic Council Meeting with a report to provide additional information on Municipal Relief (C2020-0542).
On 2020 April 06, Council approved Property Tax relief measures for citizen and business taxpayers facing financial hardship and Utility payment deferrals without penalty or interest for residential and some small business customers (C2020-0382).
BACKGROUND
The City of Calgary has developed Municipal Relief Packages to aid in the recovery from COVID-19. The provincial relaunch plan stipulates health regulations around physical distancing requirements needing to be met by restaurants. This limits establishments that do not have the ample space to abide by the regulations. Administration explored options to assist businesses to obtain the space they need to operate while Alberta continues its recovery. The proposed fee change in this report will align with the current direction of patios in public spaces and will support the restaurant sector by providing additional space at a time when they need it the most.
The waiving of the development permit fee for outdoor cafes allows for restaurants and food establishments the opportunity to increase the number of patrons they can serve, as it provides additional space for restaurants to align their operations with the provincial requirements around social distancing. Calgarians will have more opportunities to socially interact with one another in a safe way as the city continues to implement the province's relaunch plan.
INVESTIGATION: ALTERNATIVES AND ANALYSIS
To further support restaurants during this unprecedented event, Administration is proposing to waive development permit fees for outdoor cafes in support of patios on private property, to help restaurants to expand their current operations and still abide by provincial health regulations. This measure further expands the support already provided to restaurants with patios on private property which includes streamlining of applications and other fee relief that was already in place as of 2020 May 01.
Approval(s): Stuart Dalgleish concurs with this report. Author: Kieran Slattery
ISC: UNRESTRICTED
C2020-0650
COVID-19 Relief Package to Support Patios on Private Property
Support for the Restaurant Business Sector
Outdoor cafe development permits are required for the development of a patio for a restaurant on private property. As per the 2020 Planning & Development Fee Schedule, the fee for outdoor cafe development permits is $898. If an application also included usage of public space like a sidewalk, the applicant would be required to pay an additional fee for a licence of occupation for the usage of the public space. Since 2020 May 11, a new process in place for licence of occupation, which reduces the financial burden of the applicant for patios on public land.
Administration is now proposing to waive the $898 fee for outdoor cafe development permits, making it so applicants pay nothing ($0) for their development permit, to further reduce the financial burden of developing patios associated with restaurants. On an annual basis, Planning & Development receives approximately 100 – 150 applications for outdoor cafes. By waiving the fee The City is forgoing approximately $90,000 to $135,000 in revenue; freeing up what would have been an additional cost, for restaurants to use to reinvest back into their business; offering any restaurant or food establishment with ample outdoor space on private property, the opportunity to open a cafe without additional financial hardship.
Support for Calgarians
Calgarians have been social distancing since the beginning of 2020 March. Outdoor patios provide an opportunity of Calgarians to meet at a distance, while enjoying the outdoors. The provincial government has set new guidelines for restaurants, cafes, and bars as recently as 2020 June 04. These types of establishments require a two-metre distance between tables, and can only have a maximum seating capacity of 50 per cent. Smaller food establishments will have difficulty complying with these requirements as they do not have physical space needed to comply with these rules. The ability to develop an outdoor cafe or patio at a reduced cost will help keep businesses running, and provide Calgarians with additional entertainment, and social opportunities.
Application Process
To initiate an application for an outdoor cafe development permit, businesses will be required to submit a permit through Planning & Development. Administration will review the request and render a decision on the application.
Planning & Development has streamlined the intake and approval process to support businesses that apply for outdoor cafes, providing a single point of contact that will expedite the process. Administration will make every effort to streamline these applications, however, there are Land Use Bylaw requirements including mandatory notice posting, advertising and the appeal period that cannot be eliminated from the approval process. Applicants will be required to provide the number of tables and chairs proposed and what they will use to delineate the space. If the development permit is approved, a building permit may be required. Site visits will be completed regularly by staff to ensure permission conditions are being followed.
Approval(s): Stuart Dalgleish concurs with this report. Author: Kieran Slattery
ISC: UNRESTRICTED
C2020-0650
COVID-19 Relief Package to Support Patios on Private Property
Timeframe of Waived Fee
The duration of the waived fee for outdoor cafe development permits will be valid for six (6) months from 2020 May 01 to 2020 October 31, to align with the timing of other relief measures in Planning & Development and to align with the outdoor patio season. For any outdoor cafe that has been submitted between 2020 May 01 and 2020 June 15, The City of Calgary will grant a refund on their permit fees. While the development fees for outdoor cafes will be waived, businesses will still be required to apply for a development permit for an outdoor cafe.
Stakeholder Engagement, Research and Communication
The Business Support Task Force has engaged with business stakeholders; specifically the restaurant sector, Business Improvement Areas (BIA), and Civic Partners. All are very supportive of the relief package to support patios on private land
Strategic Alignment
This initiative supports Citizen Priority, A Prosperous City, by providing relief for local businesses during the COVID-19 pandemic.
Social, Environmental, Economic (External)
Providing relief for businesses requiring outdoor cafes will support economic recovery. Allowing for extra space for patrons of establishments could help satisfy social/physical-distancing requirements set out by the Medical Officer of Health in Alberta.
Financial Capacity
Current and Future Operating Budget:
The City of Calgary usually receives around 100 to 150 applications for outdoor cafes each year (110 permits were submitted in 2018, and 120 permits in 2019). The current cost of a development permit for an outdoor cafe is $898. Based on the previous years' volumes, the expected range in forgone revenue for waiving the development permit fee is $90,000 to $135,000.
This proposed relief measure will be funded from the Planning & Development Sustainment Reserve, which had a 2020 opening balance of $81.7 million. This reserve has sufficient capacity to support this measure, and this measure is an appropriate use of this reserve.
Current and Future Capital Budget:
There are no capital budget impacts as a result of this report.
Approval(s): Stuart Dalgleish concurs with this report. Author: Kieran Slattery
ISC: UNRESTRICTED
C2020-0650
COVID-19 Relief Package to Support Patios on Private Property
Risk Assessment
There is a risk of delays in processing approvals if requests overwhelm available resources which could result in delays in timelines. Finally, while every effort will be made to assist establishments to expand and/or develop patios in accordance with the provincial guidelines, there may be constraints related to available space in each circumstance or safe conditions required to operate that space, both publicly and privately. Administration will work with stakeholders and each request to come up with the best solution.
REASON(S) FOR RECOMMENDATION(S):
In an effort to support local business during the COVID-19 pandemic, the City of Calgary is proposing additional permit fee relief for patios on private property.
ATTACHMENT(S)
1. Attachment 1 – 2020 Planning Applications Fee Schedule
Approval(s): Stuart Dalgleish concurs with this report. Author: Kieran Slattery
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Resource Manual for Central O'ahu
Provided by Family Programs Hawai'i Statewide Resource Families Support Services Program And Funded by Department of Human Services
Hui Ho'omalu Hui Ho'omalu
"a group to protect and shelter" "a group to protect and shelter"
A collaboration of: Partners in Development Foundation, Catholic Charities Hawai'i, Family Programs Hawai'i, and Department of Human Services
For more information, call the Warm Line: 545-1130 or e-mail: email@example.com
Central O'ahu Table of Contents
Child Care, Preschool & Play Activities
ALU LIKE, Inc.
Pulama I Na Keiki
458 Keawe St., Honolulu, HI 96813
(Other addresses available on Maui, Hawaii, and Oahu)
Services:
Prenatal and parent/child services including home visits, workshops, parent/toddler groups
Eligibility:
Prenatal and children of Hawaiian or part-Hawaiian ancestry
Referred by: self (Inform child's social worker)
Fee: Free
Area served: Oahu, West Hawaii, Maui
Phone Number: 535-1317(Oahu); 668-0553(Leeward Oahu); 242-
9774(Maui); 331-2818(Hawaii-Kona)
Website: www.alulike.org/services/ho_pulama.html
City and County of Honolulu
Dept. of Parks & Rec. - Summer Fun
(call for nearest location)
Services:
7-weeks of summer activities at over 60 sites islandwide. Children enjoy a wide variety of arts & crafts, sports & games, excursions, and special events. June 12-July24, Mon-Fri 8:30am - 2pm. Extended hours are available at specific sites.
Eligibility:
Children age 5 before beginning of the year or completed kindergarten through 6th grade
Fee: $25 registration fee (waived for families receiving state aid)
and up to $75 for activity fees
Area served: Oahu
Phone Number:
373-8013 (East Honolulu); 522-7070 (West Honolulu); 675-7130 (Leeward/Central Oahu); 233-7300 (Windward Oahu)
Website: www1.honolulu.gov/parks/programs
City and County of Honolulu
Tiny Tots Early Childhood Programs
various locations
Services:
Playgroups for young children, age varies from 18 months to 5 years old. Available in various parks throughout Oahu.
Eligibility:
Parent, grandparent, or guardian of young child (age depends on area)
Fee: Free
Area served: Oahu
Phone Number:
373-8013 (Hawaii Kai to McCully); 522-7070 (Makiki to Aiea); 675-7130 (Pearl City to
Waianae and Wahiawa); 233-7300 (Waialua to Waimanalo)
Website:
Child Care, Preschool & Play Activities
Family Programs Hawai'i
Respite Program
250 Vineyard St., Honolulu, HI 96813
Services:
Provides families with a break from the ongoing responsibilities of parenting children in out of home care. Coordinates/matches families with respite care provider. After DHS respite funds are used, provides care reimbursement, up to 10 days a year.
Eligibility: Resource families providing foster care
Referred by: self or CWS SW
Fee: Free
Area served: Oahu
Phone Number: 521-9531 ext. 225
Website: www.FamilyProgramsHawaii.org
Hawai'i Department of Human Services
Child Care Connection Hawaii
49 S. Hotel St., Suite 301, Honolulu, HI 96813
(Other addresses available on Oahu, Hawaii, Maui, and Kauai)
Services:
Provides families with: subsidies to help with child care expenses; guidance in selecting a child care provider; information about quality child care programs; and referrals to community resources for help with other concerns.
Eligibility:
Children ages 0-13 (or 13-18 who cannot do self- care); parents/caretakers must be employed, attending school, or in job training program; within income limits by family size; DHS resource families can apply without their income being considered
Referred by: self (Inform child's social worker)
Fee: Free
Area served: Statewide
Phone Number:
566-2600 (ARBOR Oahu); 334-6101 (Arbor Kona); 961-6807 (Arbor Hilo); 249-2461 (Arbor
Maui, Molokai, Lanai); 245-2193 (Arbor Kauai)
Website: http://hawaii.gov/dhs/self-sufficiency/childcare
Honolulu Community Action Program (HCAP)
Head Start
33 S. King St., Suite 300, Honolulu, HI 96813
Services:
Comprehensive child development program for families with preschool-aged children; Part and full- day programs and homebased services island-wide
Eligibility:
Children 3-5 years old, priority to low-income (including foster children) and special needs
Fee: Free (part-day & HB) or affordable costs (full-day)
Area served: Oahu
Phone Number: 847-1000 (for application), 847-2400 (for
additional information)
Website: www.hcapweb.org/headstart.html
Child Care, Preschool & Play Activities
Kamehameha Schools
Pauahi Keiki Scholars (PKS) - Preschool
567 S. King St., Suite 102, Honolulu, HI 96813 (Other addresses available on Oahu, Hawaii, Kauai, Maui and Molokai)
Services:
A need-based scholarship program providing financial assistance for 3- and 4-year old keiki to attend a quality preschool in the state of Hawaii
Eligibility:
Child must be Hawaii resident, 3 or 4 years old, be enrolled in a PKS-eligible preschool; preference given to applicants of Hawaiian ancestry
Referred by: self (Inform child's social worker)
Fee: Processing fee of $20, fee waivers may be available
Area served: Statewide
Phone Number: 534-8080 (Oahu); 1-800-842-4682 ext,48080 (toll-
free)
Website: www.ksbe.edu/finaid
Keiki O Ka 'Aina
HIPPY (Home Instruction for Parents of Preschool Youngsters)
3097 Kalihi St., Honolulu, HI 96819 (Other addresses available on Oahu)
Services:
Family-based, early childhood education program for kindergarten readiness.
Eligibility:
Families with children 3-5 years old. Priority is given to families with children who are not enrolled in a center-based preschool and are of Hawaiian or Part- Hawaiian descent.
Fee: A one-time $50 registration fee
Area served: Oahu
Phone Number: 843-2502
Website: www.keikiokaaina.org/programs/hippy.htm
Keiki O Ka 'Aina Kulia I Ka Nu`u - AIM-HI (Accelerated Interactive MontessoriHome Instruction)
3097 Kalihi St., Honolulu, HI 96819 (Other locations available on Oahu)
Services:
Home-based preschool curriculum designed to give Native Hawaiian children ages 3-5 a jumpstart on school readiness by integrating the Montessori approach and Hawaiian culture.
Eligibility:
Families with children ages 3-5. Enrollment preference is given to Native Hawaiian children.
Fee: A one-time $50 registration fee
Area served: Oahu
Phone Number: 843-2502
Website: http://www.keikiokaaina.org/programs/kuliaikanuu.htm
Child Care, Preschool & Play Activities
Keiki O Ka 'Aina
Parent Participation Preschool (PPP)
3097 Kalihi St., Honolulu, HI 96819 (Other addresses available on Oahu)
Services:
Traveling preschools that meet three days a week in different communities, supporting parents as their child's first and best teacher by providing enriching experiences and opportunities for them to become leaders in their child's education
Eligibility:
Families with children ages 3 months to 5 years. Enrollment preference is given to Native Hawaiian children.
Referred by: self (Inform child's social worker)
Fee: A one-time $50.00 registration fee
Area served: Oahu
Phone Number: 843-2502
Website: www.keikiokaaina.org/programs/ppp.htm
Keiki O Ka 'Aina
Parents As Teachers (PAT)
3097 Kalihi St., Honolulu, HI 96819 (Other locations available on Oahu)
Services:
Through home visits, the program offers parents practical and research-based strategies to encourage their children's intellectual, language, social- emotional, and motor skills.
Eligibility:
Families with an infant or toddler and expectant mothers. Enrollment preference is given to Native Hawaiian families.
Fee: A one-time $50 registration fee
Area served: Oahu
Phone Number: 843-2502
Website: www.keikiokaaina.org/programs/pat.htm
Parents and Children Together (PACT)
Early Head Start
1485 Linapuni St., #105, Honolulu, HI 96819
(Other locations available on Oahu)
Services:
Prenatal, infant/toddler program that is designed to nurture and support parents and children by building on the families' strength. Homebased services and centers for children 6 weeks to 3 years old
Eligibility:
0-3 years old or pregnant, priority to low-income (including foster children) and special needs
Fee: Free (part-day & HB), affordable (full-day)
Area served: Oahu
Phone Number: 842-5996
Website: www.pacthawaii.org
Child Care, Preschool & Play Activities
Partners in Development
Tutu and Me
locations vary - call for more information
Services:
Free early childhood program for children ages birth to five and their caregivers. The innovative traveling preschool program provides learning opportunities for children's social, language/literacy, cognitive, physical, and emotional development.
Eligibility: Grandparent or caregiver of a child age birth to five
Referred by: self (Inform child's social worker)
Fee: Free
Area served: Oahu, Hawaii, Kauai, Molokai, Maui
Phone Number: 524-7633 (Oahu); 249-2430 (Maui); 893-2132 (E.
Maui); 885-1200 (West Hawaii Island); 327-
9327/327-9713 (Kona); 929-8571 (South Hawaii
Island); 982-4102 (East Hawaii Island); 822-4280
(E. Kauai); 335-0501 (W. Kauai); 560-5642
(Molokai)
Website: www.pidfoundation.org/programs/tutu_and_me/about
PATCH (Parents Attentive to Children)
650 Iwilei Rd., Suite 205, Honolulu, HI 96817
(Other addresses available on Hawaii, Maui, and Kauai)
Services:
Child care resource and referral agency assisting families to learn about different types of child care and subsidies available in the community, how to choose quality child care and where to get help with other special and personal child care needs
Eligibility: Families with young children
Referred by: self
Fee: Free
Area served: Statewide
Phone Number:
839-1988(Oahu), 961-3169(East Hawaii), 322- 3500(West Hawaii), 242-9232(Maui), 246-
0622(Kauai), 1-800-498-4145(Molokai & Lanai)
Website: www.PatchHawaii.org
PATCH (Parents Attentive to Children)
Preschool Open Doors
650 Iwilei Rd., Suite 205, Honolulu, HI 96817
Services:
Provides state-wide services to families sending their children to a licensed preschool during the school year prior to their entering kindergarten, increasing school readiness for children four years old and three year olds with special needs.
Eligibility:
Determined during a limited period of open enrollment in the Spring, depending on the availability of funds, and for department identified geographic areas. Age of children (3 or 4), income, and family size are primary considerations for assistance.
Referred by: self (Inform child's social worker)
Fee: Free
Area served: Statewide
Phone Number:
791-2130 (Oahu); 1-800-746-5620 (Toll-free for neighbor islands)
Website: http://www.patchhawaii.org/families/paying/preschool
Child Care, Preschool & Play Activities
The Institute for Family Enrichment (TIFFE) Parent-Child Mobile Outreach Program
615 Piikoi, Suite 105, Honolulu, HI 96814 (Call for meeting locations on Oahu and Hilo)
Services:
Array of components of early intervention community service such as play groups, parenting classes, infant massage and much more. Components: Keiki Play Morning, Baby Time, and
Eligibility: Families with children birth to age 5
Fee:
Keiki Play Morning and Baby Time are free. Call for more information on other services.
Area served: Oahu, Hawaii (Hilo)
Phone Number: 596-8433 (Oahu); 961-5166(Hilo)
Website: www.tiffe.org
The Kamehameha Schools Early Childhood Education
Hi`ilani Program
41-235 Ilauhole St., Waimanalo, HI 96795
(Other address available in Nanakuli, Hilo, and Kauai)
Services:
Early childhood family education program that supports children's social and emotional development & school readiness; parent-child interaction classes, prenatal classes, family education activities, screenings, referral, & individual
Eligibility:
Families and/or caregivers with children newborn up to age 3; families with pregnant moms
Fee: Free
Area served: Oahu, Hawaii (East), Kauai
Phone Number: 426-1450 (Waimanalo); 534-8261 (Nanakuli);
969-3883 (East Hawaii); 245-3897 (Kauai)
Website:
The Kamehameha Schools Early Childhood Education
Kamehameha Preschools
1887 Makuakane St., Honolulu, HI 96817
(Other addresses available on Oahu, Hawaii, Maui, Kauai, and Molokai)
Services:
Early education preschool based on the belief that children learn best with the help of their parents, teachers and peers through experience with their physical and social environment.
Eligibility:
3 & 4 year old children; preference is given to children of Hawaiian descent.
Referred by: self (Inform child's social worker)
Fee: Modest tuition; Financial aid is available
Area served: Oahu, Hawaii, Maui, Kauai, Molokai
Phone Number: 842-8800 (Oahu); East Hawaii (Hilo) 935-2165;
West Hawaii (Kona) 334-0599; Hawaii Waimea 890-8201; Maui/Molokai 760-5000; Kauai 335- 0069
Website: http://preschool.ksbe.edu/
Crisis Services
Child and Family Service
Developing Options to Violence Program
200 N. Vineyard Blvd., Bldg. B, Honolulu, HI 96817
Services:
Offers a full spectrum of services to women, men, & adolescents (13 yrs and up) in the intervention and prevention of domestic violence
Eligibility:
Priority is given to Judiciary family court referrals and other referrals are accepted as space is available
Referred by: Family court or child's social worker for children in
CWS; limited space for self-referrals
Fee: Fees are based on contractual obligations and a sliding scale
Area served: Oahu
Phone Number: 532-5100 (Oahu); 841-0822 (Oahu DV Hotline)
Website: www.childandfamilyservice.org
Child and Family Service
Domestic Violence Advocacy Services
200 N. Vineyard Blvd., Bldg. B, Honolulu, HI 96817 (Other addresses available on Maui and Hawaii)
Services:
Provides supportive services to those in domestic abuse situations, including assessment, safety plan, individual service plan, case management, information, counseling, transitioning to First-to- Work, financial planning, & time management
Eligibility:
Receiving TANF or TAONF and domestic violence is preventing you from holding a job or taking care of yourself/children
Referred by: DHS eligibility worker
Fee: Free
Area served: Oahu, Hawaii, Maui
Phone Number: 585-2712 (Oahu); 323-2664 (West Hawaii); 935-
2188 (East Hawaii); 877-9888 (Maui)
Website: www.childandfamilyservice.org
Child and Family Service
Sexual Abuse Treatment Services
200 N. Vineyard Blvd., Bldg B, Honolulu, HI 96817 (Other addresses available on Maui and Hawaii)
Services:
Sexual Abuse Treatment Services provides individual, parent/child, couple and family therapy. Also available, Non-Offending Caretakers Group, Group therapy for child victims ages 3-18, Adults Molested as Children program, and Offenders Groups.
Eligibility:
Families and children that have experience sexual abuse and are referred by DHS; Adults with childhood sexual abuse issues
Referred by:
Child's DHS social worker; adults with childhood sexual abuse issues may self-refer
Fee: Free, except offender pay $20/mo. for restitution therapy
Area served: Oahu, Hawaii, Maui
Phone Number: 543-8494 (Oahu), 935-2188 (East Hawaii), 323-
2664 (West Hawaii), 877-6888 (Maui)
Website: www.childandfamilyservice.org
Crisis Services
Dept. of Health - Adult Mental Health Div.
ACCESS Line
P.O. Box 3378, Honolulu, HI 96801
Services:
Provides a team of trained and experienced professionals to provide help in times of mental health crisis; available 24 hours a day, 7 days a week
Eligibility:
Adults with serious mental illness or in acute mental health crisis and their family members
Referred by: self (Resource families in crisis need to call child's
social worker)
Fee: Free
Area served: Statewide
Phone Number:
832-3100 (Oahu); 1-800-753-6879 (Neighbor Islands)
Website: www.amhd.org/access.asp
Domestic Violence Action Center HelpLine
P.O. Box 3198, Honolulu, HI 96801
Services:
Referrals and procedural information for obtaining TRO's (temporary restraining orders), applying for child support, reporting child abuse and using the justice system. Listens without judgment and assists a person to make decisions for themselves.
Eligibility:
Victim, as well as, family member, employers, healthcare professionals, teachers, or other community professionals who have any questions
Fee: Free
Area served: Statewide
Phone Number: 531-3771 (Oahu Helpline), 1-800-690-6200
(Neighbor Islands), 534-0040 (Admin)
Website: www.stoptheviolence.org
Mental Health Kokua
1221 Kapiolani Blvd., Suite 345, Honolulu, HI 96814 (Other addresses available on Maui, Kauai, and Hawaii)
Services:
Provides individual, confidential crisis outreach. Offers short-term individual, couple, and family intervention counseling.
Eligibility: In need of services
Referred by:
Adult Mental Health Div. or self (Resource families in crisis need to call child's social worker)
Fee: Most services are covered by medical insurance, call for more information
Area served: Statewide
Phone Number: 737-2523 (Oahu); 935-7167 (E. Hawaii); 331-1468
(W. Hawaii); 244-7405 (Maui County); 632-0466
(Kauai)
Website: www.mentalhealthkokua.org
Crisis Services
Parents and Children Together (PACT)
Family Peace Center
1505 Dillingham Blvd., Suite 208, Honolulu, HI 96817 (Other address available on Maui)
Services:
Provides individual and group intervention for victims, perpetrators and child witnesses of domestic
Eligibility:
Victims of domestic violence, perpetrators of domestic violence and/or children who have been exposed to domestic violence in the family
Referred by: self (Child's social worker for children in CWS) Fee: Fees are on a sliding scale, and do not deny services based on ability to pay
Area served: Oahu, Maui
Phone Number:
832-0855 (Family Peace Center); 585-7944 (Pu‘uhonua Crisis Line); 244-2330 (Maui)
Website: www.pacthawaii.org
Parents and Children Together (PACT) Ohia Domestic Violence Shelter
location confidential
Services:
Safe place for women and children who are victims of domestic violence. Services offered are individual and group support meetings, personal development classes, case management and referrals, 24 hour crisis and intervention hotline, and follow up.
Eligibility:
Victims of domestic violence and their children, with preference given to those who live on the Windward coast of Oahu
Referred by:
self (Resource families in crisis need to call child's social worker)
Fee: Free
Area served: Oahu
Phone Number: 526-2200 (Hotline)
Website: www.pacthawaii.org
Sex Abuse Treatment Center
55 Merchant St., 22nd Floor, Honolulu, HI 96813
Services:
Provides confidential crisis intervention, legal system advocacy/support, counseling, and medical services for sexual assault victims.
Eligibility: Those in need of services
Referred by: Child's social worker for children in CWS; self
Fee: Medical services and crisis counseling at no charge.
Sliding scale/insurance for counseling.
Area served: Oahu
Phone Number: 524-7273 (24-hour Hotline); 535-7600 (Admin)
Website: www.satchawaii.com
Crisis Services
State of Hawai'i Judiciary
Family Court - Temporary Restraining Order Unit
777 Punchbowl St., Honolulu, HI 96813
Services:
Assistance through the process to obtain a Temporary Restraining Order (TRO). Application process is 3-4 hours long.
Eligibility:
In need of TRO and either married, divorced, related by blood, lived together, children in common, or dating relationship
Referred by:
self (Resource families in crisis need to call child's social worker)
Fee: No charge for initial petition for a TRO
Area served: Statewide
Phone Number: 538-5959 (Oahu); 244-2706 (Maui); 969-7798
(Hawaii); 482-2330 (Kauai)
Website: www.courts.state.hi.us/courts/family/family_courts.ht
The Sex Abuse Treatment Center
A Program of Kapi'olani Medical Center for Women & Children
55 Merchant st. 22nd Floor, Honolulu, HI 96813 (Honolulu location and Statewide 24-hour hotline)
Services:
Provides individual, family, group (teens) therapy to children, adolescents, and adults who have been sexually abused or affected by abuse in the home. Case management and legal systems advocacy services provided. 24-hour help and support hotline.
Eligibility:
Anyone who has been sexually assaulted or abused or has been impacted by a loved one's abuse. Non- offending parents, in addition to family members or partners of survivors, can receive services with victims of sex abuse or assualt.
Referred by: self, SW, other providers
Fee:
Sliding scale fee, insurance, will work with one's financial situation.
Area served:
Phone Number:
Oahu (treatment center), statewide (24-hour 524-7273 or 1-877-447-5990 (24-hour hotline); 535-7600 (Oahu location)
Website: www.satchawaii.com
The Trevor Project
The Trevor Helpline
Services:
Crisis and suicide prevention helpline for lesbian, gay, bisexual, transgender and questioning youth. Confidential service that offers hope and someone to talk to, 24/7.
Eligibility:
Anyone, especially for lesbian, gay, bisexual, transgender, and questioning youth
Referred by:
self (Resource families in crisis need to call child's social worker)
Fee: Free
Area served: Nationwide
Phone Number: 1-866-488-7386
Website: www.thetrevorproject.org
Crisis Services
Women In Need
P.O. Box 414, Waimanalo, HI 96795 (Other address available on Kauai)
Services:
Education, guidance and transitional aid to those at risk, including life skills, employment readiness, anger management, and DV classes. Transitional centers are temporary havens for women moving from incarceration back into society.
Eligibility:
Priority given to the homeless, domestic violence victims, and/or substance abusers
Fee: Free
Area served: Oahu, Kauai
Phone Number: 699-1130 (Oahu); 245-1996 (Kauai)
Website: www.win-hawaii.org
Employment & Education
ALU LIKE, Inc.
Ho`omanea Oiwi - Employment and Training Program
458 Keawe St., Honolulu, HI 96813
(Other addresses available on Hawaii, Kauai, Maui, and Molokai)
Services:
Year-round employment and training services in the Hawaiian community which includes outreach, intake, assessment, career counseling, work experience, occupational skills training, educational & tuition assistance, tutoring and internships.
Eligibility: Adults 18 years or older and youth ages 14-21
Referred by: self (For foster child, inform child's social worker)
Fee: Free
Area served: Statewide
Phone Number: 535-6750 (Oahu); 961-2625 (Hawaii); 245-8545
(Kauai); 242-9774 (Maui); 553-5393 (Molokai)
Website: www.alulike.org
ASSETS School
One Ohana Nui Way, Honolulu, HI 96818
Services: An independent K-12 school educating students
who are gifted and/or dyslexic.
Eligibility:
Students aged 5-18 with learning disabilities, dyslexia and/or giftedness
Referred by: self (For foster child, inform child's social worker)
Fee: Call for current tuition costs. Tuition aid available.
Area served: Oahu
Phone Number: 423-1356
Website: www.assets-school.net
Child and Family Service
Hale O Ulu
91-1841 Fort Weaver Rd., Ewa Beach, HI 96706
Services:
Private, secondary alternative school for youth who may have adjustment problems, preventing them from succeeding in public schools. Provides academic instruction; independent study; individual, group, and family counseling; and family life education
Eligibility:
Individuals in grades 7-12 that have been identified by the DOE or Family Court
Referred by:
School administrators or probation officer (Inform child's social worker)
Fee: Free
Area served: Oahu
Phone Number: 681-1580
Website: www.childandfamilyservice.org
Employment & Education
City & County of Honolulu - Work Hawai'i
Job Seeker Services
1505 Dillingham Blvd., #110, Honolulu, HI 96817
(Other addresses available throughout Oahu)
Services:
One Stop Centers offers job search assistance, personal career planning services, training opportunities, complimentary office services, library resource center, and variety of workshops
Eligibility:
Those looking for employment or training needed for higher-paying jobs
Referred by: self (For youth in CWS, inform social worker)
Fee: Free
Area served: Oahu
Phone Number: 768-5700(Dillghm.); 586-8700(Hnl.); 233-
3700(Kaneohe); 293-2626 (Hauula); 768-
5800(Waianae); 675-0010(Waipahu)
Website: www.honolulu.gov/dcs/workhawaii
City and County of Honolulu
Youth Services Center
1505 Dillingham Blvd., Suite 206, Honolulu, HI 96817
Services:
A one-stop facility which provides services to at-risk, disadvantaged, and offender youth and young adults through youth development, educational, and employment training programs.
Eligibility:
Youth ages 14-24; low-income or an offender; Each program has own criteria
Referred by:
Probation officer, court, or self (Inform child's social worker)
Fee: Free
Area served: Oahu
Phone Number: 768-5777
Website: www.honolulu.gov/dcs/specialprojects/youthservices.
Epic Foundation
`Imi `Ike
94-871 Farrington Hwy, Suite 202, Waipahu, HI 96797
(Other address available in Moi'iliili)
Services:
Provides one-to-one tutoring, comprehensive and personalized educational plan, program evaluations to track progress, monthly student progress report, extended-day program, family support, and leadership training
Eligibility:
Youth (5-20 yrs old) currently or formerly in foster care with priority given to those with special needs self, school, or providers (Inform child's social
Referred by:
worker)
Fee: Free
Area served: Oahu
Phone Number: 955-6100 (main number); 393-1282 (location only)
Website: www.epicfoundhawaii.org; www.imiike.org
Employment & Education
Family Programs Hawai'i
eXcel
250 Vineyard St., Honolulu, HI 96813
Services:
Guides high school seniors in foster care to successfully prepare for and enter postsecondary education or vocational training. Support will be provided in the application process and completing financial aid and scholarship applications.
Eligibility:
High school seniors in foster care interested in attending college or vocational training
Referred by: Child's social worker
Fee: Free
Area served: Oahu
Phone Number: 521-9531 ext. 251
Website: www.FamilyProgramsHawaii.org
Hale Kipa
Independent Living Programs - Transition Program
2146 Damon St., Honolulu, HI 96822
Services:
Servicing former foster youth with higher education payee services, housing and job
readiness/maintenance, and independent living skills
Eligibility:
Young adults formerly in foster care, ages 18-22 (up to 26 if receiving higher ed payments)
Referred by: Child's social worker for children in CWS or self
Fee: Free
Area served: Oahu
Phone Number: 589-1829 ext. 202
Website: www.halekipa.org
Hawai'i Department of Education
Community Schools for Adults
1101 Kalihi St., Honolulu, HI 96819
(Other addresses available throughout Oahu, Maui, Hawaii, and Kauai)
Services:
Offers a wide variety of courses including basic/advanced elementary education, secondary education, adult literacy, homemaking, parenting, community education, naturalization training and culture. See online listing for specific courses offered.
Eligibility:
All persons 18 years and over. Although, 16-17 yr olds with a 4140 (can enroll.
Referred by: self (For foster child, inform child's social worker)
Fee: Fees for classes vary
Area served: Oahu, Hawaii, Kauai, Maui
Phone Number: 832-3595 (Farrington); 974-4100 (Hilo); 733-8460
(Kaimuki); 274-3390 (Kauai); 327-4692 (Kona);
873-3082 (Maui); 594-0540 (McKinley); 837-8466 (Moanalua/Aiea); 622-1634 (Wahiawa); 675-
0254 (Waipahu); 254-7955 (Windward)
Website: http://18.104.22.168/data/schoollist_csa.asp
Employment & Education
Hawai'i National Guard
Youth ChalleNGe Academy
P.O. Box 75348, Kapolei, HI 96707
Services:
Operates a competency based high school diploma program offered in a military based environment during a 22-week residential phase and a second 12- month phase helping participants enroll in higher education, a technical school program or obtain a job.
Eligibility:
Youth 16-19 years old, failing school or dropped out, who voluntarily participate, US citizen and Hawaii resident, free from pending charges and drug free
Referred by: self or child's social worker for children in CWS
Fee: Free
Area served: Statewide
Phone Number: 685-7139
Website: www.ngycp.org/state/hi
Hawaii Job Corps Center
41-467 Hihimanu St., Waimanalo, HI 96795
(Other address available on Maui)
Services:
Residential and non-residential programs which provide basic education, vocational and social skills training for out-of-school youth. Provides GED program and assistance with job placement. Facilities are on Oahu and Maui.
Eligibility:
Youth 16-24 years old. Meet federal low income guidelines
Referred by: self (Child's social worker for children in CWS)
Fee: Free
Area served: Statewide
Phone Number: 259-6005 (Oahu center); 579-8450 (Maui center)
Website: www.jobcorps.org
Honolulu Community Action Program (HCAP)
Youth Services
729E Emily St., Honolulu, HI 96813
Services:
Youth Services Education Program offers classes for both out-of-school and in-school youth to obtain their high school equivalency diploma. Youth Service Employment Program provides job training and placement for out-of-school and in-school youth.
Eligibility:
Youth, ages 15-21 years old, low-income (foster youth qualify)
Fee: Free
Area served: Oahu
Phone Number: 591-1766
Website: www.hcapweb.org
Employment & Education
It's All About Kids
311 Pacific St., Bldg. 4, 1st Floor, Honolulu, HI 96817
Services:
After school tutoring to eligible K-12 students statewide. Program is computer based, interactive and fun. Rewards for completion: MS/HS students receive netbook computer and Elementary students get to choose prizes.
Eligibility:
Students in grades K-12, attending eligible schools and receiving free or reduced lunch rate. Call to see if eligible.
Referred by: school staff or self
Fee: Free
Area served: Statewide
Phone Number: 487-KIDS (5437)
Website: www.smartkidshawaii.com
Kupu
Hawaii Youth Conservation Corps
4211 Waialae Ave, Suite 1020, Honolulu, HI 96816
Services: Provides four main programs: Year Round Internship
Program, Summer Program, Hana Hou Summer
Program, Community Assistance Program (CAP).
Participants gain skills, experience, earn college credits/money, and have a once in a lifetime
Eligibility:
US citizen, national or lawful permanent resident alien, able to commit to specific program requirements, age (17 years old +) and additional requirements vary by program (21+ team leader, 17- 20 yrs old for summer member).
Referred by: Self
Fee: Free
Area served: Statewide
Phone Number: 735-1221
Website: www.kupuhawaii.org/urban-corps
Kupu
Urban Corps
4211 Waialae Ave, Suite 1020, Honolulu, HI 96816
Services:
Intensive outdoor program based in Kaka'ako that puts under-resourced youth to work for Hawaii's environment. Participants learn valuable skills, participate in meaningful work, receive a $1,000 stipend and $1,000 education award (Spring/Fall sessions)
Eligibility:
US citizen, national or lawful permanent resident alien, between ages 18-24, able to commute daily to Kaka'ako, able to make a full-time commitment (2 months), able to participate in rigorous outdoor activities
Fee: Free
Area served: Oahu
Phone Number: 735-1221 ext. 2004
Website: www.kupuhawaii.org/urban-corps
Employment & Education
Newman Consulting Serivces, LCC
Career Education Business Program
1019 Waimanu St., Suite 207, Honolulu, HI 96814
Services:
Training program that teaches computer basics, including Microsoft Word, Excel, Publisher, Power- Point, office systems accounting and administrative office procedures. Also, internship opportunities, job placement assistance and student support
Eligibility:
Call regarding eligibility for financial assistance. Applicants are not required to have a HS diploma or GED to enroll.
Referred by: self (Inform child's social worker)
Fee: Students can receive financial assistance if they qualify.
Call for more information.
Area served: Oahu
Phone Number: 596-0200
Website: www.newmanconsultingservices.com
University of Hawai'i
Bridge to Hope
2600 Campus Road, QLCSS 211, Honolulu, HI 96822
Services: Assistance with on-campus student employment and
other services to help welfare (TANF) recipient students succeed in their educational goals.
Outreach to former foster youth includes
knowledgeable staff, linkage to community resources,
Eligibility:
Cash assistance/TANF recipients with a First-to- Work work requirement who are full-time enrolled at any University of Hawai’i campus. Outreach offered to former foster youth.
Referred by: self
Fee: Free
Area served: Statewide
Phone Number: 956-9313
Website: www.hawaii.edu/bridgetohope/fosteryouth
Variety School of Hawai'i
710 Palekaua St., Honolulu, HI 96816
Services:
A school offering children a wide variety of programs and experiences in a small setting focused on the academic and social needs of each child.
Eligibility:
Children ages 5-13 with learning disabilities, attention deficit disorder and/or high-functioning
Referred by: self (For foster child, inform child's social worker)
Fee: Call for current tuition costs. Tuition aid available.
Area served: Oahu
Phone Number: 732-2835
Website: www.varietyschool.org
Food, Financial & Material Assistance ALU LIKE, Inc.
Hana Lima Scholarship Program
458 Keawe St., Honolulu, HI 96813
Services:
Provides financial assistance ($1, 500) to students participating in a vocational or technical education program for occupations that an provide a "living wage" in a specific segment of employment
Eligibility:
Be of Native Hawaiian ancestry, a resident of Hawai‘i, enrolled at least half time in a vocational degree or certification program in one of the educational institutions listed on application, and maintain a 2.0 GPA or higher.
Referred by: self (For youth in CWS, inform social worker)
Fee: Free
Area served: Statewide
Phone Number: 535-1313
Website: www.alulike.org/services/kaipu_hana.html
Catholic Charities Hawai'i
Intake, Information, and Referral
1822 Ke'eaumoku st., Honolulu, HI 96822
Services:
Provides a variety of emergency services to assist people by answering questions, helping with applications for assistance, and referring them to CCH programs or other programs in Hawai‘i.
Eligibility: Anyone in need
Referred by:
self (Resource families in crisis need to call child's social worker)
Fee: Free
Area served: Oahu, Kauai, Maui, Hawaii
Phone Number: 521-HELP (4357)
Website: www.catholiccharitieshawaii.org
Catholic Charities Hawai'i
Housing Placement Program
1822 Ke'eaumoku st, Honolulu, HI 96822
Services:
Financial assistance with first month's rent or deposit. Case management support for a min of 6 months after the family secures a home. Workshops on financial health, fair housing laws, and the
Eligibility:
Families with children under 18yrs of age experiencing difficulty in accessing housing with their Section 8 voucher and other low-income families in an emergency housing situation, such as eviction or homelessness. Must be a U.S. citizen.
Referred by: self
Fee: Free
Area served: Oahu, Kauai
Phone Number: 808-521-4357
Website: www.CatholicCharitiesHawaii.org
Food, Financial & Material Assistance
Family Programs Hawai'i
Enhancements
250 Vineyard St., Honolulu, HI 96813
Services:
Provides enhancements to foster children for activities and items, including tutors; summer school tuition; self-esteem programs such as sports, dance, scouting, martial art and music; special events; and special projects such as back-to-school items.
Eligibility: Children in the CWS foster care system
Referred by: Child's social worker for children in CWS
Fee: Free
Area served: Statewide
Phone Number:
521-9531 (office) or 545-1130/1-866-545-0882 (Warm Line)
Website: www.FamilyProgramsHawaii.org
Hawaii Community Foundation
827 Fort Street Mall, Honolulu, HI 96813
(other addresses available on Hawaii, Kauai, and Maui)
Services:
Hawai'i Community Foundation's scholarship program consists of over 150 different scholarship funds established by generous individuals, businesses or organizations to assist Hawai'i's residents in obtaining a college education.
Eligibility:
Each scholarship has specific requirements. The Victoria S. and Bradley L. Geist Foundation Scholarship is for those currently or formerly placed in the foster care system in the state of Hawai'i.
Referred by: self (letter from CWS SW is required for Geist
Foundation scholarship)
Fee: Free to apply for scholarships
Area served: Statewide
Phone Number:
537-6333 (Oahu); 885-2174 (Hawaii Island); 2454585 (Kauai); 242-6184 (Maui); 1-888-731-3863 (toll-free)
Website: www.hawaiicommunityfoundation.org
Hawaiian Community Assets
1050 Queen Street, Suite 201, Honolulu, HI 96814 (other addresses available on Hawaii, Kauai, and Maui)
Services:
Provides a comprehensive program of services designed to help families become and remain homeowners, including home buyer education, one- on-one counseling, financial literacy, mortgage lending, and down payment assistance
Eligibility:
Low- and moderate-income communities and individuals in Hawaii
Referred by: self
Fee: Free workshops and counseling services
Area served: Statewide
Phone Number:
587-7886 (Oahu); 760-5100 (Maui); 934-0801 (Hilo); 632-2070 (Kauai); 1-866-400-1116 (toll- free)
Website: www.hawaiiancommunity.net
Food, Financial & Material Assistance
Helping Hands Hawai'i
Community Clearinghouse
2100 N. Nimitz Hwy, Honolulu, HI 96819
Services:
Provides furniture, major appliances, household items and clothing for those with a verifiable need. Accepts requests for small items and limited amount of requests for large everyday items. All donations accepted in "as is" condition.
Eligibility:
Must be referred by a social service worker by registered agency.
Referred by:
Child's social worker for children in CWS or resource families
Fee: Free to consumers
Area served: Oahu
Phone Number: 440-3800
Website: www.helpinghandshawaii.org
Helping Hands Hawai'i
Emergency Assistance Fund
2100 N. Nimitz Hwy, Honolulu, HI 96819
Services:
Provides emergency financial assistance for utilities (electric, water, or gas), back rent, or first month's rent (not for deposit)
Eligibility:
Must be referred by a social service worker by registered agency.
Referred by:
Child's social worker for children in CWS or resource families
Fee: Free
Area served: Oahu
Phone Number: 440-3800 Main Number; Rent Assistance 440-
3835; Utility Assistance 440-3858
Website: www.helpinghandshawaii.org
The Children's Alliance of Hawai'i
Enhancements
200 N. Vineyard Blvd. #410, Honolulu, HI 96813
Services:
Offers financial support for school expenses, health- related costs, clothing, bus passes, sports, hobbies, and intersession activities to promote development and increase self esteem. Annual Back to School project and Christmas Angel project.
Eligibility:
Sexually abused, physically abused, or neglected children and their siblings who lived in the home when the abuse occurred. Children ages 0-18
Referred by:
Child's social worker for children in CWS, resource family, or other service provider
Fee: Free
Area served: Oahu, Kauai
Phone Number: 599-2955 ext. 202 (Oahu); 246-3736 ext. 202
(Kauai)
Website: www.cahawaii.org
Food, Financial & Material Assistance
The Salvation Army
Family Services Office
1931 N. King St., Honolulu, HI 96817
Services:
Assists people with financial needs including rent assistance, food and holiday assistance, clothing voucher, and first month rent for homeless only. Refers as necessary. Offers "Hana Pono‘i" with classes on money management and nutrition.
Eligibility:
Genuine financial need. For rental assistance, must have a eviction notice or be homeless, limited to once a year and 2 times a lifetime. May have other grant requirements.
Referred by: self (Resource families in financial crisis need to
inform child's social worker)
Fee: Free
Area served: Oahu
Phone Number: 841-5565
Website: www.salvationarmyhawaii.org
University of Hawai'i Maui Community College Liko A`e Native Hawaiian Scholarship Program
310 Kahumanu Ave., Kahului, HI 96732
(Other addresses available on Kauai, Oahu, & Hawaii)
Services:
Awards need & merit-based scholarships. Student applications will be ranked according to GPA and on the strength of responses to the essay question.
Eligibility:
Hawaiian, a US citizen, have a high school diploma (or equivalent), be enrolled or accepted as a full-time or half-time student in any degree-awarding program, financial need, meet other requirements
Referred by: self (For youth in CWS, inform social worker)
Fee: Free
Area served: Statewide, US
Phone Number: 984-3553 or 984-3630
Website: https://likoae.org
YWCA O'ahu
Dress for Success Honolulu 1040 Richards St., Honolulu, HI 96813
Services:
Provides career attire to women and supports them in their transition to long-term self-sufficient
Eligibility: Low-income women in need of professional clothing
Referred by: Agency
Fee: Free
Area served: Oahu
Phone Number: 695-2603
Website: www.ywcaoahu.org
Food, Financial & Material Assistance
YWCA O'ahu
Pathways to Work
1566 Wilder Ave., Honolulu, HI 96822
Services:
Provides loans, ranging from $500 to $6,000, to help qualifying families purchase a used car or pay for car repairs. Borrowers repay the loan at a modest interest rate.
Eligibility:
Parent at least 18 years old, meet income limits, with enough income for monthly payments, and work at least 19 hrs/wk for 6 months before applying or be a post high-school student with verifiable income
Referred by:
self (Resource families in crisis need to call child's social worker)
Fee: Free
Area served: Oahu
Phone Number: 681-1430 (Child & Family Service)
Website: www.ywcaoahu.org
Foster & Adoptive Family Services
Adoption Circle of Hawai'i
P.O. Box 10304, Honolulu, HI 96816
Services:
Provides information, advocacy and support to the adoption triad (those who are adopted, those who have relinquished children for adoption, and those who have adopted children) and educates the community about the adoption experience
Eligibility:
Anyone who was adopted, has adopted, or has relinquished a child for adoption
Referred by: self
Fee: Free
Area served: Oahu
Phone Number: 591-3834
Website: www.adoptioncirclehawaii.com
Catholic Charities Hawai'i
Statewide Resource Family Program
1822 Keeaumoku St., Honolulu, HI 96822
(Other addresses available on Hawaii, Kauai, and Maui)
Services:
Provides an integrated and community-based approach to identify, recruit, assess, train, and license child specific foster/resource families throughout the state of Hawaii
Eligibility:
Families desiring to foster care for a related child in the Child Welfare Service system.
Referred by: Child Welfare Services
Fee: Free
Area served: Statewide
Phone Number:
524-4673 (Oahu); 961-7060 (East Hawaii); 327- 2710 (West Hawaii); 632-6910 x6911 (Kauai); 873-4673 (Maui/Molokai/Lanai)
Website: www.catholiccharitieshawaii.org
Foster & Adoptive Family Services
EPIC 'Ohana, Inc.
`Ohana Conferencing
1130 N. Nimitz Hwy., Suite C210, Honolulu, HI 96817
(Other addresses available in Hilo and on Maui)
Services:
Gathers the extended family of children involved in the Child Welfare Services system to thoughtfully and carefully plan for the protection and safety of the children. It is family-centered, strengths based, community based, and culturally relevant.
Eligibility:
CWS social worker may recommend; families choose whether or not to have one; resource families are encouraged to participate
Referred by: Child's social worker for children in CWS
Fee: Free
Area served: Statewide
Phone Number:
838-7752 (Oahu); 961-9880 (Hilo); 329-4688 (Kona); 1-866-636-1644 (toll-free for neighbor island)
Website: www.epicohana.org
EPIC 'Ohana, Inc.
`Ohana Connections
1130 N. Nimitz Hwy., Suite C210, Honolulu, HI 96817
(Other address available in Hilo and on Maui)
Services:
Assist in finding and engaging family members and other kinship support for children and youth entering foster care and those who have lost family connections while in foster care so that every foster child ahs relationships that will last a lifetime.
Eligibility: Children in foster care
Referred by:
self, resource family, child's social worker, or GAL (Inform child's social worker)
Fee: Free
Area served: Statewide
Phone Number:
838-7752 (Oahu); 961-9880 (Hawaii); 986-0750 (Maui); 1-866-636-1644 (toll-free for neighbor islands)
Website: www.epicohana.org
EPIC 'Ohana, Inc.
Hawai`i Youth Opportunities Initiative
1130 N. Nimitz Hwy., Suite C210, Honolulu, HI 96817 (Other address available on Hawaii and Maui)
Services:
Provides financial literacy training, personal bank accounts, and matched savings accounts for approved purchases; also, provides opportunities to accumulate experimental and tangible assets and has a youth leadership board
Eligibility:
Youth 14-23 years old, were in the public child welfare foster care system at the age of 14 or older, and agree to participation requirements
Fee: Free
Area served: Statewide
Phone Number: (808) 748-7052 (Statewide)
Website: www.epicohana.org
Foster & Adoptive Family Services
Family Programs Hawai'i
It Takes An `Ohana (ITAO)
250 Vineyard St., Honolulu, HI 96813
Services:
Helps foster and adoptive families provide a nurturing environment for children by providing information, training, support, and advocacy. (Previously known as Hawaii Foster Parent
Eligibility:
Resource families providing foster care, guardianship, and adoptive families
Referred by: self
Fee: Free
Area served: Statewide
Phone Number: 521-9531 ext. 292
Website: www.ittakesanohana.org
Family Programs Hawai'i
Resource Families Support Services
250 Vineyard St., Honolulu, HI 96813
Services:
Provides monthly support groups and quarterly training opportunities throughout the state for resource families. Warm Line provides information, referrals, and telephone support.
Eligibility:
Resource families caring for children in the CWS foster care system, guardianship families, adoptive families, and kinship families
Referred by: self
Fee: Free
Area served: Statewide
Phone Number:
545-1130 (Oahu); 1-866-545-0882 (Toll-free on Neighbor Islands)
Website: www.FamilyProgramsHawaii.org
Family Programs Hawai'i
Wendy's Wonderful Kids
250 Vineyard St., Honolulu, HI 96813
Services:
Provides services to children and youth under permanent custody of the state by making family connections and recruiting adoptive families.
Eligibility:
Children/Youth in the foster care system who are waiting for permanent homes; Families wanting to adopt
Referred by:
Child's social worker for children in CWS; Self for families wanting to adopt
Fee: Free
Area served: Oahu
Phone Number: 521-9531x251; 540-2552
Website: www.DaveThomasFoundation.org
Foster & Adoptive Family Services
Hawai'i International Child (HIC)
1168 Waimanu St., Honolulu, HI 96814
Services:
Adoptive services: general and family adoptive counseling, licensed home studies, post placement and evaluation service, assistance in private adoptions, birth mother counseling, international adoption programs in China, Taiwan, Hong Kong, and Philippines
Eligibility:
Families interested in international adoption or domestic private adoption
Referred by: self
Fee: Call for information
Area served: Statewide
Phone Number: 589-2367
Website: www.h-i-c.org
HOPE INC (In the Name of Christ)
Family Connections
P.O. Box 892732, Mililani, HI 96789
Services:
Support services based on Trust Based Relational Intervention including training, monthly support group, family camp, naturopathic physician consultation, counseling, and life skills & nutrition education
Eligibility:
Families with children from hard places with challenging behaviors
Referred by: self
Fee: (call for information)
Area served: Oahu
Phone Number: 230-2445
Website: www.hopeinchawaii.org
HOPE INC (In the Name of Christ) KeOlaKa Pu`uwai Children Services
P.O. Box 892732, Mililani, HI 96789
Services:
Provides a faith-based ministry to children, who are at-risk of growing up without a safe, secure forever family, through a Christian licensed foster care and adoption agency that will find loving families whom the children can learn to trust.
Eligibility: Families interested in foster caring or adopting
Fee: (call for information)
Area served: Statewide
Phone Number: 230-2445
Website: www.hopeinchawaii.org
Foster & Adoptive Family Services
Partners in Development
Hui Ho`omalu - General Licensing
680 Iwilei Rd., Suite 500, Honolulu, HI 96817
Services:
Coordinates the recruitment, training, and home studies/licensing of general-licensed resource families
Eligibility:
Families wanting to provide foster care and have financial security, proper space in their home, and have no criminal record of child abuse or other major crimes.
Fee: Free
Area served: Statewide
Phone Number: 441-1117 (Oahu); 268-5122 (Maui); 987-5988 (E.
Hawaii); 896-3829 (W. Hawaii); 346-8184
(Kauai); 1-888-879-8970 (toll-free)
Website:
www.pidfoundation.org/programs/hui_hoomalu/about
Health, Nutrition & Family Planning
Aloha Care - Quest
Online Provider Search
Services:
Provides online listing of Primary Care Physicians and medical professionals who accept Aloha Care - Quest medical insurance. (Resource families need to call their child's social worker or SSA to change his/her PCP)
Eligibility: Anyone
Referred by: self
Fee: Free
Area served: Statewide
Phone Number:
Website: http://www.alohacare.org/ProviderSearch/Default.aspx
Community Case Management Corp. (CCMC)
P.O. Box 2818, Aiea, HI 96701
Services:
Helps those eligible for Quest or Medicaid to find a dentist who accepts coverage and helps with dental care guidelines
Eligibility: People who have Quest or Medicaid coverage
Fee: Free
Area served: Statewide
Phone Number:
486-8030 or 792-1071 (Oahu) 1-866-486-8030 (Toll-free for neighbor islands)
Website: www.ccmcorp.net
Health, Nutrition & Family Planning
Hawai'i Department of Health
Public Health Nursing
1700 Lanakila Ave., Rm 201, Honolulu, HI 96817
(Other addresses available on Oahu, Hawaii, Kauai, and Maui)
Services:
Provides care coordination, transition planning, and education; facilitates access to health care and resources; and conducts screening tests and health assessments.
Eligibility:
Persons with health or nursing needs, including special needs infants and children and pregnant teens
Referred by: Child's social worker for children in CWS
Fee: Free
Area served: Statewide
Phone Number: 832-5765 (main); 733-9220(East Hon); 832-
5757(West Hon); 453-6190(Central); 675-
0073(Leeward); 233-5450(Windward); 974-
6025(East Hawaii); 322-1500(West Hawaii); 984-
8260(Maui); 241-3387(Kauai); 553-
3208(Molokai); 565-7114(Lanai)
Website:
www.hawaii.gov/health/family-child- health/publichealthnursing/index.html
HMSA - Quest
Online Provider Search
Services:
Provides online listing of Primary Care Physicians and medical, dental, and vision professionals who accept HMSA medical insurance, including HMSA- Quest. (Resource caregivers need to call their child's social worker or SSA to change his/her PCP)
Eligibility: Anyone
Referred by: self
Fee: Free
Area served: Statewide
Phone Number:
Website: www.hmsa.com/search/providers/
Kahi Mohala Behavioral Health
Child/Adolescent Services
91-2301 Old Fort Weaver Rd., Ewa Beach, HI 96706
Services:
Includes impatient & outpatient services, partial hospitalization, psychiatric eval/treatment, medication management, clinical assessment, psychological testing, substance abuse, eating disorder services, individual, family and group therapy
Eligibility:
Ages 3-12 experiencing emotional or behavioral problems that interfere with daily functioning
Referred by: Child's social worker for children in CWS, doctors,
ER, parents
Fee: Most insurance accepted. Vary depending on service
Area served: Oahu
Phone Number: 671-8511 (Main); 677-2512 (24-Hour Call Center)
Website: www.kahimohala.org
Health, Nutrition & Family Planning Kulana Malama
91-1360 Karayan St., Ewa Beach, HI 96706
Services:
A pediatric facility dedicated to meeting the needs of medically fragile children, including extended care, transitional unit, respite care, and clinical assessments
Eligibility: Medically fragile children, from newborn to age 21
Referred by:
self (Child's social worker for children in CWS) Call for more information, medical insurances accepted
Fee:
Area served: Oahu
Phone Number: 681-1200
www.kulanamalama.com
Website:
WIC (Women, Infants, and Children)
235 S. Beretania St. #701, Honolulu, HI 96813
(Other addresses available on Oahu, Maui, Molokai, Lanai, Hawaii, and Kauai)
Services:
A nutrition program helping pregnant women, new mothers, and young children eat well and stay healthy. When you enroll in WIC, you receive special checks to buy good foods such as milk, juice, eggs, cereal, cheese, peanut butter, fruits, vegetables
Eligibility:
Be either a pregnant, breastfeeding, or postpartum woman, or have children under 5 years old who have nutritional needs, meet federal income guidelines, and be a resident of Hawaii. Families providing foster care may apply.
Referred by: self (Inform child's social worker)
Fee: Free
Area served: Statewide
Phone Number:
586-8175 (Admin); 586-4761(Honolulu); 1-888- 820-6425 (toll-free for neighbor islands)
Website: http://hawaii.gov/health/family-child-
health/wic/wic#whatis
Housing Assistance
Catholic Charities Hawai'i
Horizons Independent Living House
1822 Keeaumoku St., Honolulu, HI 96822
Services:
A 24+ month residential program to help young adults achieve the necessary skills and resources to become independent, including independent living skills assessment, training, services, and development of a written transitional independent
Eligibility:
Males 18-25 years old in need of transition planning and assistance with independent living, preferably transitioning out of foster care, aging out of the system, and out of home placement; Community outreach transition planning for males and females
Referred by: self, DHS worker, or other service provider Fee: Free for first month, $150/mo. for second, $300 for each month after with 100% matching savings
Area served: Oahu
Phone Number: 527-4952
Website: www.catholiccharitieshawaii.org
Housing Assistance
Department of Hawai'ian Home Lands
Home Ownership Assistance Program (HOAP) Call Center
1099 Alakea St., 20th floor, Honolulu, HI 96813
Services:
Provides access to information on HOAP services, program providers and other relevant information to prepare and equip Native Hawaiians for home ownership. Programs include financial literacy, job training and placement, and addiction treatment services.
Eligibility: Open to general public
Referred by: self
Fee: Free
Area served: Statewide
Phone Number: 1-866-512-4627 (Toll-free)
Website: www.hawaii.gov/dhhl/hoap
Hale Kipa
Independent Living Programs - Haloa House
2146 Damon St., Honolulu, HI 96822
Services:
4-bed residential program in Salt Lake for young women exiting/exited from foster care who need a place to stay for 6-9 months; group and individual services to teach health, nutrition, vocation, education, employment, & home maintenance
Eligibility:
Women 18-21 years of age who are exiting or have exited foster care and have a full-time schedule (work and/or school)
Referred by: self or child's social worker
Fee: 30% of their income, which they receive most of it back when done with program
Area served: Oahu
Phone Number: 589-1829 ext. 202
Website: www.halekipa.org
Hale Kipa
Independent Living Programs - Transitional Apartments
2146 Damon St., Honolulu, HI 96822
Services:
4-bed residential program for young men exiting from Hawaii Youth Correctional Facility or foster youth in need of housing (6-9 months); group and individual services to teach health, nutrition, vocation,
education, employment, & home maintenance
Eligibility:
Men 17 1/2 - 21 years of age who are exiting or have exited foster care or correctional facility and have a full-time schedule (work and/or school)
Fee:
20% of their income, which they receive back when done with program
Area served: Oahu
Phone Number: 589-1829 ext. 202
Website: www.halekipa.org
Housing Assistance
Hale Kipa
Step Up Housing Program
2146 Damon St., Honolulu, HI 96822
Services:
Family Unification Program, which provides Section 8 housing vouchers for up to 18 months for young adults who were formerly in foster care
Eligibility:
18-21 years old at time of applying, in foster care on or after their 16th birthday, currently lack adequate housing, pass DCS public housing authority eligibility criteria, willing to fulfill other requirements
Referred by: self
Fee: Free program; participants pay a percentage of their rent
Area served: Oahu
Phone Number: 589-1829 ext. 202
Website: www.halekipa.org
Hawai'i Habitat for Humanity
1136 Union Mall, Suite 510, Honolulu, HI 96813
(Other addresses available on Hawaii, Molokai, Maui, Kauai, and Oahu)
Services:
A local affiliate of a world-wide organization that builds houses with volunteer labor and sell those houses to families in need at affordable rates; helping to end the poverty cycle one family at a time.
Eligibility:
Families qualify based upon their need for housing, willingness to partner with Habitat, and ability to pay the mortgage.
Referred by: self (Resource families in crisis need to call child's social worker)
Fee: Cost of building the home through a 0% interest mortgage
Area served: Oahu, Hawaii, Maui, Molokai, Kauai
Phone Number: 538-7070 (Honolulu); 935-6677 (Hilo); 560-5444
(Molokai); 242-1140 (Maui); 331-8010 (Kona);
335-0296 (Kauai); 696-7882 (Leeward Oahu)
Website: www.habitat.org
Legal Aid Society of Hawai'i
Online Client Resources
Services:
Provides listing of housing assistance and rental assistance program on Oahu, Kauai, Maui, and Big Island. Also has affordable rental listings on Oahu and subsidized housing list for Oahu
Eligibility: Anyone
Fee: Free
Area served: Oahu, Hawaii, Kauai, Maui
Phone Number:
Website: www.legalaidhawaii.org
Housing Assistance
Legal Aid Society of Hawai'i
The Fair Housing Enforcement Program
924 Bethel St., Honolulu, HI 96813
Services:
Answers fair housing questions, assistance with filing a formal complaint to a government agency, advice about how to assert your fair housing rights, informational materials, referrals to other organizations, educating the community
Eligibility: People who believe they have been a victim of illegal housing discrimination, no income eligibility requirements
Referred by:
self (Resource families in crisis need to call child's social worker)
Fee: Free
Area served: Statewide
Phone Number:
527-8017 (Oahu); 1-866-527-FAIR (Toll-free on neighbor islands)
Website: www.legalaidhawaii.org
Legal Services
Legal Aid Society of Hawai'i
Affordable Lawyers Project
924 Bethel St., Honolulu, HI 96813
(Other addresses available on Maui, Kauai, and Hawaii)
Services:
Quality legal services at a discounted rate including uncontested divorce, child custody/support modification, consent adoption/guardianship, power of attorney, advance health care directive, simple will, and more
Eligibility: Family income between 125% and 250% of the
poverty level
Fee: Most services are provided for a low flat rate. Call for more information.
Area served: Statewide
Phone Number:
536-4302 (Oahu); 1-800-499-4302 (toll-free for neighbor islands)
Website: www.legalaidhawaii.org
Legal Aid Society of Hawai'i
Foster Kids SSI Project
924 Bethel Street, Honolulu, HI 96813
Services:
Partnership between LASH and DHS to ensure that all non-Title IVE foster children, who are not eligible for federal money for foster care and adoption assistance, have the opportunity to obtain Social
Eligibility:
Children in foster care who are non-Title IVE foster children and receive Difficulty of Care (DOC) payments
Referred by: Child's social worker
Fee: Free
Area served: Statewide
Phone Number:
536-4302 (Oahu); 1-800-499-4302 (toll-free on neighbor islands)
Website: www.legalaidhawaii.org
Legal Services
Legal Aid Society of Hawai'i
General Legal Services
924 Bethel St., Honolulu, HI 96813
(Other addresses available on Oahu, Maui, Molokai, Lanai, Kauai, and Hawaii)
Services:
Provides free general legal representation and help to individuals and families who cannot afford to hire a private attorney with their civil legal needs. Primarily assists in the areas of family, housing, consumer, and public benefits law.
Eligibility:
Income is under 125% of the Federal Poverty Level (FPL). Free services may be offered to those who earn up to 200% of the FPL and have children.
Referred by:
self (Resource families in crisis need to call child's social worker)
Fee: Free
Area served: Statewide
Phone Number:
536-4302 (Oahu); 1-800-499-4302 (toll-free for neighbor islands)
Website: www.legalaidhawaii.org
Legal Aid Society of Hawai'i
Legal Advocacy for Families and Children
924 Bethel Street, Honolulu, HI 96813
(Other addresses available on Oahu, Hawaii Island, Kauai, and
Molokai, Lanai, and Molokai)
Services:
Provides a number of civil legal services including, but not limited to, child custody, housing, consumer debt, employment, public benefits issues and other child services issues such as education, teen pregnancy, and runaway children
Eligibility:
Income below 200% of fed. poverty line, and: are family w/ confirmed abused/neglected children or children in violent household, have legal barriers preventing self-sufficiency, homeless, runaway, denied educ. access, or pregnant/parenting teen
Referred by: self (Inform child's social worker/GAL)
Fee: Free or low-cost
Area served: Statewide
Phone Number: 536-4302 (Oahu); 565-6089(Lanai); 329-
8331(Kona); 242-0724(Maui); 245-7580 (Kauai);
553-3251(Molokai); 934-0678(Hilo)
Website: www.legalaidhawaii.org
Legal Services
Legal Aid Society of Hawai'i
Low-Income Taxpayer Clinic (LITC)
924 Bethel St., Honolulu, HI 96813
(Other addresses available on Oahu, Maui, Molokai, Lanai, Kauai, and Hawaii)
Services: Tax services to low income and ESL persons,
including representation in tax controversies with the
IRS.
Eligibility:
Income is under 125% of the Federal Poverty Level (FPL). Free services may be offered to those who earn up to 250% of the FPL and have children.
Referred by: self (Resource families in crisis need to call child's social worker)
Fee: Free services, only costs such as court filing fees
Area served: Statewide
Phone Number:
536-4302 (Oahu); 242-0724 (Maui); 553-3251 (Molokai); 565-6089 (Lanai); 245-7580 (Kauai); 934-0678 (Hilo); 329-8331 (Kona)
Website: www.legalaidhawaii.org
The Children's Law Center
733 Bishop St., Suite 2302, Honolulu, HI 96813
Services:
A full service law center focusing exclusively on the legal and best interest needs of Hawaii's children, including custody, paternity, abuse, guardianship, adoption, or conservatorship.
Eligibility:
Adults and children in need of child custody consultation, facilitation, parenting coordination, custody evaluation, or court representation.
Referred by: self (Inform child's social worker)
Fee: Call for more information
Area served: Oahu
Phone Number: 528-5437
Website: www.childlawhawaii.com
Volunteer Legal Services Hawai'i
545 Queen St., #100, Honolulu, HI 96813
Services:
Legal assistance in a variety of areas of civil law, including family law, adoption, child advocacy, child support, custody, divorce, guardianship, TROs, visitation, parenting plans, elder law, and general law
Eligibility: Income within 200% of federal poverty level
Referred by: self (For foster child, inform child's social worker)
Fee: Vary depending on service provided
Area served: Statewide
Phone Number:
528-7046 (Oahu); 1-800-839-5200 (Toll-free for Neighbor Islands)
Website: www.vlsh.org
Other Resources
Aloha United Way
Services:
Comprehensive, statewide community information and referral service helping people find food, shelter, drug treatment, childcare, job training and much more. Free from all islands, Mon-Fri 6am-9pm, and all calls are confidential.
Eligibility: Everyone
Referred by: self
Fee: Free
Area served: Statewide
Phone Number: 211
Website: www.auw.org/2-1-1
Hawai'i Dept. of Human Services
Public Assistance Information Line
Services:
Statewide automated telephone system available 7 days a week, 24 hours a day. It provides basic information on a variety of DHS assistance programs, such as information on financial, food stamps, medical, funeral payments & child care subsidy
Eligibility: Anyone
Fee: Free
Area served: Statewide
Phone Number: 643-1643
Website:
Hawai'i State Public Library System
Online Services
Services:
Users can connect to the Hawaii State Library System and view Public Access Catalog and library card account, place reserves, and look up magazine
Eligibility: Everyone
Fee: Free
Area served: Statewide
Phone Number:
Website: www.librarieshawaii.org
Kamehameha Schools
Ho`oulu Hawaiian Data Center
567 S. King St., Suite 102, Honolulu, HI 96813
Services:
Verifies Hawaiian ancestry of applicants to Kamehameha Schools programs who wish to be considered under their preference policy. Creates a database of the Hawaiian population to support planning for lifelong learning in the Hawaiian community.
Eligibility: Individuals/families with Hawaiian ancestry
Referred by: Child's social worker for children in CWS
Fee: Free
Area served: Statewide
Phone Number:
523-6228 (Oahu); 1-800-842-4682 ext.36228 (toll- free)
Website: www.ksbe.edu/datacenter
Other Resources
State Department of Health
Office of Health Status Monitoring Issuance/Vital Statistics Section
P.O. Box 3378, Honolulu, HI 96801
Services:
Provides certified copies of birth, death, marriage, and divorce certificates Applications are accepted in person, by mail, or through the internet. See website for information needed.
Eligibility: Individuals (or those directly related) needing
certified copies of vital records from state of Hawai'i
Referred by: self (If in need of a birth certificate for foster child,
ask child's social worker or assistant)
Fee: $10 for first copy of each, $4 for each additional at the same time, extra fee for internet requests
Area served: Statewide
Phone Number: 586-4539 or 586-4542
Website: www.hawaii.gov/health/vital-records/vital-
records/vital_records.html
Parent Education & Family Support
Alaka'i Na Keiki
Psychological and Educational Services
1100 Alakea St., 9th Floor, Honolulu, HI 96813
(Other addresses available in Kaneohe, Aiea, & Waianae)
Services:
Specializes in working with childhood and adolescent disorders; provides specialized assessment, parent
consultation, individual and family counseling/therapy, skills trainer services, tutoring
services, group therapy, psychiatric services, etc.
Eligibility: Children, adolescents, families, and adults
Referred by: Child's social worker for children in CWS
Fee: Vary depending on service provided, most insurances accepted
Area served: Oahu
Phone Number: 523-7771
Website:
Aloha Mothers of Multiples
P.O. Box 2127, Pearl City, HI 96782
Services:
Provides information, support group, clothing exchange, social activities, problem solving and discussions. Members meet every 3rd Thursday each month.
Eligibility:
Families with/or expecting multiples or with children less than 1 yr. apart.
Referred by: self
Fee: Active membership - $30/year; 90-day trial membership
Area served: Oahu
Phone Number: 247-8946
Website: www.alohamultiples.org
Parent Education & Family Support
ALU LIKE, Inc.
Kulia Like Department
458 Keawe St., Honolulu, HI 96813
(Other addresses available on Maui, Kauai, Hawaii, Molokai, and Lanai)
Services:
Multi-Service Program connects families and individuals with resources in the community, such as scholarships, tuition, food and housing. Individual Development Account provides matched savings opportunities and financial literacy training.
Eligibility:
Information and Referral Services are available for Hawaiian and non-Hawaiian individuals and families. Individual Development Account and trainings are available to Hawaiian individuals and families
Referred by: self (For foster child, inform child's social worker)
Fee: Free
Area served: Statewide
Phone Number: 535-6720 (Oahu); 242-9774 (Maui); 248-8545
(Kauai); 961-2625 (Hawaii); 553-5393 (Molokai); 565-6043 (Lanai)
Website: www.alulike.org
Catholic Charities Hawai'i
Enhanced Healthy Start
1822 Keeaumoku St., Honolulu, HI 96822
Services:
Provides home visiting and support services through a team approach that works with biological families as well as foster parents to promote and enhance healthy child development, increase healthy family functioning, and decrease the risk factors
Eligibility:
Families currently involved in the Child Welfare System, with infants and toddlers up to the age of 3, and who meet environmental risk criteria
Referred by: H-KISS (973-9633) or other Healthy Start programs
(child's social worker for child in CWS)
Fee: Free
Area served: Oahu (East Honolulu, Kakaako, North Shore,
Wahiawa)
Phone Number: 524-4673
Website: www.catholiccharitieshawaii.org
Catholic Charities Hawai'i
Hawai`i - Interventions, Mentoring, and Partnerships Aimed at Child Trauma (HI-IMPACT) Program
1822 Keeaumoku St., Honolulu, HI 96822
Services:
Provides individual and group counseling services to children and families who have been exposed to traumatic experiences, utilizing various forms of evidenced-based practices, such as Trauma-Focused Cognitive Behavioral Therapy.
Eligibility:
Children/Youth ages 2-21 with identified trauma and his/her parent or caregiver; For children in foster care, CWS social worker must sign consent to
Referred by:
Child's social worker for children in CWS, other service provider, or resource family
Fee: Free
Area served: Oahu
Phone Number: 527-4984 or 527-4981
Website: www.catholiccharitieshawaii.org
Parent Education & Family Support
Catholic Charities Hawai'i
Mary Jane Program
1822 Keeaumoku St., Honolulu, HI 96822
Services:
Help for women to make the best decision for themselves, their child, and the challenges of living with their decision. Services include residential services in host homes and Mary Jane Home, counseling, mentoring, birthing, and adoption.
Eligibility:
Women experiencing an unplanned pregnancy with nowhere else to go. If the woman desires, services can also be provided to her partner and other family members.
Referred by: self (Child's social worker for children in CWS)
Fee: Free
Area served: Oahu
Phone Number: 263-2958
Website: www.catholiccharitieshawaii.org
Child and Family Service
Comprehensive Counseling and Support Services
91-1841 Fort Weaver Road, Ewa Beach, HI 96706 (Other addresses available on Kauai and Maui)
Services:
A child abuse prevention and treatment program which provides a broad array of services to meet the needs of children and their families including counseling, outreach services, parenting education classes, & supervised visitation
Eligibility:
Families at risk for child abuse/neglect; families that can be safely maintained or reunited with program services; resource families who need assistance in meeting the needs of foster children.
Referred by: Child's social worker for children in CWS
Fee: Free
Area served: Oahu, Maui, Kauai
Phone Number: 681-1467 (Oahu - Central & Leeward); 877-6888
(Maui); 245-5914 (Kauai)
Website: www.childandfamilyservice.org
Counseling and Spiritual Care Center of Hawai'i
1020 S. Beretania St., Honolulu, HI 96814
(Other addresses available on Oahu)
Services:
Counseling and therapy for individuals, couples, and families; consultation and education for ministry; classes and workshops for the community, churches, and temples; supervision and consultation in pastoral counseling and marriage and family therapy
Eligibility:
Anyone who believes they can benefit from the services offered
Referred by: self (Child's social worker for children in CWS)
Fee: Fees are adjusted to affordability, Some insurances
Area served: Oahu
Phone Number: 545-2740
Website: www.cscch.org
Parent Education & Family Support Hale Kipa
Hawai`i Advocate Program
615 Piikoi St., Suite 203, Honolulu, HI 96814
(Other addresses available on Kauai, Hawaii, and Maui)
Services:
For children and families known to the child welfare and juvenile justice systems, or at-risk of becoming known, they provide comprehensive, community- based care, striving to prevent out-of-home placements of youth.
Eligibility:
Youth ages 5-18 (or up to 20 if on parole); Youth in Project First Care for teen, families in need of foster care stabilization services to prevent disruption; families in need of services to prevent out of home placement or to support reunification
Referred by: Child's social worker for children in CWS
Fee: Free
Area served: Statewide
Phone Number: 589-1829 x 230 (Oahu); 249-0698 (Maui); 246-
4898 (Kauai); 969-1935 (Hawaii)
Website: www.halekipa.org
Hale Na'au Pono
86-226 Farrington Hwy., Waianae, HI 96792
Services:
One stop service center for therapy, marriage counseling and family services, case management, therapeutic foster homes, respite care, anger control, employment/self-sufficiency support, financial management, 24 hour crisis hotline, and more
Eligibility: Varies, depending on service
Referred by: Self (Child's social worker for children in CWS) Fee: Varies, depending on service. Sliding scale. Accepts health insurance
Area served: Oahu
Phone Number: 696-4211
Website: www.wccmhc.org
Hawai'i Counseling and Education Center
970 N. Kalaheo Ave., Suite A314, Kailua, HI 96734
(another address available in Aiea)
Services:
Provides counseling for special education students with learning disabilities and their families, substance abuse treatment, mental health counseling, domestic violence and anger management classes, parenting classes, stress management, trainings
Eligibility: Individuals, families, and couples.
Fee: Varies depending on services provided. Accepts most insurances.
Area served: Oahu
Phone Number: 254-6484
Website: www.hcechawaii.com
Parent Education & Family Support
HOPE INC (In the Name of Christ)
KeOlaKa Ohana Services
P.O. Box 892732, Mililani, HI 96789
Services:
Provides a faith-based ministry to expecting and single mothers and at-risk couples through offering: alternatives to abortion, assistance helping parent who choose life plan for life, and resources and support to single mothers and their children
Eligibility:
Expecting and single mothers, at-risk couples self (child's social worker for children in CWS)
Referred by:
Fee: (call for information)
Area served: Statewide
Phone Number: 230-2445
Website: www.hopeinchawaii.org
Kaiser Permanente
Classes
55 Maui Lani Pkwy., Wailuku, HI 96793 (Other locations available on Oahu, Maui, and Hawaii)
Services:
Classes including Parenting through personality styles, Infant/child CPR, Stork classes, anger management, prepared childbirth, and other health and wellness classes. See website for schedule.
Eligibility:
Most classes are open to the general public, several are for Kaiser members only
Referred by: self
Fee: Varies depending on the class.
Area served:
Oahu, Maui (Wailuku), Hawaii (Kona, Waimea) 243-6484 (Wailuku); 432-2260 or 432-2270 (Oahu); 332-4416 (Kona); 443-7877 (Hilo); 881- 4701 (Waimea)
Phone Number:
Website: www.kaiserpermanente.org
Kapiolani Child Protection Center
55 Merchant St., 22nd Floor, Honolulu, HI 96813
(Other address available on Hawaii)
Services:
To address problem of child maltreatment, provides assessment, consultation, medical and mental health treatment (including individual and play psychotherapy, group & family therapy, crisis counseling), multidiciplinary training, research, and advocacy.
Eligibility: Depends on service, call for more information
Referred by: Child's social worker for children in CWS
Fee: Depends on service, accepts medical insurance including
Quest
Area served: Oahu, West Hawaii, East Hawaii, Kauai, Maui, Molokai, and Lanai
Phone Number:
535-7700 (Oahu); 329-4020 (West Hawaii); 1- 888-535-7700 (toll-free);
Website: www.kapiolani.org/child-protection-center
Parent Education & Family Support
Kathy's Parenting Solutions
P.O. Box 1585, Kaneohe, HI 96744
Services: Parenting workshops, staff training, classroom
interventions, and in home consulting.
Eligibility: Families and groups
Referred by: self (Resource families in crisis need to call child's
social worker)
Fee: Varies
Area served: Oahu
Phone Number: 352-3303
Website: www.kathysparentingsolutions.com
Keiki Injury Prevention Coalition
P.O. Box 61954, Honolulu, HI 96839
Services:
Provides automobile safety and child passenger safety education and hands on installation of car seats. Website provides list of upcoming child safety seat checkups and safety seat inspection
Eligibility: Anyone
Referred by: self
Fee: Free
Area served: Statewide
Phone Number: 347-5410
Website: www.kipchawaii.org
Ola Hou Clinic
Anger Management Program
98-1247 Kaahumanu St., Suite 223, Aiea, HI 96701
Services:
12-session anger management program with group therapy designed to integrate cognitive, emotional, physical, and interpersonal effects and solutions to anger management.
Eligibility: Adults and adolescents (separate)
Referred by: self (Child's social worker for children in CWS)
Fee: Accepts most insurance plans, cash plans available.
Area served: Oahu
Phone Number: 487-5433
Website: www.olahouclinic.com
Parent Project & Loving Solutions
Please check the national Parent Project website for classes available in Hawaii.
Services:
Parent Project is an award winning program for parents of strong-willed or out-of-control teens; 10 sessions. Loving Solutions is the same program for parents of strong-willed children ages 5-10 years old;
Eligibility: All Parents, Foster Parents or Guardians
Referred by:
self (Resource families in crisis need to call child's social worker)
Fee: Free classes, $24 (Parent Project) and $22 (Loving
Solutions) for required workbook
Area served: Statewide
Phone Number:
Contact class facilitator as listed on the national Parent Project website.
Website: www.parentproject.com
Parent Education & Family Support
Parents Without Partners - Hawaii
P.O. Box 37717, Honolulu, HI 96837
Services:
Sponsors informal education and recreational activities. Offers support groups for single parents to help them adjust to new life style.
Eligibility:
Single parents (widowed, separated, divorced, never married) with at least one living child
Referred by: self
Fee: Membership dues: $40/year
Area served: Oahu
Phone Number: 262-7441
Website: www.parentswithoutpartners.org
Queen Lili'uokalani Children's Center, Lili'uokalani Trust
1300 Halona Street, Honolulu, HI 96817
(Other addresses available on Oahu, Hawaii, Kauai, Maui, and Molokai)
Services:
Provides grief counseling services, as well as, individual, couple and family counseling; and financial assistance for needs such things as back rent, enrichment, tutoring, food, trips, etc., but not college, funeral or private school.
Eligibility:
Must be at least one child under 18 year old, part- Hawaiian/Hawaiian, and lost at least one parent/guardian by death (or may be considered if terminally ill). Families are assessed one by one for need.
Referred by:
self (Child's social worker for children in CWS with need for counseling)
Fee: Free
Area served: Oahu, Hawaii, Kauai, Maui, Molokai
Phone Number:
847-1302 (Admin/Honolulu); 426-1300 (Waimanalo); 668-2314 (Waianae); 293-8577 (Windward); 235-7613 (Ko‘olau Poku and Lanai); 935-9381 (Hilo); 329-7336 (Kona); 245- 1873 (Kauai); 242-8888 (Maui); 248-7218 (Hana); 553-5369 (Molokai)
Website: www.qlcc.org
The Children's Alliance of Hawai'i
Strengthening Parents
200 N. Vineyard Blvd. #410, Honolulu, HI 96813
Services:
Parent/provider support group assists parents of sexually abused children to enhance communication skills, gain insights to the multiple and complex issues of child sexual abuse and its impact on family members, and develop needed resources.
Eligibility:
All parents and caregivers of sexually abused children are welcome
Referred by: Self, resource family, or other service provider
Fee: Free
Area served: Oahu
Phone Number: 599-2955 ext. 211
Website: www.cahawaii.org
Parent Education & Family Support
The Family Education Training Center of Hawai'i Parent Education and Counseling Program
2020 East West Rd., Honolulu, HI 96822
Services:
12-week course for parents & children to: be organized as a participatory-democracy, distribute family work and resources, cooperate together, communicate respectfully and effectively, and parents to control their emotions & understand
Eligibility: Families
Referred by: self (Inform child's social worker)
Fee:
$20 per family per day, which includes meals, textbook, and materials
Area served: Oahu
Phone Number: 956-2248
Website: www.efetch.org
The Institute for Family Enrichment (TIFFE) Nurturing the Families of Hawai`i
615 Piikoi St., Suite 105, Honolulu, HI 96814 (Other addresses available on Oahu and Hawaii)
Services:
12-week Nurturing Parenting program; classes 1 1/2 hours each in areas of nurturing as a lifestyle, understanding discipline/family rules, money management, budgeting, family play/fun, behavior encouragement, making good choices, growth and development
Eligibility: Families with children
Fee: Free (includes childcare and snacks)
Area served: Statewide
Phone Number:
596-8433 ext. 116 (Oahu); 645-1486 (Kauai); 281- 1494 (Lanai & Maui); 640-1866 (Kona); 895-4850 (Hilo)
Website: www.tiffe.org
The Parent Line
P.O. Box 3102, Honolulu, HI 96802
Services:
Confidential statewide phone line for parents and others with concerns about children. They specialize in child and adolescent growth, development and behavior and offers support, encouragement, information on parenting, community resources, and handouts
Eligibility: Parents, relatives, professionals, anyone with
Referred by: self
Fee: Free
Area served: Statewide
Phone Number:
526-1222 (Oahu) 1-800-816-1222 (Neighbor islands)
Website: www.theparentline.org
Parent Education & Family Support
University of Hawai'i
`Ohana Caregivers
Services:
Conducts research on issues that are important to Ohana Caregivers in Hawai‘i; shares that research; does not provide direct services, but has several pamphlets that may be helpful to Ohana Caregivers
Eligibility:
An Ohana Caregiver, which is someone who is unexpectedly responsible for raising their grandchildren or other young family members
Referred by: self
Fee: Free
Area served: Statewide
Phone Number:
Website: www.hawaii.edu/ohanacaregivers
Special Needs
Child & Family Service
Special Schools - Hau`oli Na Keiki and Mehana School
91-1841 Fort Weaver Rd., Ewa Beach, HI 96706 (other address available on Oahu)
Services:
Services that are individualized to the student's IEP/MP goal and objectives by working with the student's IEP/MP team and home school special education teacher. Student's academic,
communication, social, self-help, and vocational skills
Eligibility: Children with autism and referred by DOE.
Referred by: Department of Education (Inform child's social
worker)
Fee: Free
Area served: Oahu
Phone Number: 681-1532 (Hau'oli Na Keiki), 589-0500 (Mahana)
Website: www.childandfamilyservice.org
Easter Seals Hawai'i
Youth Services Program
710 Green St., Honolulu, HI 96813 (Other address available on Maui)
Services:
Provides after-school recreational opportunities in a safe and nurturing environment designed to support and encourage self-esteem, independence, and social growth in students with special needs. Day camps available during school breaks.
Eligibility:
Youth 10-20 with developmental disabilities or other special needs
Referred by: self (Inform child's social worker)
Fee: Varies depending on services provided
Area served: Oahu, Maui
Phone Number: 536-1015 (Oahu); 1-888-241-7450 (toll free from
the Neighbor Islands)
Website: www.hawaii.easterseals.com
Special Needs
Hawai'i Branch of The International Dyslexia Association
705 S. King St., Suite 206, Honolulu, HI 96813
Services:
Offers tutor referrals, workshops for parents/teachers, information on dyslexia, teacher training, videos/audio tapes for rental, books/pamphlets for sale, annual learning disabilities conference, and school in-service workshops
Eligibility: Those with dyslexia, family/parents, teachers, and anyone wishing to learn about dyslexia
Referred by: self (Inform child's social worker of any concerns
about child)
Fee: Service/referrals free; Memberships and books for a fee
Area served: Statewide
Phone Number:
538-7007 (Oahu); 1-866-773-4432 (Toll free for Neighbor Islands)
Website: www.dyslexia-hawaii.org
Hawai'i Department of Education - Special Education Section Operation Search
475 22nd Ave., Honolulu, HI 96816
Services:
Helps identify children with learning difficulties from age 3 to 20. Informs families of the learning potential of children with disabilities, services available, and the early warning signs of disabilities.
Eligibility: Families with children (3-20 years old)
Referred by: self (Inform child's social worker)
Fee: Free
Area served: Statewide
Phone Number:
203-5566 (Oahu); 1-800-297-2070 (toll-free on Neighbor Islands)
Website: http://doe.k12.hi.us/specialeducation/operationsearch.
Hawai'i Department of Health
Early Intervention Section
1350 S. King St., Suite 200, Honolulu, HI 96814
Services:
Assistive technology; care coordination; family support & education; audiology, vision, health, nursing, psychological & nutrition services; physical, speech, language & occupational therapy; parent-to-parent support; specialized teaching
Eligibility:
Children from birth to 2 years of age with a delay in development or at-risk of developing a delay
Referred by:
Hawaii Keiki Information Service System (H-KISS) (Child's social worker for child in CWS)
Fee: Free
Area served: Statewide
Phone Number: 594-0000; 1-800-235-5477 (H-KISS referral line)
Website: http://hawaii.gov/health/family-child-
health/eis/index.html
Special Needs
Hawai'i Department of Health
Support for Emotional and Behavioral Development (SEBD)
3627 Kilauea Ave., Rm. 101, Honolulu, HI 96816 (Address and phone numbers for Family Guidance Centers are available on all islands)
Services:
Services may include any of the following, as appropriate: 24-Hour Crisis Mobile Outreach, Intensive Case Management, Psychosexual Assessment, Intensive Day Stabilization, Intensive Home & Community Based Intervention,
Multisystemic Therapy, Residential
Eligibility:
Child/youth 3-20 years old, has Hawaii Quest or Medicaid Fee-For-Service insurance, has significant problems with different areas of life, and has a qualifying primary DSM-IV Axis I diagnosis
Referred by:
Parents/Guardians; Child's social worker for children in CWS
Fee:
Area served: Statewide
Phone Number:
733-9394(Oahu) or 1-800-294-5282 (ask for the SEBD BHP Office)
Website: http://hawaii.gov/health/mental-
health/camhd/library/webs/sebd/sebd.html
Hawai'i Department of Health - DCAB
Special Parent Information Network (SPIN)
919 Ala Moana Blvd. #101, Honolulu, HI 96814
Services:
Parent to parent "warm line" for support and understanding, information on a variety of special needs, services, educational programs and support advocacy agencies, quarterly newsletter, and annual conference. Website lists parent support groups.
Eligibility:
Parents, educators, other professionals who work with children and families, public and private organizations and community groups
Referred by: self
Fee: Free
Area served: Statewide
Phone Number:
586-8126 (Oahu); Neighbor Islands dial the following numbers then x68126: 274-3141 (Kauai); 974-4000 (Hawaii); 984-2400 (Maui); 1- 800-468-4644 (Molokai, Lanai);
Website: www.spinhawaii.org
Special Needs
Hawai'i Families As Allies
99-209 Moanalua Rd., Suite 305, Aiea, HI 96701
Services:
Provides support to families whose children and youth have emotional and/or behavioral challenges through education, technical assistance and advocacy. Parent partners are available for assistance through HFAA's Warm Line.
Eligibility:
Families with children and youth who have emotional and/or behavioral challenges including families with children and youth with Pervasive Developmental Disorders (PDD), Autism, or possible concern of a DSM IV diagnoses
Referred by: DOH, DOE, DHS, community agency, or self
(Inform child's social worker)
Fee: Free
Area served: Statewide
Phone Number:
487-8785 (Oahu office); 487-3845 (HFAA's Warm Line); 1-866-361-8825 (toll-free on neighbor islands)
Website: www.hfaa.net
Hawai'i Families As Allies
Hawaii Youth Helping Youth
99-209 Moanalua Rd., Suite 305, Aiea, HI 96701
Services:
Group of young people who have firsthand experience with special education, mental health, foster care, and/or juvenile justice system who share their experiences and ideas in an effort to make things better for other children and youth in Hawaii
Eligibility:
Youth/young adults (ages 14-25) who have firsthand experience with special education, mental health, foster care, and/or the juvenile justice system
Referred by: self (Inform child's social worker)
Fee: Free
Area served: Statewide
Phone Number:
487-8785 (Oahu); 1-866-361-8825 (toll-free on neighbor islands)
Website: www.hfaa.net
HUGS (Help, Understanding & Group Support)
3636 Kilauea Ave., Honolulu, HI 96816
Services:
Support to families with children with a life- threatening illness or is medically fragile including peer support, financial assistance, respite care, and family activities.
Eligibility:
Families with a child (birth-21years old) with a life- threatening illness or is medically fragile
Referred by: self
Fee: Free
Area served: Statewide
Phone Number: 732-4846
Website: www.hugslove.org
Special Needs
Learning Disabilities Association of Hawai'i Parent Training and Information Center
245 N. Kukui St., Suite 205, Honolulu, HI 96817
Services:
Provides information and referrals, workshops and individual assistance (telephone technical assistance, facilitating communication regarding education, problem solving consultations, individual case advocacy)
Eligibility:
Parents, educators, other professionals who work with children and families, public and private organizations and community groups
Fee: Free (some exceptions)
Area served: Statewide
Phone Number:
536-9684 (Oahu); 696-5361 (Waianae), 1-800- 533-9684 (toll-free on neighbor islands)
Website: www.LDAHawaii.org
Learning Disabilities Association of Hawai'i
Persons In Need Project
245 N. Kukui St., Suite 205, Honolulu, HI 96817
Services:
Provides funding to address the needs of children throughout Hawai‘i with serious medical conditions or special educational needs
Eligibility:
Children 17 years old or younger who has a serious medical condition or special education need who would benefit from funding
Referred by: self (Child's social worker for children in CWS)
Fee: Free
Area served: Statewide
Phone Number:
536-9684 (Oahu); 1-800-533-9684 (toll-free on neighbor islands)
Website: www.LDAHawaii.org
Therapeutic Horsemanship of Hawaii
P.O. Box 138, Waimanalo, HI 96795
(sessions available in Waimanalo and Kona)
Services:
Improves the life of an individual's mind and body using horses as a tool. Sessions include grooming, saddling, riding and learning all about horses. (varies depending on the abilities of the riders)
Eligibility:
Open to all individuals who would benefit from program, including children/youth with special needs, or behavioral or physical challenges.
Referred by: self
Fee: $30 for half-hour sessions, $45 for hour sessions
Area served: Oahu, Hawaii (Kona)
Phone Number: 259-7107 or 342-9036 (Oahu); 937-7903 (Kona)
Website: www.thhwaimanalo.org
Substance Use Services
Al-Anon Family Groups Hawaii
Al-Anon/Alateen
1600 Corporate Landing Parkway, Virginia Beach, VA 23454 (Call for meeting locations on Oahu, Hawaii, Kauai, Maui, and Molokai)
Services:
Fellowship of relatives and friends of alcoholics who share their experience, strength and hope in order to solve their common problems and to help others do the same
Eligibility:
Anyone whose life is or has been affected by someone else's alcoholism
Referred by: self (Resource families in crisis need to call child's
social worker)
Fee: Free
Area served: Oahu, Hawaii, Kauai, Maui, Molokai
Phone Number: 546-5647 (Oahu), 935-0971 (Hawaii), 246-1116
(Kauai), 242-0296 (Maui & Molokai)
Website: www.afghawaii.org
Co-Dependents Anonymous
(See website for meeting locations)
Services:
A 12 -step recovery program that provides support groups for people dealing with personal relationship issues including substance abuse. Website lists times and locations.
Eligibility:
Those who desire a healthy and fulfilling relationship self (Resource families in crisis need to call child's social worker)
Referred by:
Fee: Free
Area served: Oahu, East Hawaii, West Hawaii, Maui, Kauai
Phone Number: 1-888-444-2359 (toll free); 734-3000 (local
number)
Website: www.coda.org
Drug-Free Hawai'i
Prevention Resource Center
1130 N. Nimitz Hwy., Suite A-259, Honolulu, HI 96817
Services:
Has a leading library, clearinghouse on information, and directories of treatment programs, prevention programs, speakers, drug testing services and drug fact sheets.
Eligibility: Anyone
Fee: Free
Area served: Statewide
Phone Number: 545-3228 ext. 34 (Oahu) 1-800-845-1946 ext. 34
(toll-free on Neighbor Islands)
Website: www.drugfreehawaii.org
Substance Use Services
Hawai'i Counseling & Education Center, Inc. Ke Ala La`i Program
970 North Kalaheo Ave., Suite A314, Kailua, HI 96734 (another address available in Aiea)
Services:
Individual substance abuse counseling, family/significant other counseling and support, psychoeducational groups, court/state/school ordered substance abuse assessments, and aftercare
Eligibility:
Adolescents and adults whose lives are impacted by substance abuse
Fee: Call for details, medical insurance may cover cost
Area served: Oahu
Phone Number: 254-6484
Fee: Call for details, medical insurance may cover cost
Area served: Oahu
Phone Number: 254-6484
Website: www.hcechawaii.com
Hawai'i Tobacco Quitline
Services:
Telephone service based in Hawaii for people who want to quit smoking. It's a confidential, free service that gives callers advice and help that is personalized for their particular needs.
Eligibility:
Anyone who wants to quit smoking or wants to help support a friend or family member become tobacco
free
Referred by: self (For foster child, inform child's social worker)
Fee: Free
Area served: Statewide
Phone Number: 1-800-QUIT NOW (1-800-784-8669)
Website: www.clearthesmoke.org
Hina Mauka
Family Program
45-845 Po'okela St., Kaneohe, HI 96744
(Other addresses available on Oahu and Kauai)
Services:
Classes are provided to help family members and friends of people addicted to alcohol and other drugs to learn about addiction and the effects of addiction on family and other relationships. Weekly meeting day/times are listed on website.
Eligibility:
Family members and friends of persons addicted to alcohol and other drugs.
Fee: Free. $10 suggested donation, but not mandatory
Area served: Oahu, Kauai
Phone Number:
236-2600(Kaneohe); 671-6900 (Waipahu); 245- 8883 (Kauai)
Website: www.hinamauka.org
Substance Use Services
Hina Mauka
Teen C.A.R.E. Program
45-845 Po'okela St., Kaneohe, HI 96744
(other address available on Kauai)
Services:
Provides substance abuse treatment programs for teenagers in many of Hawaii's middle and high schools. Services provided at school, during school hours through a 16-week program cycle, individual counseling, and group therapy.
Eligibility:
Youth enrolled at one of the schools that offers services, a history of alcohol or other drug abuse or dependency, a willingness to participate in the treatment process.
Referred by: self, family, friends, or school staff (Inform child's
social worker)
Fee: Free
Area served: Oahu, Kauai
Phone Number:
236-2600 ext. 259 (Oahu); 245-8883 (Kauai); See brochure for phone number for each school offering services.
Website: www.hinamauka.org
Narcotics Anonymous
Various locations
(Meeting on Oahu, Maui, Molokai, Lanai, Hawaii & Kauai)
Services:
Provides support groups for people with drug problems and their families or friends. Website provides lists of meeting times and places.
Eligibility:
Those with drug problems and their families and friends
Referred by: self (Resource families in crisis need to call child's
social worker)
Fee: Member contributions
Area served: Statewide
Phone Number:
734-4357 (Oahu); 214-1239 (Maui, Molokai & Lanai); 769-6016 (Hawaii); 828-1674 (Kauai)
Website: www.na-hawaii.org
Oahu Intergroup - Alcoholics Anonymous
P.O. Box 2384, Honolulu, HI 96804
(Meeting locations available throughout Oahu)
Services:
Helps people who have a desire to quit drinking by sharing experiences with alcoholism and recovery. Provides meetings each week all over Oahu. Website has link to meeting places on Neighbor Islands.
Eligibility:
People who have or think they may have problems with alcohol
Fee: Free
Area served: Oahu
Phone Number: 946-1438 (24-hour service)
Website: www.oahucentraloffice.com
Substance Use Services
The Salvation Army
Family Treatment Services
845 22nd Ave., Honolulu, HI 96816
Services:
Through a network of interrelated programs, Family Treatment Services provides substance abuse treatment specifically designed for women with children. It provides specialized mental health services for young children and their parents.
Eligibility: Eligibility varies depending on service
Referred by: self (Inform child's social worker)
Fee: Call for information
Area served: Oahu
Phone Number: 732-2802
Website: www.salvationarmyhawaii.org
Youth Services
Adult Friends for Youth
3375 Koapaka St., Suite B-290, Honolulu, HI 96819
Services:
Alternative school program, student transition convention and works with school groups and youth gangs
Eligibility:
Troubled youths ages 11-17 at specific schools Honolulu to Waianae
Referred by:
self or youth referred by school counselor or parent (Inform child's social worker)
Fee: Free for youth
Area served: Oahu (Downtown Honolulu to Waianae
Phone Number: 833-8775
Website: www.afyhawaii.com
Big Brothers Big Sisters of Honolulu
418 Kuwili St., Suite 106, Honolulu, HI 96817 (Other address available on Kauai and Hilo)
Services:
One-to-one mentoring program matching a Big Brother or Big Sister with a Little Brother or Little Sister to offer guidance, support and friendship
Eligibility:
Children ages 6-16 from a single parent home or where the other parent is deployed or incarcerated. Also eligible, children in foster care. Depends on the child's need for a mentor
Referred by: self (Child's social worker for children in CWS), teachers, social service providers
Fee: Free
Area served: Oahu, Kauai, Hilo
Phone Number:
521-3811 (Oahu); 855-2900 (Kauai); 375-1781 (Hilo)
Website: www.bigshonolulu.org
Youth Services
Boy Scouts of America, Aloha Council
42 Puiwa Rd., Honolulu, HI 96817
(Other addresses available on Hawaii, Kauai, and Oahu)
Services: Provides an educational program for boys and young
adults to build character, to train in the
responsibilities of participating citizenship, and to
develop personal fitness.
Eligibility: Boys who finished kindergarden to 18 yrs old
Referred by: self (Inform child's social worker)
Fee: $15 registration fee per year plus additional fees for
activities and uniform
Area served: Hawaii, Oahu, Kauai
Phone Number: 595-6366 (Oahu & Kauai); 959-0079 (Hawaii)
Website: www.alohacouncilbsa.org
Boys & Girls Club of Hawai'i
1523 Kalakaua Ave., Suite 202, Honolulu, HI 96826
(Other addresses available on Kauai and Oahu)
Services:
Provides a variety of activities for youth including arts crafts/fine arts, athletics, game room. Offers classes in dance, computers, photography and cooking; tutoring, Teen Leadership Program, & College Scholarship Program
Eligibility: Boys and girls aged 7-17
Referred by: self (Inform child's social worker)
Fee: $1/year for membership; various fees for certain services (cal for more info)
Area served: Oahu, Kauai
Phone Number:
OAHU: 949-4743 (Honolulu), 689-4182 (Ewa Beach), 668-9399 (NFL YET), 668-5868 (Nanakuli), 696-2754 (Waianae) 263-0555, (Windward); KAUAI: 338-1418 (Waimea), 8214406 (Kapaa)
Website: www.bgch.com
Captain's Club
P.O. Box 29571, Honolulu, HI 96820
Services:
Program for foster and at-risk youth to learn how to sail to enhance the child's self image by learning and experiencing life at sea. Sets sail once a month.
Eligibility:
Foster and at-risk youth 10-16 years old with a good attitude and desire to have fun
Fee: Free.
Area served: Oahu
Phone Number: 456-5103
Website: www.captainsclubhi.org
Youth Services
EPIC 'Ohana, Inc.
E Makua Ana Youth Circle
1130 N. Nimitz Hwy., Suite C210, Honolulu, HI 96817
(Other addresses available in Hilo and on Maui)
Services:
Provides a group process for teenagers to celebrate their emancipation from foster care and to assist them in planning for their independence. Ideally, a teenager will have 3 youth circles by the time they age out of foster care.
Eligibility: Youth aged 16 and older who are in foster care
Referred by: Child's social worker for children in CWS
Fee: Free
Area served: Statewide
Phone Number: 838-7752 (Oahu); 961-9880 (Hawaii); 1-866-636-
1644 (toll-free for neighbor island)
Website: www.epicohana.org
Family Programs Hawai'i
Mentoring Connection
250 Vineyard St., Honolulu, HI 96813
Services:
Seeks to make a positive impact on the lives of youth in foster care through one-to-one relationships with caring adult mentors
Eligibility:
High school seniors (or youth completing a GED or alternative diploma program) ages 17-21 who are residing in foster care on the island of O‘ahu
Referred by: Youth's social worker
Fee: Free
Area served: Oahu
Phone Number: 540-2565
Website:
http://familyprogramshawaii.org/programs/mentoring- connection/
Family Programs Hawai'i
Project Visitation
250 Vineyard St., Honolulu, HI 96813
Services:
Brings siblings, who are living in separate foster homes, together for monthly visits
Eligibility:
Foster children with sibling(s) in separate foster home(s)
Referred by: Child's social worker for children in CWS
Fee: Free
Area served: Oahu, West Hawaii, East Hawaii
Phone Number: 521-9531 ext. 242 (Oahu & West Hawaii) 935-
2876 ext. 237 (E. Hawaii)
Website: www.FamilyProgramsHawaii.org
Girl Scout Council of Hawai'i
410 Atkinson Dr., Suite 2E1, Honolulu, HI 96817
(Other addresses available on Hawaii, Maui, Kauai, and Oahu)
Services:
National organization for girls dedicated to inspire girls with the highest ideals of character, conduct, patriotism and service so that they may develop an awareness of their unique worth as individuals and establish life values
Eligibility: Girls ages 5-17 or grades K-12
Referred by: self (Inform child's social worker)
Fee: $12/year registration fee; Dues are set by the troop
Area served: Oahu, Maui, Kauai, Hawaii
Phone Number: 595-8400 (Oahu); 244-3744 (Maui); 245-4984
(Kauai); 966-9376 (Hawaii)
Website: www.girlscouts-hawaii.org
Youth Services
Hale Kipa
Independent Living Programs - Outreach Program
2146 Damon St., Honolulu, HI 96822
Services:
One-on-one sessions preparing foster youth for adulthood focusing on independent living skills, completion of high school, college/vocational school options, applications to college, financial aid/scholarship, housing, job
Eligibility: Youth in foster care, ages 16-18
Referred by: Child's social worker for children in CWS
Fee: Free
Area served: Oahu
Phone Number: 589-1829 ext. 202
Website: www.halekipa.org
Hale Kipa
Independent Living Programs - PREP Program
2146 Damon St., Honolulu, HI 96822
Services:
Individual & group sessions focusing on school success, making healthy choices, personal relationships, health, budgeting, nutrition & community resources
Eligibility: Youth in foster care, 12-15 years old
Fee: Free
Area served: Oahu
Phone Number: 589-1829 ext. 202
Website: www.halekipa.org
Hawai'i Nature Center
Sensational Nature Adventure Program (S.N.A.P.)
2131 Makiki Heights Dr, Honolulu, HI 96822
(another address available on Maui)
Services:
Day camps during school intersessions providing fun, outdoor, multi-disciplinary educational experience for children
Eligibility: Children 6-11 years old
Referred by: self (Inform child's social worker)
Fee:
See registration form for pricing, funding often available for children in foster care
Area served: Oahu, Maui
Phone Number: 955-0100 (Oahu); 244-6500 (Maui)
Website: www.hawaiinaturecenter.org
Hawai'i Youth Service Network
677 Ala Moana Blvd., Suite 702, Honolulu, HI 96813
Services:
A statewide coalition of youth-serving organizations promoting the well being of youth and strengthening of families and communities by providing leadership, encouraging collaboration, and creating partnerships statewide
Eligibility:
Anyone may call to find out more about HYSN programs and membership
Referred by: self
Fee: Free
Area served: Statewide
Phone Number: 531-2198
Website: www.hysn.org
Youth Services
Hawaii 4-H
3050 Maile Way, Honolulu, HI 96822
(Other addresses available on Maui, Hawaii, Oahu, and Kauai)
Services:
A non-formal youth development program offering opportunities for youth to develop project/subject matter related skills, and citizenship and leadership skills through 4-H clubs in the community and other delivery modes.
Eligibility: Boys and girls, aged 5-19 years old
Referred by: self (Inform child's social worker)
Fee: Free to join
Area served: Hawaii, Maui, Oahu, and Kauai
Phone Number: 622-4185 (Oahu), 244-3242 (Maui), 274-3471
(Kauai), 981-5199 (East Hawaii), 322-4892 (West
Hawaii)
Website: www.ctahr.hawaii.edu/4h/
Hawaii Foster Youth Coalition
245 N. Kukui St., Suite 203, Honolulu, HI 96817
Services:
A youth led group of current and former foster youths, ages 14-24, who provide education, advocacy, and support to help improve the foster care system so transitioning age youths have hope and can reach their goals
Eligibility: Current and former foster youths, ages 14-24
Fee: Free
Area served: Statewide
Phone Number: 545-5683
Website: www.kidshurttoo.org
Honolulu Community Action Program
Malama Pono Youth Mentoring Program
47-253 Waihee Rd., Kaneohe, HI 96744
Services:
Provides mentors who model positive behavior for the children, giving them someone to talk with, and a time and place of safety each week for the child
Eligibility: Children, ages 4-17, who have an incarcerated parent
Referred by: self (Inform child's social worker)
Fee: Free
Area served: Oahu
Phone Number: 239-2750
Website: www.hcapweb.org
Kamehameha Schools
Explorations Series
567 S. King St., Suite 320, Honolulu, HI 96813
Services:
One-week boarding programs with themes and activities such as Hawaiian values, mele, hula, Hawaiian crafts, and affirm their cultural identity through a connection with the aina.
Eligibility:
For youth completing grades 5-7 and not enrolled at Kamehameha Schools, age varies for each program; preference is given to applicants of Hawaiian ancestry
Fee: Varies depending on program; Fee waivers may be available
Area served: Oahu, Kauai, Hawaii, Molokai, Maui
Phone Number: 534-8272 (Oahu): 1-800-842-4682 ext.48272 (toll-
free for Neighbor Islands)
Website: http://extension.ksbe.edu
Youth Services
Kids hurt too
Mentoring Programs
245 North Kukui Street, Suite 203, Honolulu, HI 96828
Services:
Activities for youth including computer skills Special Agent Training, Poi for the Soul, Surf for the
training, college preparation assistance for transitioning foster youth, arts and crafts, Junior Soul, Seeds of Love, and after school activities
Eligibility:
Children 2-19 who have experienced loss of someone close to them
Referred by:
self (Resource families in crisis need to call child's social worker)
Fee: Free
Area served: Oahu
Phone Number: Lil Love (545-5683)
Website: www.kidshurttoo.org
Kids hurt too
Peer Support Program
245 North Kukui Street, Suite 203, Honolulu, HI 96828
Services:
Peer support groups for children 2-19 and their caregivers for those who have experienced loss of a loved one through divorce, incarceration, death, suicide, and groups for children & teens in foster care
Eligibility:
Children 2-19 who have experienced loss of someone close to them
Referred by: self (Resource families in crisis need to call child's
social worker)
Fee: Free
Area served: Oahu
Phone Number: Lil Love (545-5683)
Website: www.kidshurttoo.org
Sounding Joy Music Therapy, Inc.
Youth Empowerment Service/Positive Youth Development
1314 S. King St., Suite 711, Honolulu, HI 96814
Services:
Music therapy to facilitate positive social interactions and decision-making, self-empowerment, emotional wellness, coping skills, and abstinence of at-risk behaviors
Eligibility:
Youths (7-20) with at-risk behaviors and youths and young adults with disabilities and special needs, living on Oahu
Referred by:
self or by community agency (Inform child's social worker)
Fee: Scholarships available
Area served: Oahu, Maui
Phone Number: 593-2620
Website: www.soundingjoymt.org
Youth Services
The Children's Alliance of Hawai'i
H.E.A.R.T. (Healing Emotions with Art and Recreation Together)
200 N. Vineyard Blvd. #410, Honolulu, HI 96813
Services: An evidence based, gender specific six month program targeting elementary age children and adolescents with group sessions of art and expressive movement therapies, outdoor adventure, and therapeutic horseback riding. Available for girls
Eligibility: Sexually abused children, Ages 9-18
Referred by:
Child's social worker for children in CWS, resource family, or other service provider
Fee: Free
Area served: Oahu
Phone Number: 599-2955, ext. 212 or 210
Website: www.cahawaii.org
The Children's Alliance of Hawai'i
Ho`omaka Teen Mentoring
200 N. Vineyard Blvd. #410, Honolulu, HI 96813
Services:
An individualized teaming program with interaction providing experiences that instill self-worth, reinforce a sense of achievement, encourage healthy attachments, and offer a sense of belonging to counteract abuse symptoms of loneliness and depression
Eligibility: Sexually abused children, Ages 9-121
Referred by: Child's CWS social worker, resource family, other
service provider, self for 18-21 year olds
Fee: Free
Area served: Oahu
Phone Number: 599-2955, ext. 212
Website: www.cahawaii.org
The Maui Farm
P.O. Box 1776, Makawao, HI 96768
Services:
Provides residential services for troubled youth and families including life skills training in healthy 'ohana living. Group home and independent living program for youth, and a family strengthening program working with homeless families
Eligibility: Youth age 10-17 years old; For Independent Living
Program - 17-24 years old
Referred by:
Child's social worker, juvenile justice, or behavioral health systems
Fee: Arranged through referring agency
Area served: Statewide (Located on Maui)
Phone Number: 579-8271
Website: www.themauifarm.org
Youth Services
University of Hawai'i at Manoa
Lesbian, Gay, Bisexual, Transgendered, and Intersex (LGBTI) Student Services
2600 Campus Rd., QLCSS 211, Honolulu, HI 96822
Services: Campus and community resource on lesbian, gay, bisexual and transgender issues; helps facilitate student learning and development through a range of education, information, and advocacy services; provides lists of resources, activities, and support groups
Eligibility: Open to anyone seeking services, not just UH
Referred by: self (Inform child's social worker)
Fee: Free
Area served: Oahu
Phone Number: 956-9250
Website: http://manoa.hawaii.edu/lgbt/index.html
Winners' Camp
P.O. Box 241018, Honolulu, HI 96824
Services:
A one week retreat designed to enhance teenagers' academic performance and social proficiency, giving them tools to make positive choices. Provided periodically throughout the year on Oahu, Kamehame Ridge (between Hawaii Kai & Waimanalo)
Eligibility: Teens aged 13-16, drug-free and non-violent Referred by: self (For foster child, inform child's social worker) Fee: $980.00 for 7-day summer camp, $780 for 5-day spring break camp
Area served: Statewide (located on Oahu)
Phone Number: 306-8008 (Main); 357-4050 (Maui); 822-5216
(Kauai); 345-1778 (Hawaii)
Website: www.winnerscamp.com
YMCA
401 Atkinson Dr., Honolulu, HI 96814
(Other addresses available on Oahu, Maui, Kauai, and Hawaii)
Services:
Operates various athletic programs and youth programs, such as swim, dance, and martial arts classes. Programs available during school breaks.
Eligibility: Age for enrollment varies with programs
Referred by: self (Inform child's social worker)
Fee: Varies depending on services provided
Area served: Oahu, Maui, Kauai, Hawaii
Phone Number: 941-3344 (Oahu-Central); see www.ymca.net for
listing of closest YMCA
Website: www.ymcahonolulu.org or www.ymca.net
|
Volume 47 Issue 3
Mitchell Hamline Law Review
Article 1
2021
The Forensic Interviewer at Trial: Guidelines for the Admission and Scope of Expert Testimony Concerning a Forensic Interview in a Case of Child Abuse (Revised and Expanded)
Victor I. Vieth
Follow this and additional works at: https://open.mitchellhamline.edu/mhlr
Part of the Evidence Commons, and the Litigation Commons
Recommended Citation
Vieth, Victor I. (2021) "The Forensic Interviewer at Trial: Guidelines for the Admission and Scope of Expert Testimony Concerning a Forensic Interview in a Case of Child Abuse (Revised and Expanded)," Mitchell Hamline Law Review: Vol. 47 : Iss. 3 , Article 1.
Available at: https://open.mitchellhamline.edu/mhlr/vol47/iss3/1
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THE FORENSIC INTERVIEWER AT TRIAL: GUIDELINES FOR THE ADMISSION AND SCOPE OF EXPERT TESTIMONY CONCERNING A FORENSIC INTERVIEW IN A CASE OF CHILD ABUSE (REVISED AND EXPANDED)1
Victor I. Vieth†
1 This Article was originally published in 2009 in the Mitchell Hamline Law Review. The original article has been widely used in the field and cited by trial and appellate courts. See, e.g., State v. Maday, 892 N.W.2d 611, 624 (Wis. 2017). However, there has been additional case law, research, and significant developments in the field of forensic interviewing. Accordingly, this Article updates and modifies the original Article to reflect these developments.
† Director of Education & Research, Zero Abuse Project. The author thanks Steve Sedensky, Joe Del Russo, and Tom Leclair for their helpful comments and suggestions on the original draft. The author is also grateful to Caitlin Lindenhovius for her research assistance on updating this Article. The drafting of this Article was supported by Award #2019-CI-FXK006 awarded by the Office of Juvenile Justice and Delinquency Prevention, Office of Justice Programs, U.S. Department of Justice. The opinions, findings, and conclusions or recommendations expressed in this program are those of the author(s) and do not necessarily reflect those of the Department of Justice.
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"If we could first know where we are, and whither we are tending, we could then better judge what to do, and how to do it." --Abraham Lincoln 2
I. INTRODUCTION: THE DEVELOPMENT OF THE FORENSIC INTERVIEWER PROFESSION
The field of forensic interviewing is approaching five decades3 and is an integral part of a multidisciplinary response to a report of child maltreatment.4 The concept of a "forensic interview" was necessitated by high-profile child sexual abuse cases from the 1980s. In these cases, children were interviewed by professionals with little or no training in the art and science of eliciting information from children.5 In some cases, children were interviewed on multiple occasions by several persons.6 In an attempt to improve the response to these cases, Children's Advocacy Centers (CAC) began to emerge and spread across the country.7
Today, there are over 900 CACs accredited by the National Children's Alliance (NCA),8 which is funded by the United States Department of Justice pursuant to the Victims of Child Abuse Act.9 One of these NCA accreditation standards involves the forensic interviewing of
2 GENE GRIESSMAN, THE WORDS LINCOLN LIVED BY: 52 TIMELESS PRINCIPLES TO LIGHT YOUR PATH 34 (1997).
4 "Forensic interviews are the foundation for multiple CAC/MDT functions including child abuse investigation, prosecution, child protection, and implementation of appropriate services, and may also be the beginning of the road toward healing for many children and families. The manner in which a child is treated during the initial forensic interview may significantly impact the child's understanding of, and ability to respond to, the intervention process and/or criminal justice system." NAT'L CHILDS.' ALL., STANDARDS FOR ACCREDITED MEMBERS 2017 EDITION 20 (2017).
3 Kathleen Coulborn Faller, Forty Years of Forensic Interviewing of Children Suspected of Sexual Abuse, 1974–2014: Historical Benchmarks, 4 SOCIAL SCIENCES 34, 34–65 (2015) [hereinafter Faller, Forty Years].
5 See generally ROSS CHEIT, THE WITCH-HUNT NARRATIVE: POLITICS, PSYCHOLOGY, AND THE SEXUAL ABUSE OF CHILDREN 181 (2014); DAVID HECHLER, THE BATTLE AND THE BACKLASH: THE CHILD SEXUAL ABUSE WAR (1998) (reviewing a number of sexual abuse cases using an investigative reporting technique and style).
6 Nancy Chandler, Children's Advocacy Centers: Making a Difference One Child at a Time, 28 HAMLINE J. PUB. L. & POL'Y 315, 323–25 (2006).
7 Id. at 321–22.
9 Victims of Child Abuse Act, 34 U.S.C. §§ 20301–20304 (2018).
8 NAT'L CHILDS.' ALL., ONE VOICE, STRONGER ANNUAL REPORT 2 (2019), https://www.nationalchildrensalliance.org/wp-content/uploads/2020/04/AR2019-web.pdf [https://perma.cc/HG89-FUXS].
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children, including the requisite basic and advanced training for those conducting this work as well as ongoing peer review.10
A number of state and national forensic interview training programs have been approved by the NCA as meeting this educational requirement.11 In 2015, the United States Department of Justice, Office of Justice Programs, Office of Juvenile Justice and Delinquency Prevention (OJJDP) published a document written by representatives of many of the nation's leading forensic interview training programs12 that set forth agreed upon best practices in the field of forensic interviewing.13
The OJJDP publication noted that although "national training programs are generally based on the same body of research, some differences exist."14 However, focusing on the variations among these forensic interview training programs "obscures consistencies within the various forensic interview models."15 Moreover, in some cases, "the veracity of the child's statement" or the work of the forensic interviewer "has been questioned solely on the basis of the model being used."16
The OJJDP best practices guide defined a child forensic interview this way:
A forensic interview of a child is a developmentally sensitive and legally sound method of gathering factual information regarding allegations of abuse or exposure to violence. This interview is conducted by a competently trained, neutral professional utilizing research and practiceinformed techniques as part of a larger investigative process.17
10 According to one national survey, ninety-four percent of forensic interviewers subject their work to ongoing peer review, averaging 5.12 hours per month in peer review. Melanie B. Fessinger & Bradley D. McAuliff, A National Survey of Child Forensic Interviewers: Implications for Research, Practice, and Law, 44 LAW AND HUM. BEHAV. 113, 123 (2020).
11 See infra notes 30–34 and accompanying text for additional information about these approved programs.
13 CHRIS NEWLIN, LINDA CORDISCO STEELE, ANDRA CHAMBERLIN, JENNIFER ANDERSON, JULIE KENNISTON, AMY RUSSELL, HEATHER STEWART & VIOLA VAUGHAN-EDEN, OJJDP, CHILD FORENSIC INTERVIEWING: BEST PRACTICES 5 (Sept. 2015), https://ojjdp.ojp.gov/sites/g/files/xyckuh176/files/pubs/248749.pdf [https://perma.cc/UD7PJU7Y].
12 Representatives of the following forensic interview training programs drafted the document: American Professional Society on the Abuse of Children (APSAC), CornerHouse Interagency Child Abuse Evaluation and Training Center, NCA, the National Institute of Child Health and Human Development (NICHD), and Gundersen National Child Protection Training Center. The latter organization has subsequently merged into the Zero Abuse Project and oversees the national and state ChildFirst training programs.
14 Id. at 2.
15 Id.
16 Id.
17 Id.
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The growth of the profession of forensic interviewing in the past fifty years, the development of standards governing this work, and the significant research influencing this work are all factors courts must consider when prosecutors seek to utilize a forensic interviewer as an expert witness or when defense attorneys call experts completely outside of this field to critique the work of an interviewer or the credibility of a child's statements.
This Article explores this issue and offers forensic interviewers— and the attorneys who call them to the witness stand—concrete suggestions for offering expert testimony and in otherwise defending these interviews in court.18 The Article also offers guidelines for challenging the testimony of those called as experts to critique a forensic interview.19
II. THE FORENSIC INTERVIEWER AS EXPERT WITNESS
A. Legal Standards for the Admissibility of Expert Testimony
The federal rules of evidence define an expert witness as follows: If scientific, technical or other specialized knowledge will assist the trier of fact to understand the evidence or to determine a fact in issue, a witness qualified as an expert by knowledge, skill, experience, training, or education may testify thereto in the form of an opinion or otherwise, if (1) the testimony is based upon sufficient facts or data, (2) the testimony is the product of reliable principles and methods, and (3) the witness has applied the principles and methods reliable to the facts of the case.20
With respect to the general acceptance standard, the United States Supreme Court noted that, although not required, "[w]idespread acceptance can be an important factor in ruling particular evidence and a 'known technique which has been able to attract minimal support within the
In applying this rule to both scientific and non-scientific evidence, the United States Supreme Court cited five factors that may be considered. These factors are (1) whether the "theory or technique can be (and has been) tested," (2) whether it "has been subjected to peer review and publication," (3) whether "there is a high 'known or potential rate of error,'" (4) "whether there are 'standards controlling the technique's operation,'" and (5) "whether the theory or technique enjoys 'general acceptance' within a 'relevant scientific community.'"21
18 See infra Part IV.
19 See infra Part V.
20 FED. R. EVID. 702.
21 Kumho Tire Co. v. Carmichael, 526 U.S. 137, 149–50 (1999) (quoting Daubert v. Merrell Dow Pharm., Inc., 509 U.S. 579, 592–94 (1993)).
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community' . . . may properly be viewed with skepticism."22 These factors are non-exclusive and non-exhaustive, and their applicability in a particular case "depend[s] on the nature of the issue, the expert's particular expertise, and the subject of his testimony."23
The rule is not as complicated as it may appear on the first reading. Essentially, an expert witness needs to have more knowledge than the judge24 or jury on relevant issues—enough knowledge to allow the witness to "educate" the court on a particular matter. A witness is qualified as an expert based not only on training received but also on the witness's experience. A witness with a bachelor's degree who has conducted 100 forensic interviews may be more credible than a witness with a Ph.D. who has merely read research on forensic interviewing and never actually conducted a forensic interview.25 Indeed, in cases of child abuse, the following professionals have been qualified as expert witnesses on one or more issues: police officers, psychologists/psychiatrists, rape crisis/sexual assault counselors, teachers, victim-witness coordinators, social workers, physicians/nurses, and probation officers.26
B. Applying FRE 702 and Daubert to the Field of Forensic Interviewing
In applying the Daubert/Kumho Tire factors to the field of forensic interviewing, it is understandable why most courts examining the issue have allowed expert testimony in this area. The factors pertaining to the admission of expert testimony and their applicability to the field of forensic interviewing are considered more fully below.
22 Daubert, 509 U.S. at 594 (quoting United States v. Downing, 753 F.2d 1224, 1238 (3d Cir. 1985)).
23 Kumho Tire, 526 U.S. at 150 (quoting language from a brief of amicus curiae).
24 A survey of 2,240 judges found that barely fifty percent of them had received any child welfare training before hearing child protection proceedings. View from the Bench: Obstacles to Safety & Permanency for Children in Foster Care, CHILD. & FAM. RSCH. CTR., SCH. OF SOC. WORK, UNIV. OF ILL., URBANA-CHAMPAIGN (July 2004).
26 See, e.g., State v. Boston, 545 N.E.2d 1220, 1231−32 (Ohio 1989) ("In an appropriate case, a bank president could be an expert witness—and in child abuse cases, experts, properly qualified, might include a priest, a social worker or teacher, any of whom might have specialized knowledge, experience and training in recognizing occurrences of child abuse.").
25 Forensic interviewers are taught and rely on "research-based and practice-informed techniques." Julie Kenniston, The Evolution of the Childhood Trust Child Forensic Interview Training, 32 APSAC ADVISOR 48 (2020). Those who do the work of interviewing children who may have been abused do not always have the luxury of waiting for the ideal laboratory study to determine the best means of interviewing a child in a particular context. Many practices that are today considered best practice, such as CACs, were developed in the field long before researchers were able to assess their efficacy.
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1. Forensic Interviewing Techniques Can Be, and Have Been, Tested
In the wake of the high-profile daycare cases of the 1980s, there was a demand to improve the training of those who conduct forensic interviews27 and, when possible, to interview children in "child-friendly" environments, including CACs.28 As a result, hundreds of CACs were developed,29 and several national and state forensic interview training programs were established.30
National and state organizations that offer quality forensic interview training include the American Professional Society on the Abuse of Children (APSAC);31 the National Children's Advocacy Center in Huntsville, Alabama;32 CornerHouse;33 the Childhood Trust forensic interview training program in Cincinnati, Ohio;34 NICHD;35 RADAR;36 and the ChildFirst (sometimes referred to as "Finding Words") forensic
27 See MINN. ATT'Y GEN.'S OFF., REPORT ON SCOTT COUNTY INVESTIGATIONS 21 (1985) (recommending "more extensive training" for law enforcement officers conducting sexual abuse investigations and stating that this "includes a need for training in child development and psychology and interviewing techniques.").
29 Id. at 322.
28 See Chandler, supra note 6, at 321−22.
30 In 2003–2004, the American Professional Society on the Abuse of Children (APSAC) published a series of articles detailing these various forensic interviewing training programs. In 2020, APSAC again published a series of articles detailing these programs. See supra note 29 and infra notes 30−35. The 2004 articles are as follows: Kathleen Coulborn Faller & Patricia Toth, APSAC Forensic Interview Clinics, APSAC ADVISOR, Spring 2004, at 2; Lori S. Holmes & Victor I. Vieth, Finding Words/Half a Nation: The Forensic Interview Training Program of CornerHouse and APRI's National Center for Prosecution of Child Abuse, APSAC ADVISOR, Winter 2003, at 4; Erna Olafson & Julie Kenniston, The Child Forensic Interview Training Institute of the Childhood Trust, Cincinnati Children's Hospital, APSAC ADVISOR, Winter 2004, at 11; Linda Cordisco Steele, Child Forensic Interview Structure, National Children's Advocacy Center, APSAC ADVISOR, Fall 2003, at 2 (all discussing national forensic interview training programs).
31 Patti Toth, APSAC's Approach to Child Forensic Interviews: Learning to Listen, 32(2) APSAC ADVISOR 9, 15 (2020).
32 This program offers basic and advanced forensic interview training. Forensic Interviewing of Children Training, NAT'L CHILDS.' ADVOC. CTR., https://www.nationalcac.org/forensicinterviewing-of-children-training/ [https://perma.cc/V33H-HFNJ].
33 Julie Stauffer, A Look Inside the CornerHouse Forensic Interview Protocol™, 32(2) APSAC ADVISOR 19, 25 (2020).
34 Kenniston, supra note 25, at 48.
35 Heather Steward & David La Rooy, NICHD: Where We've Been and Where We Are Now, 32(2) APSAC ADVISOR 30, 33 (2020).
36 Mark D. Everson, Scott Snider, Scott M. Rodriguez & Christopher T. Ragsdale, Why RADAR? Why Now? An Overview of RADAR Child Interview Models, 32(2) APSAC ADVISOR 36 (2020).
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interview training program offered at the national level by Zero Abuse Project and at the local level through twenty states.37
Each of these programs meets the NCA educational component to work as a forensic interviewer in an accredited CAC.38 This means they "adhere to research-based forensic interview guidelines that create an interview environment that enhances free recall, minimizes interviewer influence, and gathers information needed by all MDT members in order to avoid duplication of the interview process."39
Each of these courses teaches methods rooted in hundreds of peer-reviewed articles and dozens of books outlining acceptable methods for interviewing children who may have been abused.40 Perhaps most significant, National Institute of Child Health and Human Development (NICHD) researchers have been able to conduct field research, as opposed to analogue research, on forensic interview practices, which produced more than 100 peer-reviewed studies and five books.41 As a result of this large body of research, "many other protocols have relied on the NICHD research and incorporated components of the NICHD protocol into their interview structures."42
At its core, NICHD emphasizes narrative practice, utilizing techniques to elicit narrative accounts from a child that "are more accurate
37 ChildFirst is taught at the national level and at the state level in the following states: Arkansas, Connecticut, Delaware, Georgia, Illinois, Indiana, Kansas, Maryland, Minnesota, Mississippi, Missouri, New Jersey, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, Virginia, West Virginia. The course is also taught in the nations of Japan and Colombia. Rita Farrell & Victor Vieth, ChildFirst Forensic Interview Training Program, 32(2) APSAC ADVISOR 56, 57 (2020). The replication of the course at the state level made ChildFirst a "very influential" forensic interview training model that is "among the most widely trained interview structures in the United States." Faller, Forty Years, supra note 3, at 49.
38 See infra notes 65–74 and accompanying text.
39 NAT'L CHILDS.' ALL., STANDARDS FOR ACCREDITED MEMBERS 20 (2017), https://www.nationalchildrensalliance.org/wp-content/uploads/2015/06/NCA-Standards-forAccredited-Members-2017.pdf [https://perma.cc/643F-KDSN]. "MDT" stands for multidisciplinary team. When a case of child abuse is reported, law enforcement officers and child protection workers often coordinate their investigations and may also involve medical and mental health providers, prosecutors, and other experts as the case may need. Often these functions are coordinated through a CAC.
40 See, e.g., Kathleen Coulborn Faller, Interviewer Objectivity and Allegations of Sexual Abuse, in INTERVIEWING CHILDREN ABOUT SEXUAL ABUSE: CONTROVERSIES AND BEST PRACTICE 44 (Kathleen Coulborn Faller ed. 2007); Alison R. Perona, Bette L. Bottoms & Erin Sorenson, Research-Based Guidelines for Child Forensic Interviews, 12 J. AGGRESSION, MALTREATMENT & TRAUMA 81, 94 (2006); Tisha R. A. Wiley, Legal and Social Service Responses to Child Sexual Abuse: A Primer and Discussion of Relevant Research, 18 J. CHILD SEXUAL ABUSE 267, 275–78 (2009) (outlining generally accepted principles for conducting forensic interviews).
41 Faller, Forty Years, supra note 3, at 51–52.
42 Id. at 52
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than responses to more close-ended inquiry, for example yes/no questions."43 All of the major forensic interview training programs have incorporated narrative practice into their models.44 For instance, the OJJDP Best Practices guide, written by representatives of the nation's leading forensic interview training program, outlines evidence-based interview approaches for eliciting narratives during the forensic interview.45
2. Forensic Interviewing Practices Have Been Published and Subjected to Peer Review
As noted by one commentator, "there is a great deal of research to help understand the factors that influence children's disclosures of abuse, factors that affect accuracies and inaccuracies in their reports, and the best techniques for interviewing children."46 Not only have forensic interviewing practices been subjected to peer review, but there is a significant "consensus among researchers and practitioners on the underlying principles that should guide interviews with children who might have been a victim or a witness to a crime."47 This consensus in the field is reflected in OJJDP's Child Forensic Interviewing Best Practices publication—a document drafted by representatives of nearly all of the nation's major forensic interview training programs.48 Even interviewing programs that did not contribute to the drafting of the OJJDP publication have stated they agree and adhere to the best practices summarized in the article.49
Although best practices are not always adhered to,50 it is clear that a competently conducted forensic interview will assist maltreated children in disclosing their experiences. For example, a number of studies have found that "interviewer supportiveness has a positive effect on the amount of information provided by children."51 Even on issues that continue to be
43
Id.
44 See supra notes 30–34 and accompanying text.
45 NEWLIN ET AL., supra note 13.
46 Wiley, supra note 40, at 276; NEWLIN ET AL., supra note 13, at 5.
47 Perona et al., supra note 40, at 84; see also Kathleen Coulborn Faller, Forensic Interview Protocols: An Update on the Major Forensic Interview Structures, 32 APSAC ADVISOR 4, 5 (2020) [hereinafter Faller, Forensic Interview Protocols] (noting "significant cross-pollination has occurred among the developers of these interview structures.").
48 NEWLIN ET AL., supra note 13, at 5.
49 Everson et al., supra note 36 ("RADAR adheres to the best practice standards published by the Office of Juvenile Justice and Delinquency Prevention (OJJDP)").
50 See Irit Hershkowitz, Yael Orbach, Kathleen J. Sternberg, Margaret-Ellen Pipe, Michael E. Lamb & Dvora Horowitz, Suspected Victims of Abuse Who Do Not Make Allegations: An Analysis of Their Interactions with Forensic Interviewers, in CHILD SEXUAL ABUSE: DISCLOSURE, DELAY, AND DENIAL 97, 109–10 (Pipe et al. eds., 2007).
51 Id. at 109 (finding that interviewers trained in the NICHD protocol did not always adhere to the model and this failure impaired the ability of some maltreated children to disclose their abuse).
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debated, the evidence is heavily weighted on one side or the other. For example, although some experts continue to express concerns about videotaping forensic interviews,52 the available research supports this widespread practice.53 Similarly, although some experts continue to question the utility of anatomical dolls, the majority of studies support their use.54 The few studies that express concerns are best read as a caution against the inappropriate use of dolls and the need for interviewer training prior to using the dolls.55
With respect to the forensic interview as a whole, researchers have concluded that "child abuse investigators and evaluators should have confidence that they can assist most child victims to disclose sexual abuse under the right conditions."56 This comment, though, must be read with a great deal of caution. Irrespective of the technique or interviewing methods employed, many maltreated children will never disclose their abuse.57 In a
52 See, e.g., KENNETH V. LANNING, NAT'L CTR. FOR MISSING & EXPLOITED CHILD., CHILD MOLESTERS: A BEHAVIORAL ANALYSIS FOR LAW-ENFORCEMENT OFFICERS INVESTIGATING THE SEXUAL EXPLOITATION OF CHILDREN BY ACQUAINTANCE MOLESTERS 107 (4th ed. 2001) (stating "it is still my opinion that the disadvantages of taping generally outweigh the advantages.").
53 See generally Frank E. Vandervort, Videotaping Investigative Interviews of Children in Cases of Child Sexual Abuse: One Community's Approach, 96 J. CRIM. L. & CRIMINOLOGY 1353, 1415 (2006) (stating that "[videotaping] serves the interests of the community, as it achieves a fair and just result for victims, suspects, and defendants"); see also Amye R. Warren & Cara E. Woodall, The Reliability of Hearsay Testimony: How Well Do Interviewers Recall Their Interviews with Children?, 5 PSYCH. PUB. POL'Y & L. 355, 369 (1999) (finding that interviewers' memories degraded following interviews with children and they had difficulty recalling with specificity the questions asked of children and the responses children provided during interviews).
54 Kathleen Coulborn Faller, Anatomical Dolls: Their Use in Assessment of Children Who May Have Been Sexually Abused, 14 J. CHILD SEXUAL ABUSE 1, 8 (2005) [hereinafter Faller, Anatomical Dolls] (noting the "majority of studies indicate [anatomical dolls] can be a useful tool, but there are also a few studies which do not support their use."); see also Mark Everson & Barbara Boat, Putting the Anatomical Doll Controversy in Perspective: An Examination of the Major Uses and Criticisms of the Dolls in Child Sexual Abuse Evaluations, 18 CHILD ABUSE & NEGLECT 113, 114 (1994) (noting that "in the proper hands, anatomical dolls are a highly effective and efficient tool for helping young children disclose and describe their sexual experiences"); see also Victor I. Vieth, Anatomical Diagrams and Dolls: Guidelines for their Usage in Forensic Interviews and Courts of Law, MITCHELL HAMLINE L. REV. (forthcoming 2021).
56 Tonya Lippert, Theodore P. Cross, Lisa M. Jones & Wendy Walsh, Telling Interviewers About Sexual Abuse: Predictors of Child Disclosures at Forensic Interviews, 14 CHILD MALTREATMENT 100, 111 (2009) (emphasis added).
55 Faller, Anatomical Dolls, supra note 54, at 7 (noting that some of the research that criticizes the use of dolls "confound the study of doll efficacy with leading, presumptive, and speculative questions and with the distraction of doctor toys").
57 See Bette L. Bottoms, Jonathan M. Golding, Maggie C. Stevenson, Tisha R.A. Wiley & John A. Yozwiak, A Review of Factors Affecting Jurors' Decisions in Child Sexual Abuse Cases, in HANDBOOK OF EYEWITNESS PSYCH. 509 (M. Toglia et al. eds., 2006).
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review of sixteen studies in which children were diagnosed with sexually transmitted diseases, only 42% of these children disclosed sexual abuse in an initial forensic interview.58 In a review of cases for which there was substantial corroborating evidence of physical or sexual abuse, 49.7% of these children did not disclose abuse during an interview with the NICHD protocol, and 40.7% did not disclose abuse with the NICHD revised protocol.59
3. There Are Standards and Guidelines Governing Forensic Interviewing
In addition to the OJJDP Child Forensic Interviewing Best Practices guidelines,60 APSAC promulgated guidelines for forensic or investigative interviewing,61 as well as separate guidelines for the usage of anatomical dolls.62 In addition, APSAC has developed an ethical code, which also applies to members who are forensic interviewers.63 This code obligates forensic interviewers to interview children "in a manner consistent with the best interests of the child."64
The NCA, a federally funded organization that accredits CACs, published standards for the minimum training required of forensic interviewers as well as ongoing training and participation in peer review.65 These "essential components" include:
* Specialized Training. The NCA requires the individual conducting
58 Thomas D. Lyon, False Denials: Overcoming Methodological Biases in Abuse Disclosure Research, in DISCLOSING ABUSE: DELAYS, RETRACTIONS, AND INCOMPLETE ACCOUNTS 41–62 (Margaret-Ellen Pipe, Michael E. Lamb, Yael Orbach & Ann-Christin Cederborg eds., 2007).
59 Mark D. Everson & Scott M. Rodriguez, Why Forensic Balance Should be Recognized as a Foundational Best Practice Standard-A Commentary on the State of Child Forensic Interviewing, 32 APSAC ADVISOR 92, 95 (2020); see also Irit Hershkowitz, Michael E. Lamb & Carmit Katz, Allegation Rates in Forensic Child Abuse Investigations: Comparing the Revised and Standard NICHD Protocols, 2 PSYCH. PUB. POL'Y & L. 336 (2014). 60 NEWLIN ET AL., supra note 13, at 5.
61 APSAC, Practice Guidelines: Forensic Interviewing in Cases of Suspected Abuse (2012), https://2a566822-8004-431f-b136-
8b004d74bfc2.filesusr.com/ugd/4700a8_06b064b4cc304ccc97be55a945acd90d.pdf
[https://perma.cc/3NDA-G4ZF].
62 APSAC, Practice Guidelines: Use of Anatomical Dolls in Child Sexual Abuse Assessments (APSAC 1995), in John E.B. Myers, Karen J. Saywitz & Gail S. Goodman, Psychological Research on Children as Witnesses: Practical Implications for Forensic Interviews and Courtroom Testimony, 28 PAC. L.J. 3, 78–91 (1996) [hereinafter APSAC, Practice Guidelines: Anatomical Dolls].
63
http://www.ncdsv.org/images/APSAC_Code-of-Ethics_1997.pdf
Practice Guidelines:
Code of
Ethics,
APSAC (1997),
LCK9]; Toth, supra note 31, at 10.
64
Toth, supra note 31, at 10.
65
See generally N
AT'
L
C
HILDS
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.' A
[https://perma.cc/69ZT-
., supra note 4.
858
66 Id. at 21.
67 Id.
68 Id.
69 Id.
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the forensic interview to have received "specialized training in conducting forensic interviews."66 To this end, each CAC "must demonstrate that all forensic interviewer(s) have successfully completed training that includes the following elements:"67
2. "Evidence-supported interview protocol"
1. "Minimum of 32 hours of instruction and practice"
3. "Pre-and post-testing that reflects understanding of the principles of legally sound interviewing"
5. "Practice component with a standardized review process"
4. "Content that includes: child development, question design, implementation of protocol, dynamics of abuse, disclosure process, cultural competency, suggestibility"
6. "Required reading of current articles specific to the practice of forensic interviewing"68
* CAC/MDT protocol. The NCA requires the CAC/MDT protocol to "reflect the following items:"
* Ongoing education. The NCA requires "individuals with forensic interviewing responsibilities" to "demonstrate participation in ongoing education in the field of child maltreatment and/or forensic interviewing consisting of a minimum of 8 contact hours every 2 years."69
1. "Case acceptance criteria"
3. "Personnel expected to attend/observe the interview"
2. "Criteria for choosing an appropriately trained interviewer (for a specific case)"
4. "Preparation, information sharing and communication between the MDT and the forensic interviewer"
6. "Use of interpreters"
5. "Use of interviewer aids"
7. "Recording and/or documentation of the interview"
9. "Introduction of evidence in the forensic interviewing process"
8. "Interview methodology (i.e., state or nationally recognized forensic interview training model(s))"
10. "Sharing information among MDT members"
12. "Determining criteria and process by which a child has a
11. "A mechanism for collaborative case coordination"
multi-session or subsequent interview"70
* Presence of MDT members at the forensic interview. The NCA requires MDT team members with "investigative responsibilities on a case" to "observe the forensic interview(s) to ensure necessary preparation, information sharing, and MDT/interviewer coordination throughout the interview and post-interview process."71
* Interviews routinely conducted at the CAC. The NCA requires forensic interviews to be conducted at the CAC at least seventy-five percent of the time.72
1. "Ongoing opportunities to network with, and share learning and challenges with peers"
* Peer review. The NCA requires forensic interviewers to "participate in a structured peer review process for forensic interviewers a minimum of 2 times per year, as a matter of quality assurance."73 The NCA requires "structured peer review" to include:
2. "Review and performance feedback of actual interviews in a professional and confidential setting"
4. "Training opportunities specific to forensic interviewing of children and the CAC-specific methodologies."74
3. "Discussion of current relevant research articles and materials"
4. Forensic Interviewing is Widely Accepted in the Field of Child Protection
With numerous national and state forensic interviewing courses in place,75 and with national guidelines and actual accreditation standards applying to forensic interviews conducted within CACs, it is fair to say the concept of forensic interviewing is widely accepted in the child protection community in the United States. According to the NCA, forensic interviews "are the foundation for multiple CAC/MDT functions including child abuse investigation, prosecution, child protection, and implementation of
70 Id. at 21–22. For a discussion as to why some children may need a second or multi-session forensic interview process, see Everson & Rodriguez, supra note 59 (arguing the field has inadequately recognized some children's need to be interviewed more than once and arguing for greater balance between the "competing interests" of protecting children from abuse and adults from being falsely accused).
71 NAT'L CHILDS.' ALL., supra note 4, at 22.
72 Id.
73 Id.
74
75 See supra notes 31–37 and accompanying text.
Id. at 22–23.
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appropriate services, and may also be the beginning of the road toward healing for many children and families."76 Indeed, the "manner in which a child is treated during the initial forensic interview may significantly impact the child's understanding of, and ability to respond to, the intervention process and/or criminal justice system."77
Since the practice of forensic interviewing has gained "general acceptance" in the child protection field, courts can consider this fact in admitting these practitioners as expert witnesses.78 Although not required, the United States Supreme Court has noted that "widespread acceptance can be an important factor" in admitting expert testimony.79
5. The Known or Potential Error Rate
The concept of an "error rate" is difficult to apply to the field of forensic interviewing. For example, a poorly conducted forensic interview may nonetheless result in an accurate disclosure of abuse.80 It is equally true that an exceptional forensic interview may result in inaccurate information.81 Nonetheless, there is evidence that properly conducted forensic interviews lessen the possibility that a child's statement is contaminated by suggestive or otherwise improper practices.82
Some courts have held that a rigid application of "error rate" or other Daubert/Kumho Tire standards should not apply to all expert testimony but only to that testimony involving "innovative scientific techniques."83 The Mississippi Court of Appeals has noted the "accuracy of forensic interviewing is largely untestable"; researchers cannot have controlled studies in which children are sexually abused and then observe their responses to myriad questioning techniques.84 Accordingly, the question of an "error rate" should not be applied when considering the admissibility of a forensic interviewer as an expert witness.85
76 NAT'L CHILDS.' ALL., supra note 4, at 20.
77 Id.
78 Kumho Tire Co. v. Carmichael, 526 U.S. 137, 152–55 (1999); Daubert v. Merrell Dow Pharms., Inc., 509 U.S. 579, 592–94 (1993).
79 Daubert, 509 U.S. at 594 (citing United States v. Downing, 753 F.2d 1224, 1238 (3d Cir. 1985)).
80 See generally Amy Russell, Assessing Children's Statements for Investigative and Court Purposes, 1 CTR. PIECE 1, 1 (2009) (discussing various methods of determining abuse).
81
Id.
82 See generally Lippert et al., supra note 56 (examining characteristics that facilitate children's disclosure of sexual abuse during a forensic interview). Perhaps it is better not to address whether the process of forensic interviewing results in erroneous disclosures, but rather whether or not the interviewing model or course is designed to graduate interviewers who make a low, acceptable number of errors in terms of question types, etc.
83 State v. Griffin, 869 A.2d 640, 647 (Conn. 2005).
84 Carter v. State, 996 So. 2d 112, 117 (2008).
85 Id.
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In another Mississippi case, the court discussed the flexibility of the Kumho Tire standards for admitting expert testimony:
It might not be surprising that in a particular case, for example, that a claim made by a scientific witness has never been the subject of peer review, for the particular application at issue may not have ever interested any scientist. Nor, on the other hand, does the presence of Daubert's general acceptance factor help show that an expert's testimony is reliable where the discipline itself lacks reliability, as, for example, do theories grounded in any so-called generally accepted principles of astrology or necromancy. Kumho Tire Co. v. Carmichael, 526 U.S. 137, 151 (1999). Therefore, the Court determined that it could "neither rule out, nor rule in, for all cases and for all time the applicability of the factors mentioned in Daubert" because "[t]oo much depends upon the particular circumstances of the particular case at issue." Id. at 150. Thus, the trial court has "considerable leeway in deciding in a particular case how to go about determining whether particular expert testimony is reliable." Id. at 152. That is, the Daubert factors should be considered "where they are reasonable measures of the reliability of expert testimony." Id. 86
The Connecticut Supreme Court contends trial judges should be less rigid in admitting expert testimony in cases where:
[T]he jury is in a position to weigh the probative value of the testimony without abandoning common sense and sacrificing independent judgment to the expert's assertions based on his special skill or knowledge . . . . Furthermore, where understanding of the method is accessible to the jury, and not dependent on familiarity with highly technical or obscure scientific theories, the expert's qualifications, and the logical bases of his opinions and conclusions can be effectively challenged by cross-examination and rebuttal evidence.87
Applying this language to a forensic interview, the jury can likely understand expert testimony concerning what is or is not a suggestible question, or any number of other practices that take place in a forensic interview of a child, without resorting to highly technical scientific theories. Jurors will likely have had interactions with children in their role as parents
86
Mississippi Transp. Comm'n v. McLemore, 863 So. 2d 31, 37 (Miss. 2003).
87 State v. Borelli, 629 A.2d 1105, 1111 (Conn. 1993) (quoting State v. Hasan, 534 A.2d 877, 880 (Conn. 1987)).
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or in other contexts. For these reasons, courts may be less rigid in the analysis of "error rates" or other factors that may be critical when analyzing novel scientific theories.
6. The Commonality of Forensic Interviewing Protocols
There are a number of forensic interviewing protocols in place in the United States, with most of these protocols calling for a "phased interview" with the number of phases ranging from three to nine.88 The reason for the different phases is that "some protocols attend to issues not addressed in others" and "some writers combine several components into a single phase."89 "Although these structures vary, there is also uniformity in these structures."90 Specifically, advising a phased interview allows for consistency. It begins with orienting the child to the interview and allowing the interviewer to gather information about how the child functions. The next phase considers the abuse experienced by the child. The final phase allows the child closure.91
It is important to emphasize . . . that there is no single child forensic interview model or protocol that must be used in order to be forensically defensible. Structured interview protocols that guide interviewers to ask open questions in order to invite free recall narratives from children are solidly grounded in the research, but in the real world of child interviewing, flexible guidelines can also be necessary.93
In commenting on the various forensic interview training programs and protocols, Linda Cordisco Steele noted in 2003 that these "models possess many more similarities than differences."92 Writing in the same year, Dr. Erna Olafson concluded the variations within these protocols are forensically defensible:
The fact that the leading forensic interviewing courses and protocols have many more similarities than dissimilarities was underscored in 2015, when the nation's most widely used forensic interviewing training
88 Kathleen Coulborn Faller, Interview Structure, Protocol, and Guidelines, in INTERVIEWING CHILDREN ABOUT SEXUAL ABUSE, supra note 40, at 66–67 [hereinafter Faller, Interview Structure, Protocol, and Guidelines]. According to Faller, the "simplest structure" would have three phases—an initial phase for rapport building, an informationgathering phase, and a closure phase. Id. at 67.
89 Id. at 68.
90 Id. at 88.
91 Id. at 67.
92 Steele, supra note 30, at 2.
93 Olafson & Kenniston, supra note 30, at 2.
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programs drafted a best practices guide published by OJJDP.94 In addition to the OJJDP publication, the APSAC forensic interviewing guidelines have also been incorporated into many forensic interviewing training programs and protocols.95
In 2020, each of the nation's national forensic interview training courses published articles detailing their respective programs, and, again, it was clear that the programs bear many similarities. When there are programmatic differences, it is in areas where the research is not yet fully settled.96 In the introduction to this series of articles, Dr. Kathleen Coulborn Faller summarizes variations in these models, but she also notes "significant cross-pollination has occurred among the developers of these interview structures."97
Although the interviewing protocols in use in the United States are more similar than dissimilar, and all of the leading models are based in research, there has not been systematic research on course graduates of any of these courses. At least one scholar has suggested there is an "urgent need" for these courses to be evaluated in a manner similar to what was done by the National Institute of Child Health and Human Development (NICHD).98 The NICHD partnered with investigative programs in England, Israel, and Salt Lake City, Utah, in teaching and monitoring a scripted protocol. Not surprisingly, the researchers found that "intensive training in the use of a highly structured . . . protocol, followed by continuing supervision in the form of monthly[,] day-long seminars, supplemented in some cases by detailed individual feedback on recent interviews, yielded dramatic improvements on these measures of interview quality."99
Some commentators have noted the practical difficulties in implementing this recommendation. For example, Kathleen Colbourn Faller notes, "[m]ost high-volume interviewing programs will likely have
94 NEWLIN ET AL., supra note 13.
95 Toth, supra note 31, at 10 ("Numerous other child interview protocols recognize the value and validity of the APSAC Guidelines and point out that their approach is consistent with them.").
96 See the following list of APSAC Advisor articles: Toth, supra note 31, at 15; Stauffer, supra note 33, at 25; Kenniston, supra note 25, at 48; Farrell & Vieth, supra note 37, at 61; Everson et al., supra note 36.
97 Faller, Forensic Interview Protocols, supra note 47, at 5.
98 See generally Nancy E. Walker, Forensic Interviews of Children: The Components of Scientific Validity and Legal Admissibility, 65 LAW & CONTEMP. PROBS. 149 (2002) (discussing, among other things, the necessity of establishing and maintaining standards for quality control in conducting and evaluating forensic interviews of children).
99 Michael E. Lamb, Kathleen J. Sternberg, Yael Orbach, Irit Hershkowitz, Dvora Horowitz & Philip W. Esplin, The Effects of Intensive Training and Ongoing Supervision on the Quality of Investigative Interviews with Alleged Sex Abuse Victims, 6 APPLIED DEVELOPMENTAL SCI. 114, 114 (2000) [hereinafter Lamb et al., Effects of Intensive Training].
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difficulty finding resources for such procedures for supervision."100 Michael Lamb and his colleagues from the NICHD agree with Faller's assertion. However, they conclude that, although it is "costly to continue providing intensive support and training to interviewers . . . researchers have yet to identify any less costly techniques that are equivalently effective and we have shown that the termination of continuing supervision is associated with rapid declines in the quality of forensic interviewing."101
structured protocol102—are not supported by research. All of the major forensic interview training programs utilize the extensive body of research in this field in providing instruction with some courses and, pursuant to the NCA accreditation standards, these courses often require students to read much of the pertinent research.103 Indeed, most, if not all, of the major national and state forensic interview training programs rely on NICHD research in developing their protocols and in teaching these skills to practitioners.104
In considering the NICHD recommendations, there are several points that need to be emphasized. First, it is erroneous to suggest that graduates of the nation's leading forensic interviewing training programs— few of which specifically teach the NICHD
Second, the essential point Lamb and his colleagues make is not that the major courses are failing to teach interviewing practices rooted in research but that without ongoing training and supervision, these courses are inadequate by themselves.105 This is a legitimate concern, and as noted earlier, accredited CACs are required to have their forensic interviewers
100 Faller, Interview Structure, Protocol, and Guidelines, supra note 88, at 88.
101 Lamb et al., Effects of Intensive Training, supra note 99, at 124.
102 See supra notes 31–37 and accompanying text.
104 See Olafson & Kenniston, supra note 30, at 11 (noting the course provides instruction in the "Childhood Trust Flexible Guidelines" and Thomas Lyon's "adaptation" of the NICHD protocol); Steele, supra note 30, at 2 (noting the NCAC forensic interviewing course exposes students to a formal interview that "follows the work and directive of Michael Lamb and colleagues . . ."). As noted by Dr. Faller, findings on the NICHD protocol "have greatly enhanced professional knowledge about how to elicit accurate and detailed information from children who may have been maltreated and have informed most of the interview structures employed in forensic interviews of children." Faller, Interview Structure, Protocol, and Guidelines, supra note 88, at 89.
103 The NCA specifies the forensic interview training programs it approves must include "[r]equired reading of current articles specific to the practice of forensic interviewing." NAT'L CHILDS.' ALL., supra note 4, at 21.
105 Michael E. Lamb, Kathleen K. Sternberg, Yael Orbach, Phillip W. Esplin & Susanne Mitchell, Is Ongoing Feedback Necessary to Maintain the Quality of Investigative Interviews with Allegedly Abused Children?, 6 APPLIED DEVELOPMENTAL SCI. 35, 40 (2002) ("[M]any workshops and training programs have been designed to improve adherence to professionally endorsed practices. Unfortunately, training programs of this sort typically have little impact on the investigative techniques employed by forensic investigators.").
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participate in peer review.106 A national survey published in 2020 found that ninety-four percent of frontline forensic interviewers were subjecting their work to ongoing peer review, averaging 5.12 hours per month of peer review.107
Third, and most importantly, regardless of supervision and ongoing training, there is no guarantee that a forensic interviewer will perform at a high level in a particular case. The only way to evaluate the quality of a particular interviewer in a particular case is to assess the actual interview. This is precisely what happens when a sexual abuse case comes to trial, and the forensic interviewer and an actual forensic interview are scrutinized by judges, juries, defense attorneys, and defense experts. Because a forensic interview is designed to be a "legally sound" method for generating evidence,108 the ultimate test of any interviewer, and the particular interviews, is being accepted in court.
III. CASE LAW ON FORENSIC INTERVIEWERS AS EXPERT WITNESSES
As the Wisconsin Supreme Court noted, the "forensic interview techniques used today are accepted among experts and courts as effective tools for investigating child sexual assault allegations because these methods minimize the risk of false allegations of abuse that result from a child's vulnerability."109 This acceptance is because "forensic interview techniques are marked by some common characteristics," including the use of "open ended questions."110
Although a growing body of case law confirms the Wisconsin Supreme Court's view that forensic interviewers are recognized as experts, courts vary as to what is permissible testimony in educating a jury or judge.111
106 NAT'L CHILDS.' ALL., supra note 4, at 22–23.
107 Melanie B. Fessinger & Bradley D. McAuliff, A National Survey of Child Forensic Interviewers: Implications for Research, Practice, and Law, 44 LAW & HUM. BEHAV. 113, 123 (2020).
108 NAT'L CHILDS.' ALL., supra note 4, at 20.
109 State v. Maday, 892 N.W.2d 611, 618 (2017). Although it is true that, historically, forensic interviews were focused on child sexual abuse, we now know that approximately two-thirds of maltreated children are violated in at least two ways and approximately one-third of abused children are violated in five or more ways. Heather A. Turner, David Finkelhor & Richard Omrod, Poly-Victimization in a National Sample of Children and Youth, 38(3) AM. J. PREVENTIVE MED. 323 (2010); David Finkelhor, Richard K. Omrod & Heather A. Turner, Poly-Victimization: A Neglected Component in Child Victimization, 31 J. CHILD ABUSE & NEGLECT 7 (2007). As a result of this research, forensic interviewers such as those trained through ChildFirst are instructed to screen for multiple forms of abuse irrespective of the initial report. Farrell & Vieth, supra note 37, at 59–60.
110 Maday, 892 N.W.2d at 619.
111 Even in a trial to a judge, many judges need expertise—most know little about child abuse.
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The qualifications that make a forensic interviewer an expert witness and the scope of potential expert testimony are considered below.
A. Qualifications as an Expert Witness in Forensic Interviewing
There are two types of expert witnesses that may testify about a forensic interview. First, the prosecutor may have the forensic interviewer who conducted the interview offer expert testimony to assist the jury in understanding the procedures utilized when speaking with a child. A prosecutor might also call a separate forensic interviewer or another expert to offer testimony that may assist the jury in understanding how the interview was conducted or the information collected in the interview.
Second, a defense attorney may also call an expert to testify about the forensic interview. In most cases, the defense attorney calls a professional from outside of the field of forensic interviewing, typically a psychologist, who critiques the manner in which the interview was conducted as well as the information received from a child. A summary of case law on prosecution and defense experts on forensic interviewing is provided below.
1. Prosecution Expert
In Mooneyham v. State, a forensic interviewer was qualified as an expert witness based on the completion of a forty-hour forensic interview training course that was "nationally recognized and accepted in the field," as well as an additional 126 hours of additional forensic interview training and 215 hours of training on child abuse.112 The court also noted the witness' experience in conducting 134 forensic interviews.113
In Lattimer v. State, the Mississippi Court of Appeals concluded that a forensic interviewer employed at a local children's advocacy center was an expert on the subject of forensic interviewing.114 The forensic interviewer received a bachelor's degree from William Carey University and a master's degree from the University of Southern Mississippi.115
In terms of his forensic interview training, the expert in Lattimer completed forensic interview training at CornerHouse. The course content included "child development, child psychology, linguistics, how kids view life, how they experience reality, how they experience abuse, [and] how they go about telling about abuse."116 The expert testified:
112 Mooneyham v. State, 915 So. 2d 1102, 1104 (Miss. Ct. App. 2005).
113 Id.
114 Lattimer v. State, 952 So. 2d 206, 216–22 (2006).
115 Id. at 216.
116 Id. at 217.
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[T]he central issue at CornerHouse is interviewing kids. And so we interview adults who are acting as children who have been abused, trained actors, professional actors. And we are critiqued by the class. The class is watching via closed circuit television. And also we are critiqued by the instructor. So it's an intensive forty-hour course.117
The witness also testified that the utilized forensic interviewing techniques "have been researched thoroughly and are continuously researched."118 The expert also said he utilized forensic interviewing techniques consistent with recommendations from APSAC.119
At the time of his testimony, the forensic interviewer in Lattimer had been employed at the CAC for two years working as both a therapist and a forensic interviewer.120 From these facts, the Mississippi Court of Appeals concluded that the witness was an expert because he "had specialized knowledge through his education, training, and his professional experience in the field of forensic interviewing."121
In a more recent Mississippi case, the court of appeals found a forensic interviewer was qualified to testify as an expert about the importance of sensory details and the characteristics the child displayed, which were consistent with having been abused.122 The forensic interviewer's credentials included obtaining a master's degree in social work, serving as an instructor in the ChildFirst forensic interview training program, and having conducted over 900 forensic interviews.123
In State v. Douglas, a South Carolina trial judge concluded that a forensic interviewer without a college degree was an expert witness because she had completed a five-day forensic interview training course, completed two weeks of additional training, and interviewed hundreds of children.124 However, the appellate court noted that the forensic interviewer's only testimony was that, based on the child's statements during the forensic interview, the child needed a medical examination.125 Since the court did not consider this to be expert testimony, there was no need to qualify the witness as an expert.126
Although it did not appear the forensic interviewer was utilized as an expert witness in Douglas, a Georgia appellate court rejected a defense
```
117 Id. 118 Id. 119 Id. at 219. 120 Id. at 216. 121 Id. at 221. 122 Daniels v. State, 242 So. 3d 878, 882 (Miss. Ct. App. 2017). 123 Id. at 882–83. 124 State v. Douglas, 671 S.E.2d 606, 608 (S.C. 2009). 125 Id. 126 Id.
```
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claim that a deputy sheriff trained through Finding Words127 was insufficiently trained to conduct a forensic interview.128 The court found that the investigator had "taken specialized training courses in interviewing children in sex abuse cases," "conducted the interview in a specialized, 'child-friendly' environment," and "employed a known method for interviewing child victims" taught by the CornerHouse forensic interview training program.129
In Louisiana, an appellate court allowed a forensic interviewer employed at a CAC to testify as an expert witness.132 With respect to the witness's credentials, the court said:
In another Georgia case, a CAC forensic interviewer and therapist was deemed to be an expert.130 Her credentials included a master's degree in child and family studies, a master's degree in social work with "16 months of specialized training on child maltreatment with an emphasis on child sexual abuse," training on interviewing children, and experience in interviewing over 300 children.131
Cheri Staten, the director of the Jefferson Parish Children's Advocacy Center, was qualified as an expert in forensic interviewing in the area of child sexual abuse. She testified that she does forensic interviews for Washington Parish and explained that a forensic interview is an interview with children used to gather information, not to conduct therapy. The children are given an opportunity to talk and are asked general questions, without discussing the allegations of the abuse. She also indicated that she wears an earpiece so that law enforcement officers can speak to her while they monitor the interview.133
In another Louisiana case, the court held that although the forensic interviewer lacked any formal "college coursework" pertaining to
127 "Finding Words" is the original name for a national and state forensic interview training program that is now called "ChildFirst," though some of the state programs retain the original name. At the outset, these programs used the CornerHouse forensic interview training program but now have a protocol developed by these various state and national programs. See Farrell & Vieth, supra note 37, at 56, 61.
128 In re A.H., 578 S.E.2d 247, 250 (Ga. Ct. App. 2003).
129 Id.; see also Baker v. State, 555 S.E.2d 899, 902 (Ga. Ct. App. 2001) (finding that a videotaped forensic interview, conducted using the CornerHouse protocol, had the "'requisite degree of trustworthiness' to be admitted at trial."). It should be noted that the CornerHouse protocol used in these cases has since undergone some modifications. See Julie Stauffer, A Look Inside the CornerHouse Forensic Interview Protocol™, 32(2) APSAC ADVISOR 19 (2020).
130 Siharath v. State, 541 S.E.2d 71, 74 (2000).
131 Id.
132 State v. Hilton, 764 So. 2d 1027, 1033 (La. Ct. App. 2000).
133 Id.
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child abuse, she was nonetheless qualified as an expert witness based on her "extensive formal training in forensic interview and sex-crime investigation and her years of experience."134
2. Defense Expert
In cases in which a defense expert is permitted to critique a forensic interview, courts do not always list what, if any, credentials the expert has to render this testimony.135 It is rare, though, for the defense expert to have worked as a forensic interviewer in an accredited CAC. Typically, the defense expert is a psychologist or a researcher.136
B. Scope of Expert Testimony
If a court concludes that a witness is qualified as an expert in forensic interviewing, the remaining issue is the scope of the testimony from the expert. As discussed below, some courts allow great latitude in aiding the jury in understanding the forensic interview process, while other courts are extremely restrictive. These variations in court rulings, and the reasons for the variations, are considered below.
1. A Forensic Interviewer May Be Able to Testify on the Issue of Coaching
In State v. Krueger, the Wisconsin Supreme Court said that a forensic interviewer could testify about the "typical signs of whether a child has been coached or evidences suggestibility" and whether the "child exhibits such signs."137 However, the court concluded the forensic
134 State v. Lofton, No. 2008 KA 0747, 2008 WL 4190572, at *3 (La. Ct. App. Sept. 12, 2008).
135 See State v. Speers, 98 P.3d 560, 564–65 (Az. Ct. App. 2004). The court simply noted "the material provided to the trial court in support of the expert testimony . . . reflects that [the defense expert] possesses the necessary qualifications to testify as an expert on interview techniques and their impact on children." Id. at 565. There was also a comment in the opinion in which the defendant's counsel stated the expert, Dr. Ralph Underwager, "came with some baggage." Id. at 564. The opinion does not state what this baggage may have been. However, in 1993, Underwager gave an interview to the Journal of Paedophilia in which he stated, "Paedophiles can boldly and courageously affirm what they choose. They can say that what they want is to find the best way to love. I am also a theologian and as a theologian, I believe it is God's will that there be closeness and intimacy, unity of the flesh, between people. A paedophile can say: 'This closeness is possible for me within the choices that I've made.'" Interview: Hollida Wakefield and Ralph Underwager, 3 PAIDIKA: J. PAEDOPHILIA 2, 4 (1993). Underwager received his Ph.D from the University of Minnesota and his Master of Divinity degree from Concordia Seminary in St. Louis, Missouri. Id. at 2.
136 This conclusion is based on the author's consulting on numerous cases across the country during the past twenty-three years.
137 State v. Krueger, 762 N.W.2d 114, 120 (Wis. 2008).
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interviewer went too far in contending the child was not sophisticated enough to maintain a fabricated story, and therefore, it must have been "something that she had experienced."138 This had the effect of offering an opinion on the truthfulness of the child's allegation of abuse.139
In State v. Maday, the Wisconsin Supreme Court found it permissible for a forensic interviewer to testify about the issue of potential coaching because the interviewer "provided testimony grounded in her training as a forensic interviewer."140 Also, because she limited "her testimony to the indications she is trained to look for and, by testifying to a lack of any indications of coaching or dishonesty," the interviewer "avoided giving an opinion as to whether [the child's] allegations were, in fact, true."141
In South Carolina, the supreme court stated that "[u]nder certain circumstances, it may be proper for the State to ask an expert" such as a forensic interviewer "about coaching."143 Such expert testimony would be appropriate "if defense counsel accused the child's mother or father in opening statement or on cross-examination of coaching the child to make an accusation they knew to be untrue," or when "coaching is implied, or otherwise becomes an issue without such a direct accusation."144
In Lattimer v. State, the forensic interviewer was qualified as an expert witness to discuss the details provided in the forensic interview and the challenges a young child would have in fabricating credible details of sexual activity, even if someone told them to, because "children don't know about our interview process and they don't know what questions are going to be asked."142
2. A Forensic Interviewer May Not Bolster the Victim's Testimony, but Some Courts Allow Testimony on Characteristics Consistent with Abuse
In Lattimer, the Mississippi Court of Appeals concluded it was impermissible to offer an opinion that a witness is telling the truth but that the forensic interviewer in that case "was suitably positioned to opine that characteristics" of the child during the interview "are consistent with [that of] sexually abused children."145
In Golden v. State, the court held the prosecutor "permissibly offered the following testimony that she found [the child victim's] rendition of events consistent with a child who has been sexually abused:
138 Id. at 120–21. 139 Id. 140 State v. Maday, 892 N.W.2d 611, 621 (Wis. 2017). 141 Id. 142 Lattimer v. State, 952 So. 2d 206, 220–21 (Miss. Ct. App. 2006). 143 Briggs v. State, 806 S.E.2d 713, 718 (S.C. 2017). 144 Id. 145 Lattimer, 952 So. 2d at 221.
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Q. Ms. Sample, after interviewing [the child victim], have you formed an expert opinion as to whether or not she was sexually abused?
A. Yes.
Q And what is that opinion?
Q. What are you basing your decision—basing your opinion on?
A. The details are consistent with a child that has been sexually abused.
A. The consistency of her report. I asked her the same question several times in a lot of different ways, and she kept saying the same thing over and over, and she [was] able to give details. . . . And then her whole demeanor."146
* that the child was told to be truthful;
In State v. Kromah, a mother was convicted of child physical abuse for lacerating her three-year-old son's scrotum with the right testicle "hanging outside of the scrotum," necessitating emergency surgery.147 The child did not testify at trial, and his forensic interview was not admitted into evidence, nor was the interviewer allowed to speak about the contents of the child's statements.148 However, the interviewer was allowed to inform the jury she made a finding that was "compelling" for "child physical abuse."149 The South Carolina Supreme Court concluded this was an error because the court believed it is tantamount to the interviewer testifying the child "was telling the truth."150 The court went on to give a list of statements "a forensic interviewer should avoid at trial:
* a direct opinion as to a child's veracity or tendency to tell the truth;
* any statement that indirectly vouches for the child's believability, such as stating the interviewer has made a 'compelling finding' of abuse;
* any statement to indicate to a jury that the interviewer believes the child's allegations in the current matter; or
* an opinion that the child's behavior indicated the child was telling the truth."151
However, the court in Kromah stated a forensic interviewer "may properly" testify about the following:
* "the time, date, and circumstances of the interview;
146 Golden v. State, 984 So. 2d 1026, 1033 (Miss. Ct. App. 2008).
147 State v. Kromah, 737 S.E.2d 490, 492 (S.C. 2013).
148 Id. at 495–96.
149 Id.
150 Id. at 500.
151 Id.
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* any personal observations regarding the child's behavior or demeanor; or
* a statement as to events that occurred within the personal knowledge of the interviewer."152
Kromah stated these lists are "not exclusive," and the "testimony will of necessity vary in each trial."153 Other South Carolina decisions have similarly limited the words or phrases used by forensic interviewers in an attempt to prevent bolstering a child's statements about being sexually assaulted or otherwise abused.154
The Colorado Supreme Court has held that a forensic interviewer's analysis of a child reproducing the abuse on her own body or the interviewer informing the jury that sexual assault victims often give "conflicting details" had "no proper purpose" other than to show the children "were telling the truth."155 When carried to its logical end, this would mean a defense attorney could cite a victim's inconsistent or conflicting statements, and the prosecutor may have little recourse to counter this contention.156
152 Id. In a footnote, the court in Kromah referenced the CornerHouse protocol "RATAC" and stated, "Somehow RATAC is supposed to convert the interviewer into a human truthdetector whose opinions of the truth are valuable and suitable for the jury's consumption." Id. at 498 n.4. The court did not cite any trial testimony or any peer-reviewed literature to support this harsh rhetoric. Indeed, the scholarly literature in print at the time would refute the claim. In 2010, three years before Kromah, forensic interviewers from CornerHouse detailed the RATAC protocol and cited the peer-reviewed research utilized in the protocol. At no point was there a suggestion that simply using the protocol will enable anyone to determine if a child is telling the truth. Instead, the focus was to gather information that takes into account the child's developmental level and reduces suggestive practices. See Jennifer Anderson, Julie Ellefson, Jodi Lashley, Anne Lukas Miller, Sara Olinger, Amy Russell, Julie Stauffer & Judy Weigman, The CornerHouse Forensic Interview Protocol: RATAC, 12 THOMAS M. COOLEY J. PRAC. & CLINICAL L. 193 (2010). The court in Kromah also failed to note that in 2012 CornerHouse made modifications to its protocol and no longer used the acronym RATAC. Julie Stauffer, A Look Inside the CornerHouse Forensic Interview Protocol, 32 APSAC ADVISOR 19 (2020). It is also noteworthy that four years prior to Kromah, the South Carolina Court of Appeals described RATAC in a more neutral manner, noting it "was developed in response to concerns about child victims' testimony being tainted by police suggestiveness." State v. Douglas, 626 S.E.2d 59, 72 (S.C. Ct. App. 2009), aff'd in part, rev'd in part, 671 S.E.2d 606 (2009).
153 Kromah, 737 S.E.2d at 501.
155 Venalonzo v. People, 388 P.3d 868, 878 (Colo. 2017).
154 See State v. Anderson, 776 S.E.2d 76, 80 (S.C. 2015); State v. Chavis, 771 S.E.2d 336, 340 (S.C. 2015); State v. Whiter, 732 S.E.2d 861, 867 (S.C. 2012); State v. Jennings, 716 S.E.2d 91, 94–95 (S.C. 2011).
156 There may, though, be some options available to the prosecutor, such as having the victim explain any differences in seemingly inconsistent statements. What if, though, the victim does not know why she was unable to give details on one occasion and not another? What if the answer lies in research on trauma or the type of questions posed to him or her, or issues of fatigue or other factors she cannot adequately convey to a trier of fact?
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3. A Forensic Interviewer May Be Able to Testify About the Dynamics of Child Abuse
In Carter v. State, two experts in forensic interviewing (one of whom interviewed the child victim) testified as to various child abuse dynamics.157 These dynamics included how trauma may impair memory,158 the role of the child's developmental age in limiting how many details the victim may be able to provide,159 and why peripheral details, such as what a victim was wearing during an assault, may not be recalled.160 There was also a discussion of the process by which some children disclose abuse, including the difference between a tentative disclosure and an active disclosure.161
In Texas, forensic interviewers have been qualified as experts to explain why an "abused child may temporarily recant a claim of abuse."162 In Virginia, a graduate of four forensic interview training programs was also qualified to educate jurors on issues pertaining to recantation.163
In State v. Thompson, a man was convicted of luring a child into his basement where he licked the child's vagina, penetrated her with his fingers, and attempted to penetrate her with his penis.164 The victim was "fearful and started crying," but the perpetrator told her "everything was okay and normal."165 When the sexual assault was over, the offender "threatened that if anyone knew about it, they would think she was a whore and he would kill her."166 Under these circumstances, a Connecticut court upheld the decision of a trial judge to permit "an expert in the area of forensic interviews and child sexual abuse investigations" to testify about delayed disclosure.167 Specifically, the expert cited research on delayed reporting and said it is "atypical for children to report an assault immediately 'to somebody who [is] able to do something about it.'"168 The witness also
157 Carter v. State, 996 So. 2d 112, 115 (Miss. Ct. App. 2008).
158 Id. at 120.
159 Id. at 121, 124.
160 Id. at 124.
161 Id. at 120, 121.
162 Campos v. State, No. 02-19-00122-CR, 2020 Tex. App. LEXIS 4690, at *3 (Tex. App. June 25, 2020).
163 Kilby v. Commonwealth, 663 S.E.2d 540, 547–48 (Va. Ct. App. 2008). In Kilby, the court noted the credentials of the expert witness, including forensic interview training through two courses teaching the RATAC protocol: "First Witness Program in Duluth, Minnesota, Finding Words in Windona, Minnesota, and the American Professional Society of Abused Children." Id. at 544 n.3. The witness also received "advanced training" at the NAC in Huntsville, Alabama and attended many national symposiums on forensic interviewing. Id. 164 State v. Thompson, 799 A.2d 1126, 1129 (Conn. App. Ct. 2002).
165 Id.
166 Id.
167 Id. at 1134.
168 Id.
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testified that "there is nothing unusual or uncommon about a child's reporting an assault to a friend or peer promptly, but not to a parent or close relative for as long as two years."169
A weakness in the Ganoa court's analysis is that forensic interviewers are taught about delayed disclosure and other aspects of trauma that are relevant to the process of interviewing children who may have been abused.171 In contrast, licensed psychologists or other mental health professionals may know very little about these aspects, and what they do know may be wrong.172
In State v. Ganoa, the Supreme Court of Kansas did not allow a forensic interviewer and seasoned criminal justice professional to testify about delayed disclosure, piecemeal disclosure, or issues pertaining to coaching because the interviewer was "neither statutorily qualified nor licensed to diagnose any particular interview subject as a trauma victim suffering from any particular psychological or psychiatric malady."170 If a forensic interviewer also worked as a mental health provider, however, she or he would presumably be permitted to speak to these dynamics.
4. A Forensic Interviewer May Be Able to Testify About the Process of Forensic Interviewing and Respond to a Defense Expert's Critique of the Interview
In State v. Ganoa, the Kansas Supreme Court held a forensic interviewer could testify as an expert "on the procedures followed and the pitfalls to be avoided in [forensic] interviews" because "[j]urors do not possess this information," and such "testimony was helpful to their understanding of the case."173 This may be particularly true when, as in Ganoa, the defense attorney calls a defense expert to critique the forensic interview.174
In State v. Ballou, the government called a forensic interviewing expert to review the forensic interview and to respond to an extensive
169 Id.
170 State v. Ganoa, 270 P.3d 1165, 1177 (Kan. 2012).
171 NEWLIN ET AL., supra note 13, at 5.
172 See infra notes 232–35 and accompanying text. For an overview of research documenting the need to improve the undergraduate and graduate training of psychologists and other professionals who may intersect with cases of child abuse, as well as pioneering efforts to address these issues, see Victor I. Vieth, Betsy Goulet, Michele Knox, Jennifer Parker, Lisa B. Johnson, Karla Steckler Tye & Theodore P. Cross, Child Advocacy Studies (CAST): A National Movement to Improve the Undergraduate and Graduate Training of Child Protection Professionals, 45 M ITCHELL H AMLINE L. R EV . 1129 (2019).
173 Ganoa, 270 P.3d at 1177.
174 The defense expert was a psychologist who criticized the forensic interviews conducted in the case. Id.
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critique by a defense expert.175 Although the defense and prosecution expert testimony was discussed in the case, the opinion did not specifically address the scope of the testimony.176 However, in addressing the admission of the forensic interview itself, the court found that a forensic interviewer who testified as to her credentials, including her forensic interview training and experience in conducting forensic interviews, was not, on that basis alone, providing expert testimony.177
In Venalonzo v. People, the Colorado Supreme Court also found that a forensic interviewer is allowed to describe the protocol used, her training, her experience in conducting interviews, the number of times she has testified in court, and that testimony along these lines is "not expert testimony because any ordinary person is capable of describing her own credentials."178 Similarly, the forensic interviewer's testimony that children "are not very good at understanding physical measurements, that they often use generalities when speaking, and that they often reveal secrets to other children before they tell adults" was also not expert testimony because the "ordinary person has spent time with children and could reasonably be expected to know" these things.179
5. Admissibility and Scope of Defense Expert's Testimony
Although the scope of the State's expert witness on forensic interviewing is more clearly delineated in the case law, the scope of the defense expert's critique of the forensic interview has not been thoroughly discussed. This is likely because when the State obtains a conviction, it is not challenging the defense expert's testimony on appeal but is instead responding to the appeal of the defense attorney. When a case results in an acquittal, the State is likely unable to appeal a judge's ruling regarding the scope of a defense expert's testimony.
In State v. Speers, a second grade school teacher was charged with crimes related to the possession of sexually exploitive images on his computer.180 The prosecutor offered as propensity evidence the testimony of four girls who alleged Speers had sexually molested them.181 Although the Arizona Court of Appeals found it proper to admit the testimony of these children, they concluded it was an error to exclude the testimony of a
175 State v. Ballou, 448 P.3d 479, 491–92 (Kan. 2019).
176 Id.
177 Id. at 491.
178 Venalonzo v. People, 388 P.3d 868, 876 (Colo. 2017).
179 Id.; see also State v. Howling, 448 P.3d 409, 412, 414 (Kan. 2019) (finding that a forensic interviewer's description of her credentials and summary of the child's disclosure as foundation for admitting a recorded forensic interview did not constitute expert testimony). 180
181 Id. at 564.
State v. Speers, 98 P.3d 560, 563 (Ariz. Ct. App. 2004).
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defense expert who was called to critique the forensic interviews of the girls.182 According to the court, the "purpose of expert testimony concerning interview techniques is not to show that the child witness is not telling the truth, but to question whether the facts believed to be true by the witness are reliable."183
However, Speers "limited" the defense expert's testimony to [E]xplaining to the jury the dangers of . . . interviewing children and discussion of the particular practices employed in the instant case. It must be confined to providing the jury information 'which it may use in weighing the evidence to determine accuracy or credibility of a witness' and may not include any opinion regarding the accuracy, reliability or credibility of any particular witness.184
In a dissenting opinion in Speers, the court wrote,
[T]hough the proposed expert went on to claim that "[m]y testimony will not comment on the children's credibility," it is difficult to imagine how testimony that is intended to point out how a witness' testimony has "problems" and may be "contaminated" cannot be viewed by the trial judge as going to the credibility of that witness.185
In State v. Ballou, a defense expert critiqued the interview protocol even though "a lot" of the protocol used in the case was "entirely valid." However, the defense expert was concerned that many interviewers did not adhere to the protocol.186 The expert also opined that the interviewer approached the interview with the belief that the child was abused and thus failed to explore "alternative hypotheses."187 The defense expert also concluded some questions were "leading" and that one of the forensic interviews in the case was too long.188 Although these and other opinions are contained in the Ballou decision, the court did not consider whether any of these statements unfairly commented on the veracity of the victim.
In Darst v. State, a child abuse conviction was overturned on the basis of ineffective assistance of counsel for not consulting and offering defense expert testimony as to the problematic nature of interviews of the
182 Id. at 564, 567.
183 Id. at 566.
184
185 Id. at 571.
Id. at 567 n.3 (quoting State v. Lindsey, 720 P.2d 73, 75 (Ariz. 1986)).
186 State v. Ballou, 448 P.3d 479, 488 (Kan. 2019).
187 Id.
188 Id.
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alleged victims "instead of ensuring that forensic interviews of the children were conducted without unnecessary delay."189
In People v. Hooker, a defendant's claim of ineffective assistance of counsel for not calling an expert witness to critique a forensic interview was denied because the forensic interviewers were properly challenged on cross examination.190 Although the Michigan Supreme Court declined to review the decision, one justice dissented because of the departures in the interview from the State's forensic interviewing protocol.191
In State v. Colburn, the trial judge excluded a defense expert who intended to critique the forensic interview and comment on how the questions may have impacted the child's statements.192 On appeal, the decision was reversed because forensic interviewing technique is a proper subject for expert testimony that may assist the jury,193 and, given the importance of the videotaped forensic interview in this case, excluding the defense expert was a significant error.194
C. Commentary on the Permissible Scope of the Forensic Interviewer's Testimony
As can be seen from the overview of cases described in this Article, there is variation in the scope of expert testimony permitted by a forensic interviewer. Some courts, such as the Alabama Court of Appeals, have allowed a forensic interviewer to offer an opinion as to whether a child was sexually abused, provided there was no opinion as to the perpetrator.195
In Minnesota, an appellate court also allowed an expert to render an opinion that a child was sexually abused, but the court stated that the interviewer did not express an opinion as to the identity of the perpetrator.196 More recent Minnesota decisions, however, are more restrictive.197 As previously discussed, Mississippi courts have allowed forensic interviewers to testify that a child's statements are "consistent" with sexual abuse.198
189 Darst v. State, 746 S.E.2d 865, 875 (Ga. Ct. App. 2013).
190 People v. Hooker, No. 340271, 2019 Mich. App. LEXIS 3692, at *9 (Mich. Ct. App. July 9, 2019).
191 People v. Hooker, 950 N.W.2d 57, 58 (Mich. 2020).
192 State v. Colburn, 366 P.3d 258, 260–61 (Mont. 2016).
193 Id. at 261.
194 Id. at 262.
195 Sanders v. State, 986 So. 2d 1230, 1232–33 (Ala. Crim. App. 2007).
196 See State v. Hollander, 590 N.W.2d 341, 344–45 (Minn. Ct. App. 1999).
197 See, e.g., State v. Wembley, 712 N.W.2d 783, 792 (Minn. Ct. App. 2006) (allowing a forensic interviewer to testify as to criteria for evaluating a child's statement, provided the interviewer does not offer an opinion as to the child's actual credibility).
198 See, e.g., Golden v. State, 984 So. 2d 1026, 1033 (Miss. Ct. App. 2008) (stating that the forensic interviewing expert "permissibly offered" testimony that the details provided by a child in the interview are "consistent with a child that has been sexually abused" but could
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Law professor John Myers has criticized these decisions, calling them a "disturbing development."199 Although it may be problematic for any witness to bolster a child's credibility by rendering an opinion that the child was abused or shares characteristics of abuse, it is not always clear where the line is drawn. For example, Myers notes that:
A large number of decisions allow one form or another of psychological testimony as substantive evidence. Thus, some decisions permit an expert to describe symptoms and behaviors observed in sexually abused children. A number of decisions allow an expert to testify that the child in the case at hand demonstrated such symptoms and behaviors.200
Moreover, it is not simply doctors and psychologists who are qualified to testify as expert witnesses in child abuse cases. Commenting on evidentiary rules allowing expert testimony, the Ohio Supreme Court correctly notes that:
[I]t [is] obvious that expert testimony is not limited only to those who might be trained in the fields of medicine, law, real estate, engineering or other sciences. In an appropriate case, a bank president could be an expert witness—and in child abuse cases, experts, properly qualified, might include a priest, a social worker or a teacher, any of whom might have specialized knowledge, experience and training in recognizing occurrences of child abuse.201
Accordingly, a forensic interviewer with expertise based on training and/or experience may be able to educate the jury as to various subjects relevant in a case of child maltreatment. Expert testimony is permitted if "specialized knowledge will assist the trier of fact to understand the evidence or to determine a fact in issue . . . ."202 In order to properly evaluate a forensic interview admitted into evidence, the judge or juror will be aided in understanding what is or is not a developmentally appropriate
not give a "direct opinion" on the child's truthfulness); Williams v. State, 970 So. 2d 727,
735 (Miss. Ct. App. 2007) (holding that forensic interviewer's knowledge, in the form of her opinion, could have been helpful to the jury in deciding whether child was sexually abused); Mooneyham v. State, 915 So. 2d 1102, 1103–04 (Miss. Ct. App. 2005) (holding that the admission of the testimony from a forensic interviewer, classified as an expert, was within the sound discretion of the trial court). In Mooneyham, the forensic interviewer testified the information received from the child was "consistent with a child who had been sexually abused." Id. at 1106.
199 JOHN E.B. MYERS, MYERS ON EVIDENCE OF INTERPERSONAL VIOLENCE 524 (2011).
200 JOHN E.B. MYERS, MYERS ON EVIDENCE IN CHILD, DOMESTIC AND ELDER ABUSE CASES 393–94 (2009).
201 State v. Boston, 545 N.E.2d 1220, 1231–32 (Ohio 1989).
202 FED. R. EVID. 702.
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question, the various types of interviewing questions posed in a forensic interview, the reason for using interviewing tools, such as anatomical dolls, and any research supporting these tools.203 Without this knowledge, judges and jurors may unfairly denigrate answers a child provides in a forensic interview.
In another case, an eight-year-old boy told a forensic interviewer that he was lying naked on his bed with his belly flat against the mattress.205 The boy said the perpetrator, also naked, laid on top of him and "butt fucked" him from behind. The boy contended this went on until "sticky, white stuff" came out of the perpetrator's penis. The boy said the semen "ended up on my belly." Although the boy gave a detailed description of abuse, it is confusing how semen ended up on his belly, which was flat against the bed, if the perpetrator was, indeed, anally penetrating the child. Moreover, if there was anal penetration, the absence of medical evidence may be concerning. This is a perfect example of the value of anatomical dolls as a demonstration aid. When asked to demonstrate the abuse with the dolls, the child showed that the perpetrator's penis was not in the boy's anus but rather was being pushed in and out of the boy's legs from behind. If the interviewer had not employed the dolls, the child's statements might have been misinterpreted by the jurors and resulted in an acquittal. Moreover, if the dolls had not been used, the government might have overcharged the case, concluding there was sexual penetration when, in fact, there was only sexual contact. In a case like this, it would be appropriate for the forensic interviewer to assist the jury in understanding this evidence by explaining her reasons for using the dolls, the research supporting their
For example, in one case in which a forensic interview was admitted under the residual exception to the hearsay rule, a child who indicated seeing her father's penis was asked to describe the penis.204 The child became frustrated and said, "It looks like a power ranger." On direct examination, the prosecutor asked the forensic interviewer if, based on her training and experience, she made any errors in the interview. The interviewer said there were several times she pushed the child beyond her developmental capabilities. The interviewer explained that descriptive questions can be difficult for young children and that questions such as asking the child to describe her father's penis went too far. Without this explanation, the jurors may have interpreted the child's claim that the penis looked like a "power ranger" as an indication of fantasy or lack of intelligence.
203 For an overview of the research on anatomical dolls, see Faller, Anatomical Dolls, supra note 54, at 7; see also Vieth, supra note 54 (forthcoming 2021).
204 This is a case that was related to me by a colleague who is a forensic interviewer.
205 This scenario is based on an actual case the author handled as a prosecutor. The perpetrator pled guilty.
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usage, and the fact that the usage in this particular case fell within the APSAC national guidelines.206
Testimony along these lines is not improper bolstering of the child's credibility but is instead simply helping the trier of fact to "understand the evidence."207 Given the high-profile nature of sexual abuse cases in the 1980s, many of which received significant media attention and became the subject of documentaries and movies,208 it is critical for the State to offer evidence showing that steps were taken to minimize suggestibility practices in interviewing a child. This type of testimony does not go to the ultimate issue of whether or not the child is telling the truth but allows the jury to assess how, if at all, the manner in which the interview took place may have influenced the child's answers. Such testimony is no different 'from an investigator testifying as to the steps he or she took at a crime scene to minimize the chances of blood, semen, or other evidence collected from being contaminated by the process. Indeed, just as the government does not introduce DNA evidence without providing expert testimony as to the collection and preservation of the samples tested, the government should also be able to offer expert testimony that the taking of a child's statement was not done in a way that contaminates the process. This, perhaps, is why some experts have called the forensic interview the "DNA" of a child sexual abuse case.209
When, of course, a defendant specifically raises concerns about suggestible practices, the State is clearly permitted to address the issue. As noted by the South Carolina Court of Appeals, a forensic interviewer's expert testimony is not bolstering when offered "as a measure to prevent a defense or argument that the victim's testimony was the result of police suggestiveness."210 A forensic interviewer should consult with the prosecutor before testifying to make sure he or she does not offer impermissible testimony. Unless the interviewer is practicing in a state where this testimony is specifically allowed, it is best to avoid rendering an opinion that a child
206 See APSAC, The Use of Anatomical Dolls in Child Sexual Abuse Assessments (1995), https://2a566822-8004-431f-b136-
8b004d74bfc2.filesusr.com/ugd/4700a8_e70d997a77bf4334bef8b97c55cc82bf.pdf [https://perma.cc/4MK2-ZTAN]. For an analysis of how anatomical dolls may be used in interviews, see Heather A. Hlavka, Sara D. Olinger & Jodi Lashley, The Use of Anatomical Dolls as a Demonstration Aid in Child Sexual Abuse Interviews: A Study of Forensic Interviewers' Perceptions, 19 J. CHILD SEXUAL ABUSE 519, 535 (2010).
207 See FED. R. EVID. 702.
208 See CHEIT, supra note 5.
209 MARGARET-ELLEN PIPE, YAEL ORBACH, MICHAEL LAMB, CRAIG B. ABBOTT & HEATHER STEWART, DO BEST PRACTICE INTERVIEWS WITH CHILD ABUSE VICTIMS INFLUENCE CASE PROCESSING? (November 2008), https://www.ncjrs.gov/pdffiles1/nij/grants/224524.pdf [https://perma.cc/76PP-B7NV].
210 State v. Douglas, 626 S.E.2d 59, 72 (S.C. Ct. App. 2006), rev'd on other grounds, 671 S.E.2d 606 (S.C. 2009).
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was sexually abused or that the child's statements are consistent with abuse. Instead, the interviewer should focus on helping the judge or jury understand the process for taking a child's statement and helping the jury to understand why various questions were posed and developmental factors in evaluating a child's answers. Helping the jury to understand various tools used in the interview, such as anatomical dolls, will also be of assistance because this expertise is beyond the common experiences of most jurors.
IV. GUIDELINES FOR FORENSIC INTERVIEWERS WHO MAY BE CALLED AS EXPERT WITNESSES
A. The Forensic Interviewer Should Receive Basic and Advanced Training
As noted by one commentator, "[T]he best forensic interviews are conducted by the most well-trained interviewers . . . [and] the key to ensuring the success of the forensic interview portion of a CSA investigation is in having well-trained forensic interviewers follow research-based guidelines and stay current with developing recommendations."211 At a minimum, the forensic interviewer should have completed a comprehensive forensic interviewing course in which the interviewer demonstrates his or her skills and is tested on his or her knowledge. There is research demonstrating that "practice opportunities using trained respondents are more effective in improving the performance of investigative interviews than those using untrained fellow participants."212 Stated differently, the researchers found that "[a]lthough the performance of all participants improved with practice, the beneficial effect of having trained actors play the role of a child was robust."213 This study supports the practice in many forensic interview training programs, including CornerHouse and ChildFirst, of using trained actors in practice scenarios.214
After completing an initial forensic interview training program, the interviewer should, on a regular basis, attend advanced forensic interview training and must otherwise stay abreast of developments in the field.215
211 Wiley, supra note 40, at 277–78.
212 Martin B. Bowell, Ronald P. Fisher & Carolyn H. Hughes-Scholes, The Effect of Using Trained Versus Untrained Respondents in Simulated Practice Interviews About Child Abuse, 32 CHILD ABUSE & NEGLECT 1007, 1015 (2008).
213 Id. at 1014.
215 Farrell & Vieth, supra note 37 (describing advanced forensic interview training courses).
214 John Weiss, An Act That Could Save a Life, ROCHESTER POST BULL., Dec. 17, 2008, at B4; John Weiss, Acting as a Child Can be Difficult, ROCHESTER POST BULL., Dec. 17, 2008, at B3 (discussing the role of actors in ChildFirst forensic interview training programs).
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B. The Forensic Interview Should Use Protocol Supported by Research
There are a number of acceptable models for forensic interviewing that are rooted in research. These protocols include the NICHD, Step Wise, the Poole and Lamb "flexible protocol," and CornerHouse's RATAC protocol.216 Experts in the field have noted that "[t]hese and other protocols have similar characteristics and are based upon research."217 Indeed, there is "consensus among researchers and practitioners on the underlying principles that should guide interviews with children who might have been a victim or witness to a crime."218
An interviewer must understand the research that supports his or her forensic interviewing protocol and be able to articulate this in court.219 This is one reason attendees of an NCA approved training program are required to read pertinent research impacting the field and are otherwise trained to base their interview on practices supported by research.220
C. The Forensic Interviewer Should Participate in Peer Review
The importance of peer review cannot be overstated. As Michael Lamb noted, "interviewers continue to maintain or improve their skills only when they regularly review their own and others' interviews closely, discussing their strategies, successes and mistakes with other interviewers."221
D. The Forensic Interviewer Should be Familiar with and Work Within Nationally Accepted Guidelines and Standards
At a minimum, the forensic interviewer should be fluent with the forensic interviewing best practices drafted by representatives of all of the major forensic interview training programs in the United States and published by the United States Department of Justice.222 In addition, interviewers should be familiar with the guidelines promulgated by APSAC.223 If the interviewer uses anatomical dolls as part of the investigative
216 Perona et al., supra note 40, at 91.
217 Id.
218 Id. at 84.
219 See, e.g., id. at 91 (emphasizing that the components of the forensic interview are based upon empirical research).
220 NAT'L CHILDS.' ALL., supra note 4.
221 Michael E. Lamb, Yael Orbach, Irit Hershkowitz, Phillip W. Esplin & Dvora Horowitz, A Structured Forensic Interview Protocol Improves the Quality and Informativeness of Investigative Interviews with Children: A Review of Research Using the NICHD Investigative Interview Protocol, 31 CHILD ABUSE & NEGLECT 1201, 1210 (2007).
222 See NEWLIN ET AL., supra note 13, at 2.
223 See APSAC Practice Guidelines: Forensic Interviewing in Cases of Suspected Child Abuse (2012).
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interview, it is essential to also be familiar with and to work within the APSAC guidelines for the use of these interview aids.224 Whether or not the forensic interviewer works as part of a CAC, he or she should be familiar with the accreditation standards of the NCA for forensic interviewers working within a CAC225 and comply with all of these standards. Lastly, forensic interviewers should understand and apply the APSAC Code of Ethics, which obligates interviewers to conduct interviews "in a manner consistent with the best interests of the child."226
E. The Forensic Interviewer Should Document the Interview
The available research on videotaping suggests that the recording of these interviews reduces the number of times a child must speak about the abuse and increases the chance of a conviction. As summarized by Frank E. Vandervort:
Our findings suggest that, at least when used as part of a carefully thought-out investigative protocol, videotaping has a deleterious impact upon defendants' interests and a very positive impact on prosecutors' efforts to successfully prosecute child sexual abuse cases. Furthermore, such an approach serves the interests of the community, as it achieves a fair and just result for victims, suspects, and defendants.227
If, for any reason, a team decides not to audio- and video-record the interview, it is imperative to document the interview to the greatest extent possible. This documentation can be as simple as having other team members watch the interview from behind a two-way mirror and take diligent notes. The problem with notes, however, is that they can never fully capture a child's facial expressions and demeanor during an interview. In one case, for instance, a child, describing how she had to lick her perpetrator's anus, wrinkled her face and said, "[I]t really stunk."228 A mere verbal description of the child's facial expression can never duplicate a visual recording of that same expression.
F. The Forensic Interviewer Should Not Rely Exclusively on the Forensic Interview
A forensic interview is most likely to be the subject of a defense attack when that is the only evidence the government has. This situation
224 APSAC, Practice Guidelines: Anatomical Dolls, supra note 62, at 78–91.
225 NAT'L CHILDS.' ALL., supra note 4.
226 Toth, supra note 31, at 9, 10.
227 Vandervort, supra note 53, at 1415.
228 This was a case the author handled when serving as a prosecutor.
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should never be the case. Instead, the forensic interviewer should, during the abuse scenario of the interview, obtain as much detail as is developmentally appropriate. It is essential that the investigators scrutinize the child's verbal statements during the interview and then attempt to corroborate as much as possible. If, for example, the child described "sticky, white stuff" coming from the perpetrator's penis, the interviewer may want to ask what happened to the "sticky, white stuff," and, based on this information, the investigators should attempt to find semen stains. In nearly all cases, the forensic interview should enable investigators to examine and photograph one or more crime scenes.229
G. The Forensic Interviewer Should be Cognizant of the Rules of Evidence
To the extent the purpose of the forensic interview is to collect evidence in a legally sound manner, it is essential that interviewers become familiar with pertinent rules of evidence and other legal standards. For example, when the interviewer understands that information such as "sensory detail" may determine the admissibility of the forensic interview into evidence, the interviewer is more likely to seek this information during the interview.230
H. The Forensic Interviewer Should Function as Part of a Multidisciplinary Team
It is not enough that the interviewer follows a forensic interviewing protocol. It is equally important that the entire investigation be conducted by a multidisciplinary team functioning pursuant to a jurisdiction-wide protocol.231 There are a number of examples documenting that a community-wide protocol improves the quality of not only the forensic interview but the investigation as a whole.232 Functioning as part of a team makes the interviewer, and every other potential witness, look more professional. Assume, for example, a teenage victim discloses during the interview that he received alcohol and drugs prior to the sexual assault. The
229 Victor Vieth, Investigating and Prosecuting Child Abuse, 3 CHADWICK'S CHILD MALTREATMENT 179, 188–91 (2014).
230 See generally Idaho v. Wright, 497 U.S. 805 (1990) (holding that a child's hearsay statements made to her doctor violated the defendant's confrontation clause rights); INVESTIGATION AND PROSECUTION OF CHILD ABUSE 369–72 (Nat'l Ctr. for Prosecution of Child Abuse et al. eds., 3d ed. 2004) (explaining the federal rules of evidence concerning prior consistent statements) [hereinafter INVESTIGATION AND PROSECUTION].
231 INVESTIGATION AND PROSECUTION, supra note 230, at xxix-xiiv.
232 See generally Victor I. Vieth, In My Neighbor's House: A Proposal to Address Child Abuse in Rural America, 22 HAMLINE L. REV. 143 (1998) (noting the success of a jurisdiction-wide protocol in dramatically improving a rural county's response to cases of child maltreatment).
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lead investigator shares this information with a toxicologist or other expert who advises that, based on the child's description of when the alcohol and drugs were consumed, there would be no basis to assume the substances were still in the child's system. When the case comes to trial and the investigator or interviewer is challenged as to why blood or urine was not seized from the child to corroborate this part of the statement, the investigator can respond: "Pursuant to our jurisdiction-wide protocol, I defer to the medical expert on our team." That expert will testify later on and will be able to explain why he concluded there would be no value in seizing blood or urine from the child. Functioning as part of a team makes each witness look more professional.
V. GUIDELINES FOR CHALLENGING THE ADMISSION AND SCOPE OF DEFENSE EXPERTS
Thus far, this Article has focused primarily on the admission and scope of the forensic interviewer as an expert witness. It is also essential that courts consider the admission and scope of the testimony of defense experts who may be called to attack a forensic interviewer's questions or other techniques. Although some appellate courts have held it is reversible error not to allow a defense expert to critique the techniques used in a forensic interview,233 this does not mean that a particular witness is qualified to offer this expertise to a jury or that the scope of the testimony is without limitation. There are at least five criteria for discrediting, if not disqualifying, an expert called by the defense.
A. Forensic Interviewing Credentials
Defense experts, many of whom are psychologists, have little, if any, training in the field of child abuse, much less in the more specific field of forensic interviewing. A study of American Psychological Association (APA) accredited graduate programs found that many of the programs "fall far short" of guidelines proposed by the APA for minimal levels of competence in handling child maltreatment cases.234 The study found the lack of graduate training for psychology students "contradict[ed] the rapidly expanding literature on responding to maltreatment and the demands of
233 See, e.g., State v. Hakala, 763 N.W.2d 346, 352 (Minn. Ct. App. 2009) (determining that the refusal to allow the defendant to have an expert witness testify concerning the interview protocol was not a harmless error).
234 Kelly M. Champion, Kimberly Shipman, Barbara L. Bonner, Lisa Hensley & Allison C. Howe, Child Maltreatment Training in Doctoral Programs in Clinical, Counseling, and School Psychology: Where Do We Go From Here?, 8 CHILD MALTREATMENT 211, 215 (2003).
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this interdisciplinary, professional endeavor."235 Twelve years later, researchers reached a similar conclusion.236 Discussing her educational background, psychologist Anna Salter wrote:
Not only do many psychologists lack any meaningful training in child abuse, but they are also part of a profession that has historically been slow to acknowledge the seriousness, even the existence of, child sexual abuse. Commenting on this history, Dr. Salter noted:
In the two years I spent at Tufts getting a Masters degree in Child Study and the five years I spent at Harvard getting a Ph.D. in Psychology and Public Practice, there was virtually nothing on child sexual and physical abuse in any course I took. I had one lecture on the victims of child abuse, but not a single lecture anywhere on offenders. Ironically, many of the lectures were on maladies so rare I've yet to see them in twenty years of practice.237
The history of psychology in the past one hundred years has been filled with theories that deny sexual abuse occurs, that discounts the responsibility of the offender, that blame the mother and/or child when it does occur, and that minimize the impact. It constitutes a sorry chapter in the history of psychology, but it is not only shameful, it is also puzzling. Hostility toward child victims and adult women leaks through this literature like poison.238
Even if a psychologist or other defense expert is not overtly biased against any allegation of child sexual abuse and has kept current on child development or other pertinent literature, he or she may nonetheless lack the credentials to testify as an expert on forensic interviewing. If the psychologist has never attended any of the major forensic interviewing courses, much less conducted a forensic interview, he or she should not be addressing the jury as to the specifics of any interviewing protocol he or she
235 Id. at 215. To improve graduate training of psychologists, the authors recommended "team-taught classes, visiting instructors, and class visits by outside professionals" as "means by which to increase interdisciplinary training without developing entirely new programs." Id.
236 Maureen C. Kenny & Roberto L. Abreu, Training Mental Health Professionals in Child Sexual Abuse: Curricular Guidelines, 24 J. CHILD SEXUAL ABUSE 572, 578 (2015). 237 ANNA C. SALTER, PREDATORS: PEDOPHILES, RAPISTS, AND OTHER SEX OFFENDERS 2 (2003).
238 Id. at 57. Other commentators have echoed similar sentiments. Law professor John Myers notes that prior to the mid-1970s, the "legal, mental health, and medical literatures contributed to a legacy of skepticism about allegations of rape and sexual abuse." John E. B. Myers, Susan E. Diedrich, Devon Lee, Kelly Fincher & Rachel M. Stern, Prosecution of Child Sexual Abuse in the United States, in CRITICAL ISSUES IN CHILD SEXUAL ABUSE: HISTORICAL, LEGAL, AND PSYCHOLOGICAL PERSPECTIVES 27, 41 (Jon R. Conte ed., 2002).
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has not been trained in, much less commenting on acceptable standards in a profession he or she is not part of. Stated differently, "[o]ne can attempt to learn to swim by reading books about the techniques involved in swimming, but at some point one simply has to get wet to find out what swimming is really about."239 Similarly, if a witness understands the theory behind forensic interviewing but has never actually practiced the craft, his or her credentials as an expert are limited if not completely absent. This may still allow the witness to testify as to issues, such as the process by which a child may code or retrieve a memory or aspects of the forensic interview process that fall within his or her expertise, but he or she should refrain from commenting on appropriate standards for conducting an investigative interview as a whole.
B. Ethical Guidelines
The ethical guidelines of the APA require psychologists to be competent in the area he or she is practicing in or is otherwise offering expertise.240 These rules also require a psychologist to "undertake ongoing efforts to develop and maintain competence."241 Accordingly, if a psychologist testifies as an expert in a case of child abuse, the expert must be competent in this area and remain current with the literature. If the expert offers expertise specifically on issues pertaining to forensic interviewing, the expert must demonstrate knowledge or experience with this specific topic. If the expert has never attended a major forensic interviewing course, has never worked as a forensic interviewer, or has never been part of a multidisciplinary team or a CAC, the witness may be hardpressed to meet these ethical standards. This is because work in the field of forensic interviewing requires those who interview children to not utilize research but also to be "practice-informed."242
C. Disclosure of Research Supporting Testimony
Although the state's forensic interviewer may qualify as an expert based on training or experience, many defense experts have had no training or experience as a forensic interviewer but are instead relying on their reading of the literature. When this is the case, it is essential that the witness disclose the study or studies he or she is relying on in rendering an opinion. If, for example, the witness contends that a forensic interview was leading and suggestive, the prosecutor should request, and the court should require,
239 DAVID J. MONGE, LIFE-CHANGING FAITH FOR TODAY: WHY LUTHER'S THEOLOGY STILL MATTERS 92 (2003).
240AMERICAN PSYCHOLOGICAL ASSOCIATION, ETHICAL PRINCIPLES OF PSYCHOLOGISTS AND CODE OF CONDUCT § 2.01 (2017).
241 Id. § 2.03.
242 NEWLIN ET AL., supra note 13, at 3.
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the witness to specify what in the interview is suggestive and the specific research that is being relied on in rendering this opinion. Failure to do so impairs the government's ability to respond to this attack on the interview, which, in many cases, is ultimately an attack on the credibility of the child. As Justice Cardozo once noted, "[J]ustice, though due to the accused, is due to the accuser also. The concept of fairness must not be strained till it is narrowed to a filament. We are to keep the balance true."243
D. An Acknowledgement of Contradictory Research
If the expert is truly well-versed on the literature on one or more issues pertaining to forensic interviewing, it is incumbent upon him or her to disclose research that contradicts, as well as supports, his or her testimony. For example, if the defense expert cites a handful of studies condemning the usage of anatomical dolls but fails to reference the large body of studies supporting their usage,244 the competence and ethics of such a witness may be appropriately challenged. When a defense expert is unaware of or purposely fails to disclose contradictory research, the court should, at the very least, give the prosecutor considerable latitude in crossexamining the witness.
E. An Awareness of Sensitivity Versus Specificity Bias
In the field of forensic interviewing, sensitivity bias "emphasizes minimizing false negative errors or errors of undercalling abuse" whereas specificity bias "focuses on preventing false positive errors or errors of overcalling abuse."245 As a result of high-profile daycare cases of the 1980s, Mark Everson and Scott Rodriguez argue the field of child protection "pivoted sharply from a focus on sensitivity and child protection to a sustained embrace of specificity and adult protection."246 Everson and Rodriguez describe the impact on forensic interviewing this way: "Interview protocols became more structured, if not scripted, to reduce room for interviewer error. To overgeneralize only slightly, the implicit attitude in interview methodology changed from 'Tell me if you have a secret, so I can help.' to 'Convince me, if you say you were abused.'"247
Everson and Rodriguez note:
The imbalance of specificity over sensitivity can be seen in the relative emphasis placed in interview design,
243 Snyder v. Massachusetts, 291 U.S. 97, 122 (1934).
245 Everson & Rodriguez, supra note 59, at 92.
244 Faller, Anatomical Dolls, supra note 54, at 6–8 (noting that although the majority of studies indicate anatomical dolls can be a useful tool, there are also a few studies which do not support their use).
246 Id. at 93.
247 Id.
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instruction, and practice on preventing interviewer suggestion while virtually ignoring the effect of perpetrator "suggestion." The interviewer's access to the child is most often limited to a single, one-hour, videotaped interview. In contrast, the perpetrator may have 24/7 access to the child for years to manipulate, threaten, and intimidate the child into silence.248
Everson and Rodriguez's critique of the current state of forensic interviewing is a critical issue to bear in mind as courts grapple with the admission and scope of expert testimony on forensic interviewing. Any expert, for either the State or the defense, who swings too far in one direction or the other may improperly influence our judicial system to over or under-call cases of child maltreatment.
Everson and Rodriguez cite an article summarizing sixteen studies involving children identified as child sexual abuse victims because of sexually transmitted diseases who nonetheless failed to disclose sexual abuse in forensic interviews involving the NICHD protocol.249 Driving this point home, Everson and Rodriguez write that "[u]p to 50% of true cases of abuse may fail to disclose their abuse in the forensic interview process because of interview methodology that has prioritized specificity over forensic balance for at least the last 25+ years."250 As a result, Everson and Rodriguez call for a "forensically balanced" interview process that will combine "both sensitivity and specificity methodology to elicit a full and detailed account from the child."251
VI. CONCLUSION
As a direct result of the high-profile daycare cases of the mid1980s, the United States has moved rapidly toward the development of forensically defensible investigative interviews. There is considerable consensus on proper interviewing methods, and these methods are taught in major forensic interviewing courses. Although there remains a concern as to whether trained interviewers retain or apply this knowledge, the growing emphasis on continual training and peer review bodes well for the field. Obviously, the appropriateness of a particular forensic interview and the weight it should be accorded in considering the evidence against an accused is an issue for the judge or jury.
In assessing this evidence, expert testimony can and should aid the trier of fact. This Article offered guidelines for the admission and scope of this evidence when presented by the State and set forth criteria for
248 Id. at 94.
249 Id. at 95.
250 Id.
251 Id. at 97.
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challenging the admissibility and scope of testimony when offered by the defense—especially when the defense expert is from outside the field of forensic interviewing. Because the field remains relatively new, these guidelines are merely a reference point. Appellate courts, which have already begun to consider this issue, will ultimately decide the admission and scope of expert testimony on the subject of forensic interviewing.
Courts will make these decisions in light of research and concerns that the field has swung too far and is unduly emphasizing concerns for suggestiveness in the interview process while failing to recognize the opportunities for suggestion by perpetrators of child abuse.
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Trauma-Informed Interviewing and the Criminal Sexual Assault Case: Where Investigative Technique Meets Evidentiary Value
February 2020
Roger Canaff, JD Kimberly A. Lonsway, PhD Sgt. Joanne Archambault (Ret.)
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Unless something is excerpted directly from a copyrighted source, all the material in this document is in the public domain and may be reproduced or copied without specifically requesting permission from End Violence Against Women International (EVAWI) or the authors. Any direct quotes or excerpts should be properly cited, however. No one may reproduce or distribute this material for a fee without the specific, written authorization of End Violence Against Women International (EVAWI).
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The publication may be downloaded from End Violence Against Women International's Resource Library.
Recommended Citation
Canaff, R., J., Archambault, J., Lonsway, K.A (2020). Trauma-Informed Interviewing and the Criminal Sexual Assault Case: Where Investigative Technique Meets Evidentiary Value. End Violence Against Women International.
Please Note
This training bulletin is the second in a series addressing a variety of topics related to trauma-informed interviewing, including: a description of specific interviewing strategies such as the Forensic Experiential Interview (FETI), and an exploration of research on how to effectively elicit information during an investigative interview, whether it is conducted with a victim, witness or suspect in a criminal investigation, as well as recommendations for best practice.
Authors
Roger A. Canaff, Esq. is an attorney, public speaker, and author on child protection, abuse and sexual assault cases. He has prosecuted sexual abuse and violent crimes against women and children in multiple jurisdictions in the United States and has provided technical and legal training to prosecutors and victim advocates around the world. Mr. Canaff is also an expert and consultant on the legal and social strategies institutions should employ to address sexual assault and abuse in their midst, and he is a partner with the training company Justice 3D.
Dr. Kimberly A. Lonsway has served as the Director of Research for EVAWI since 2004. Her research focuses on sexual violence and the criminal justice and community response system, and she has written over 60 published articles, book chapters, technical reports, government reports, and commissioned documents – in addition to numerous training modules, bulletins, and other resources. Over her career, Dr. Lonsway has trained thousands of professionals across the country, in a diverse array of disciplines and settings, and volunteered for over 15 years as a victim
advocate; in 2012, she was awarded the first-ever Volunteer of the Decade Award from the Sexual Assault Recovery and Prevention (SARP) Center in San Luis Obispo, CA. She earned her PhD in the Department of Psychology at the University of Illinois, Urbana-Champaign.
Sgt. Joanne Archambault (Retired, San Diego Police Department) is the Chief Executive Officer for EVAWI. Prior to founding EVAWI in 2003, Sgt. Archambault worked for the San Diego Police Department for almost 23 years, in a wide variety of assignments. During the last 10 years of her service, she supervised the Sex Crimes Unit, which had 13 detectives and was responsible for investigating approximately 1,000 felony sexual assaults each year. Sgt. Archambault has provided training for tens of thousands of practitioners, policymakers, and others – both
across the country and around the world. She has been instrumental in creating systems-level change through individual contacts, as well as policy initiatives and recommendations for best practice.
Acknowledgements
We are extremely grateful to the following individuals (listed in alphabetical order) for their valuable contributions to this training bulletin:
* Mike Davis, Sergeant (Ret.), Vancouver Police Department, Cadre of Experts, EVAWI, Vancouver, WA
* Elizabeth Donegan, Sergeant (Ret.), Austin Police Department, Consultant / Trainer, Sexual Assault Training and Investigations, SATI, Cadre of Experts, EVAWI, Austin, TX
* Rachael Frost, Master Investigator (Ret.), Chief Executive Officer, Frost ICED (Investigation, Consultation, Education & Development), Cadre of Experts, EVAWI, Murrieta, CA
* Leslie A. Hagen, JD, National Indian Country Training Coordinator, US Department of Justice, Columbia, SC
* Carlton Hershman, Detective (Ret.), San Diego Police Department, Cadre of Experts, EVAWI, San Diego, CA
* James W. Hopper, PhD., Clinical Psychologist, Independent Consultant, Teaching Associate in Psychology, Harvard Medical School, Boston, MA
* Catherine Johnson, Investigator, Cadre of Experts, EVAWI, Beaufort, NC
* Kristen Littel, MA, Consultant on Interpersonal Violence Prevention and Response, Seaville, NJ
* Richard Mankewich, Sergeant, Orlando County Sheriff's Office, Cadre of Experts, EVAWI, Orlando, FL
* Andrea Munford, Lieutenant, Michigan State University Police, Advisor, MSU Office of the President, Cadre of Experts, EVAWI, East Lansing, MI
* Wendy Patrick, PhD., Deputy District Attorney, San Diego County District Attorney's Office, Cadre of Experts, EVAWI, San Diego, CA
* Keith Reid, Sergeant (Ret.), Metropolitan Police Department, Cadre of Experts, EVAWI, Clinton, MD
* Michael Schentrup, Captain, Gainesville Police Department, Cadre of Experts, EVAWI, Gainesville, FL
Introduction
When it comes to interviewing sexual assault victims, it's clear we've benefitted from advancing research on psychological trauma, including the neurobiological processes and responses involved. 1 These developments provide practitioners with a scientifically defensible underpinning for interviewing techniques, including many that professionals already used because experience taught them what worked, and treating victims compassionately felt like the right thing to do. 2
This is all good news, but we are concerned that some practitioners – and even survivors – have come to view the "neurobiology of trauma" as a silver bullet for proving sexual assault cases. We have heard this notion expressed by professionals and laypeople alike, including survivors who have read or heard about trauma-informed interviewing, and place disproportionate faith in its ability to overcome all the challenges that might come up during a sexual assault investigation and prosecution, including at trial. We believe this level of faith is misplaced, and ultimately damaging for survivors as well as professionals. It is unrealistic to think that testimony regarding the neurobiology of trauma ‒ or any other single type or piece of evidence ‒ will secure a conviction on its own.
This training bulletin was written to explore what the evidence produced from a traumainformed interview of a sexual assault victim can (and cannot) accomplish within the US legal system, and how this evidence should (and should not) be used in a sexual assault investigation and prosecution. Various possibilities are illustrated with hypothetical courtroom exchanges. We hope this is helpful for investigators and prosecutors seeking to understand this field of knowledge and appropriately utilize these techniques. But first, some basics.
1 While this training bulletin focuses on sexual assault, many of the same conclusions apply equally well to cases involving intimate partner violence or other traumatic victimization.
2 Abbe, A. & Brandon, S.E. (2014). Building and maintaining rapport in investigative interviews. Police Practice and Research, 15 (3), 207-220; Brandon, S.E. & Wells, S. (2018). Science-based interviewing. Published by authors; Diamond, D., Campbell, A., Park, C., Halonen, J., & Zoladz, P. (2007). The temporal dynamics model of emotional memory processing: A synthesis on the neurobiological basis of stressinduced amnesia, flashbulb and traumatic memories, and the Yerkes-Dodson law. Neural Plasticity, 60803, 1-33; Meissner, C.A., Surmon-Böhr, F., Oleszkiewicz, S., & Alison, L.J. (2017). Developing an evidencebased perspective on interrogation: A review of the U.S. government's high-value detainee interrogation group research program. Psychology, Public Policy, and Law, 23 (4), 438-457; Schwabe, L. (2017). Memory under stress: From single systems to network changes. European Journal of Neuroscience, 45 (4), 478-489; Vrij, A., Meissner, C.A., Fisher, R.P., Kassin, S.M., Morgan, C.A., & Kleinman, S.M. (2017). Psychological perspectives on interrogation. Perspectives on Psychological Science, 12 (6), 927-955; Wells, S. & Brandon, S.E. (2019). Interviewing in criminal and intelligence-gathering contexts: Applying science. International Journal of Forensic Mental Health, 18, (1), 50-65.
What is Trauma-Informed Interviewing?
What do we mean by "trauma-informed interviewing?" A basic definition is offered in the first training bulletin in this series, Becoming Trauma Informed: Learning and Appropriately Applying the Neurobiology of Trauma to Victim Interviews.
Specifically, we use the term to describe techniques based on an accurate understanding of trauma, informed by the relevant research on neurobiology and memory. Often referred to as the neurobiology of trauma, this work explores: (1) How brains and bodies respond to acutely stressful and traumatic events such as a sexual assault as they are happening, and (2) How these experiences of extreme stress are encoded, stored, and potentially retrieved from memory afterward.
In a trauma-informed interview, questions are asked in ways that are consistent with how traumatic memories are often encoded, stored, and retrieved. Interviewers also understand, listen for, and gather information about common brain-based impacts of trauma on attention, cognition, and behavior (e.g., narrowed attention, impaired reasoning capacities, freezing, habit behaviors, dissociation, and tonic immobility). These strategies can help interviewers elicit more complete and accurate information from sexual assault victims, which can, in turn, lead to more thorough evidence-based investigations. Specific techniques include the following:
* Sincere efforts to establish trust, rapport and comfort for the victim.
* Acknowledgment of the victim's trauma and/or pain.
* Creating an environment that feels physically and emotionally safe for victims.
* Communicating in language victims understand and are comfortable with.
* Understanding that no one can remember "everything," at any particular time, so victims are encouraged to relay all the information they are able to at that time.
* Use of non-leading questions and other open-ended prompts (e.g., "Tell me more about that," or "What if anything can you recall thinking/feeling at that point?").
* Encouragement of narrative responses with pauses, and without interruptions.
* Focus on what victims can recall thinking and feeling throughout the experience.
* Particular emphasis on emotional and sensory experiences (five traditional senses of sight, hearing, touch, taste, and smell, plus internal body sensations).
* Documenting brain-based impacts of trauma on the victim's attention, cognition, and behavior during the sexual assault, and potentially during the interview.
* Expressions of patience, empathy, and understanding throughout the interview.
* No necessity for information to be provided in a sequential or "logical" order.
* Instruction not to guess at answers, and to say "I don't know" when needed.
* Not asking victims "why" they did or did not do something during the assault, but rather inquiring in ways that convey a non-judgmental desire to understand their experiences, reactions, and (often unconscious, automatic) decisions.
* Acknowledgement that the victim may recall additional information as time passes and this does not indicate deception, nor does it necessarily mean that the victim was intentionally withholding information during a previous interview. 3
(For more information on trauma-informed interviewing, including specific techniques, please watch for future installments in this training bulletin series).
So, What Do We Mean by "Evidence?"
The dictionary defines evidence as "that which tends to prove or disprove something" or "ground for belief; proof. 4 Alternatively, "something which furnishes proof." 5
In every criminal trial in the US, the prosecution has the burden of producing admissible evidence (testimony, objects, photographs, reports, etc.), that contribute to proving the elements of each crime beyond a reasonable doubt. To illustrate, the Model Criminal Jury Instructions for the District Courts of the Ninth Circuit 6 outlines three types of evidence to be considered when deciding what the facts are:
1) Sworn testimony of any witness
3) Any facts to which the parties agree
2) Exhibits that are received in evidence
The defense has no such burden to produce evidence; they need not prove anything. Rather, their job is to challenge the prosecution's case, by refuting evidence or testimony, so the judge or jury concludes there is reasonable doubt about whether the crime was committed and/or whether the defendant was the person who committed it.
3 Of course, victims do sometimes deliberately withhold certain information, including details about the sexual assault that are particularly shameful or humiliating, or information the victim does not want the investigator to know about (like underage drinking, drug use, or involvement in sex trade). For more information on addressing these challenges, please see EVAWI's training bulletin entitled, Incomplete, Inconsistent, and Untrue Statements made by Victims: Understanding the Causes and Overcoming the Challenges. Also see EVAWI's OnLine Training Institute (OLTI) module on Interviewing the Victim: Techniques Based on the Realistic Dynamics of Sexual Assault.
4 Dictionary.com: https://www.dictionary.com/browse/evidence
5 Merriam-Webster online: https://www.merriam-webster.com/dictionary/evidence
6 Manual of Model Criminal Jury Instructions for the District Courts of the Ninth Circuit (2010 Edition, Last Updated 12/2019), Section 1.3, "What is Evidence," p. 5.
Every crime has specific elements that must be proven for a defendant to be convicted on the charge. All defendants are presumed to be innocent (on each charge) until proven guilty in the US criminal justice system.
Case Illustration
At its simplest, imagine a case where a prosecutor must prove that a defendant ran a red light, causing an accident. As evidence, the prosecutor might use:
(1) Testimony of witnesses, including the driver of the car that was struck, who actually saw the defendant's car pass through the intersection against the light;
(2) Admissions of the defendant, if any statements were made to the police officer or other witnesses at the scene of the accident;
(3) Video footage or photographs, if any existed, which captured the accident as it happened; and/or
(4) Accident reports and diagrams reconstructing the accident based on any skid marks and/or the point of impact.
All four of these would constitute evidence and based on various state and federal rules and laws, all four would also generally be admissible to prove the criminal case against the defendant. It would then be the factfinder's job (the judge or jury) to evaluate how credible and probative this evidence is, in terms of meeting the prosecutor's burden. Does it help prove the defendant's guilt? If so, how persuasive is it? This analysis will involve issues such as determining witness credibility, authenticating certain pieces of evidence (such as video footage, photos, skid mark diagrams, etc.), and anything else that will assist the judge or jury in determining how much weight to give each piece of evidence.
Admissibility
There are other forms of evidence (beyond those described above) that prosecutors might want to use, but they aren't allowed to, no matter how compelling they think it might be for proving their case. This is based on the many rules and laws governing admissibility of evidence in a criminal trial.
"Prior Bad Acts"
For instance, let's say the prosecutor in our red-light case discovers that the defendant has been convicted for running red lights ten previous times. That certainly seems compelling; if the defendant has disregarded red lights on so many previous occasions,
can't that evidence be used to show she probably disregarded one on this occasion? The answer, in our criminal justice system, is usually "no." Evidence of a defendant's past behavior (often called prior bad acts) will usually not be admitted, even if it seems logical for the case. 7
Exceptions to "Prior Bad Acts"
Evidence regarding past behavior or proclivity is not usually admissible in a sexual assault case, but there are some exceptions. These are outlined in the Model Response to Sexual Violence for Prosecutors (RSVP), by the Urban Institute, The Justice Management Institute, and AEquitas: The Prosecutors' Resource on Violence Against Women (2017).
For example, such evidence cannot be introduced "to prove a person's character" or to "show that that the person acted in conformity with that character trait on a particular occasion" (p. 82). However, it can potentially be introduced to prove matters other than propensity, "such as motive, opportunity, intent, preparation, plan, knowledge, identity, or absence of mistake or accident" (pp. 82-83). It can also be admitted when defendants attempt to disclaim knowledge of prior bad acts or maintain that they have "never been through this before" (for example in the case of the defendant who has been ticketed for such behavior several times). The prior bad acts then become admissible to impeach the defendant´s testimony. This is often referred to as a defendant "opening the door" to evidence of prior conduct through presenting a false image of good citizenship and law-abiding behavior. Finally, it is worth noting that some jurisdictions "explicitly do allow propensity evidence in sexual violence cases" (p. 83, emphasis added). For more information and recommendations on how to identify and introduce such evidence, please see the RSVP document.
Hearsay Evidence
When a person testifies in a criminal trial ‒ not to what they saw or heard themselves ‒ but instead to what another person said, this is called hearsay evidence, and it is usually not admissible in a criminal case (unless it falls within one of the enumerated exceptions), no matter how logical or compelling the testimony might seem to the average layperson. The rationale for excluding hearsay is that this second-hand evidence, even when coming from a highly respected source, is not reliable enough to be introduced in court. 8
7 See Federal Rule of Evidence (404(b).
8 One exception to the hearsay rule relates to outcry witnesses, the first person (or people) someone tells about their victimization. In sexual assault cases (as well as other crimes such as child abuse and domestic violence), outcry witnesses are often called to testify, not only regarding what the victim said when they first disclosed their sexual assault, but also how they behaved or appeared during the disclosure.
Relevance
One key question for the admissibility of any evidence pertains to its relevance. In general, evidence is admissible in a criminal trial if it is relevant. This seems intuitive, but what exactly does it mean? In this context, relevance basically means the subject of the testimony (or type of evidence) is not only reliable, but it also has a connection to the case; it tends to prove or disprove a legal element. 9
Case Illustration
To illustrate, imagine that a woman reports being sexually assaulted by a man who wore a black wool cap, and a suspect is detained just a few minutes later at a nearby location wearing a black wool cap. Further investigation produces probable cause to arrest the suspect for the sexual assault, and he is taken into custody. This testimony by the victim is almost certainly relevant, because it matters if the suspect was found wearing a black wool cap matching the description provided by the victim during the preliminary response.
Now imagine that the investigator offers the victim coffee during the follow-up interview, and she mentions casually that there are no good coffeeshops in her neighborhood. This fact may be true, but it's not relevant to the case, because it doesn't prove or disprove a legal element establishing that she was sexually assaulted, and by whom. In other words, it's not evidence in this case.
These two examples might seem obvious, but it gets more complicated when the statement seems to be related to the case yet isn't actually relevant to proving the legal elements of the crime. For example, many people assume that a victim's prior sexual history is automatically relevant in a sexual assault case, but this is only true if it speaks to a legal element or other fact at issue (which may then speak to the victim's credibility as a testifying witness). We do not intend to address the complex issues relating to a victim's prior sexual history and the history of rape shield laws in the U.S. We simply want to highlight that relevance requires that the evidence or testimony prove or disprove a legal element, not simply that it is somehow related, or relevant to the issues in the case.
Direct vs. Circumstantial Evidence
One final legal concept worth clarifying is that evidence may be categorized as either direct or circumstantial. Either type of evidence can be used to prove any fact. This is spelled out in the model jury instructions for the District Courts of the Ninth Circuit, which also notes that juries determine how to weigh the value of such evidence:
9 One exception to relevance is when evidence is introduced to personalize and humanize a witness. Although such evidence cannot be used to vouch for witness credibility, background information such as where a witness works or lives, or how a witness is employed, may be admissible even if it is not relevant to any of the elements of the charged crimes.
The law makes no distinction between the weight to be given to either direct or circumstantial [evidence]. It is for you [the juror] to decide how much weight to give to any evidence. 10
The manual then goes on to provide a real-world example to illustrate this point:
By way of example, if you wake up in the morning and see that the sidewalk is wet, you may find from that fact that it rained during the night. However, other evidence, such as a turned-on garden hose, may provide an explanation for the water on the sidewalk. Therefore, before you decide that a fact has been proven by circumstantial evidence, you must consider all the evidence in the light of reason, experience, and common sense. 10
Direct Evidence
Direct evidence is direct proof of a fact, such as testimony by a witness about what this witness personally saw or heard or did. Such evidence serves to prove (or disprove) a legal element without requiring any inference. This is true whatever form the evidence takes (witness testimony, forensics, photographs, etc.).
For example, if semen is recovered from a victim's vagina, and the source is identified through forensic testing as belonging to the defendant, this speaks directly to the question of whether a sexual act took place between the two people. Of course, the defense may argue that the identification was wrong, based on faulty procedures or contamination during evidence collection, storage, or testing. Or, they may acknowledge that the direct evidence establishes that sexual contact took place between the defendant and the victim, but argue that it says nothing at all about whether that sexual contact was consensual. This aspect of the case- consent- may be the most crucial given the circumstances. Nonetheless, the evidence speaks directly to a legal element in the case. The sexual act must be proven beyond a reasonable doubt for the judge or jury to convict someone on a sexual assault charge.
Circumstantial Evidence
On the other hand, circumstantial evidence does not directly prove or disprove a legal element or other fact in the case, it simply supports an inference that a fact may be true or not. Examples include the wool cap highlighted in the previous illustration. Without additional facts, the cap does not directly prove that a crime was committed, or that the defendant is the person who committed it. It just offers one piece of support for the inference that the defendant might be the person who committed the crime. There would need to be an accumulation of additional direct and/or circumstantial evidence to
10 Manual of Model Criminal Jury Instructions for the District Courts of the Ninth Circuit (2010 Edition, Last Updated 12/2019), Section 1.5, "Direct and Circumstantial Evidence," p. 7.
establish probable cause for an arrest, and then proof of his guilt beyond a reasonable doubt. 11
Circumstantial evidence is often used to prove the mental element for criminal offenses that require what's called specific intent in the law. For example, some sex crimes (e.g., contact crimes like attempted sexual assault or sexual battery), require that an act be committed for the purpose of the defendant's sexual gratification. Direct evidence of this intent might include statements made by the suspect during the act, or physical evidence such as ejaculate. Such direct evidence (like ejaculate) can establish what defendants did during the act, but circumstantial evidence is especially helpful to prove what they were thinking when they acted.
The classic example is an attempted sexual assault where the suspect drags the victim into a dark area and pulls down her pants, but the attack is interrupted when witnesses respond to the victim's cries for help. For the defendant to be found guilty, the prosecution must unequivocally prove that the defendant did something that was a substantial step toward committing the crime (not just preparing), and that the crime would have taken place unless interrupted by independent circumstances. 12 In this scenario, the suspect's actions (pulling down the victim's pants rather than grabbing her purse), corroborate the specific intent to commit a sexual assault rather than a robbery.
In another scenario, where the suspect meets the victim in a bar, the suspect's intention to engage in sexual activity might be inferred from the fact that he repeatedly bought the woman shots, isolated her from her friends, persuaded her to join him at a private table, and searched his phone for inexpensive hotel rooms nearby. Maybe the suspect then insisted on driving the victim home, even though she repeatedly declined his offer, and she had several girlfriends at the bar who could have helped her get home. But what evidence might indicate that he intended to sexually assault her (i.e., without her consent)? Maybe the suspect used a false name when he reserved the hotel room. Or, maybe he drove the victim to a remote location, such as a parking lot or field, where no one could hear her scream. None of these is a "silver bullet" that proves the legal element on its own, but together they can help to build a circumstantial case.
Sexual Assault Cases
Sexual assault cases may have little or no direct evidence. However, an accumulation of circumstantial evidence can still build a powerful case for the prosecution. This is
11 In their book, Brandon and Wells (2018) distinguish between verified facts, and information (including hearsay), as well as inferences, which can be characterized as: "What do we think based on the facts and information available?" The book goes on to describe a process for tracking and utilizing each for the purpose of planning and conducting investigative interviews. See Brandon, S.E. & Wells, S. (2018). Science-Based Interviewing. Published by authors.
12 Manual of Model Criminal Jury Instructions for the District Courts of the Ninth Circuit (2010 Edition, Last Updated 12/2019), Section 5.3, "Attempt," p. 91.
Trauma-Informed Interviewing and the Criminal Sexual Assault described in EVAWI's training module on Crime Scene Processing and Recovery of Physical Evidence from Sexual Assault Scenes :
Generally, sexual assault scenes don't include the elusive 'smoking gun.' Sometimes, despite our best efforts, we are left with two versions of a story, and the only choice we have is to build a circumstantial case. Investigators must recover the evidence available and allow it to support or refute each person's account of what happened (Ware, 2017, p. 19).
Next, we will use these concepts and terminology when we examine the types of evidence that might be produced with a trauma-informed interview, and explore how each kind may prove useful to the prosecution of a sexual assault case.
Interviewing and Evidence: What's the Connection?
There is no question that trauma-informed interviews can potentially yield evidence. That is one of the main goals. But what kind of evidence can these interviews produce? The answer is three-fold: They can potentially yield (1) victim statements, (2) investigator observations of victim behaviors, and (3) additional corroborative evidence (often identified on the basis of victim statements).
(1) Victim Statements
Perhaps the most obvious conclusion is that trauma-informed interviews can produce statements, which may ultimately be admitted at trial as testimonial evidence. To illustrate, a sexual assault victim may first tell an investigator (and then later, a prosecutor) what they remember experiencing before, during, and after a sexual assault, and the prosecutor may build on this information to craft a direct examination of the victim in court. The victim's testimony in court will help meet the prosecution's burden of proof if it contributes toward proving the legal elements of the specific offense(s) being charged. Cross-examination will also produce evidence, when the victim testifies in response to defense questioning.
As long as it meets certain legal standards (e.g., relevance), sworn testimony becomes a part of the lawyer's case who has put it forward (either the prosecutor or defense attorney). It is therefore important to note that trauma-informed interviewing techniques can be used both by the investigator who conducts the detailed interview, and by the prosecutor who crafts a direct examination for the victim based on the victim's recollection of events and other corroborative evidence. Trauma-informed techniques may achieve this goal more effectively than traditional interviewing approaches (and even science-based approaches that are not necessarily "trauma-informed"), because they take into account common trauma responses and the implications for victims'
memories, behaviors, and ultimately their statements and testimony regarding their sexual assault. 13
Now, testimony may not be as innately compelling as physical or scientific forms of evidence (like fingerprints or DNA), but it is still very powerful, and the bedrock of our criminal justice system. When a person takes an oath and promises to testify truthfully in a court of law, their words become more than just a solemn account. In fact, those words become evidence, a thing of actual legal weight that a jury or a judge can put into a mental calculus when making a determination in the case. Sworn testimony, as any judge will instruct a jury, is evidence. The question for factfinders in the case (the judge or jury) is what credibility and probative weight, if any, to assign to that evidence.
Meeting Legal Elements: Victim Statements
How might victim statements help to meet the legal elements of a sexual assault offense? First, victims might testify both about sexual acts committed by the defendant, as well as the conditions that rendered those acts unlawful. For example, in a case of involving force, threat, or fear, the victim may testify regarding the factors that created this environment, including the defendant's use of any weapons, the defendant's size and strength, physical isolation, history of prior violence, etc. Or, in a drug- or alcohol-facilitated case, the victim may testify about the specific drugs or alcohol consumed, the level of incapacitation they experienced, and the defendant's role in creating, encouraging, or otherwise facilitating the victim's incapacitation. Testimony by the victim would then be offered as direct evidence to establish one or more of these legal elements.
13 See, for example, work conducted by the High Value Detainee Interrogation Group (commonly referred to as "the HIG") which aims to accumulate evidence for a variety of interviewing techniques and package them together in an approach described as "science-based investigative interviewing." Like trauma-informed interviewing, the HIG approach includes "developing cooperation via rapport, persuasion and conceptual priming" and "eliciting information via conversational rapport and facilitating memory retrieval" (see Meissner et al., 2017). The approach also incorporates strategies and techniques from Fisher and Geiselman's (1992) Cognitive Interviewing (CI) protocol. However, this approach does not integrate other research, including neuroscientific research, on how the trauma of sexual assault can affect victims' attention, cognition, behavior, and memory processes. Nor does the HIG approach (or CI) address the impact of deep-seated cultural misconceptions about sexual assault, and the profound skepticism that has long been directed toward sexual assault victims and their disclosures. If the statements and behaviors of sexual assault victims are not considered in light of these factors, this can potentially lead to errors in assessing credibility. This is particularly concerning when victims withhold information or provide inaccurate information, for example, because they feel ashamed, fear being disbelieved or judged, or can tell that the interviewer doesn't understand or believe what they're saying. See Fisher, R.P. & Geiselman, R.E. (1992). Memory-Enhancing Techniques for Investigative Interviewing: The Cognitive Interview. Springfield, MA: Charles C. Thomas; Meissner, C.A., Surmon-Böhr, F., Oleszkiewicz, S., & Alison, L.J. (2017). Developing an evidence-based perspective on interrogation: A review of the U.S. government's high-value detainee interrogation group research program. Psychology, Public Policy, and Law, 23 (4), 438-457.
Victim Statements Involving Neurobiology of Trauma
So then, how does the neurobiology of trauma come into play? During the course of a trauma-informed interview, a sexual assault victim might describe experiences that could potentially be explained ‒ at least in part ‒ by neurobiological processes associated with severe stress and trauma. For example, victims may say that they: "froze," "couldn't move all of a sudden," "collapsed like a rag doll," "spaced out," "felt like I left my body," "felt like I was watching the whole thing from the ceiling," "couldn't see anything but the knife in his hand," "focused on this one painting on the wall," "felt like I was going in and out of the scene like a movie," or "I just kept saying [or thinking] the same thing over and over again."
When victims use phrases like this, the investigator's job is to document the exact wording – but then use open-ended prompts to find out what the victim means by the phrase. For example, when victims say they "froze" during the sexual assault (which they often do), investigators should document this exact wording, but then go on to elicit a detailed description of any physical, sensory, cognitive, and emotional aspects of that part of the experience that the victim can recall: "Tell me more about when you 'froze.'" "What if anything do you remember seeing?" "What if anything do you remember hearing?" "What were you feeling at that point?" or "What was going through your mind when you 'froze?'" The investigator can then document these sensations, feelings, thoughts, and experiences as part of the victim's statement. If the case goes to trial, the statements might be admitted into evidence through the victim's sworn testimony.
Inappropriate to Label or "Diagnose" Victim Responses
There's a risk that someone who has received training in the neurobiology of trauma may, when hearing a victim describe their experience with such phrases, instantly assume the role of an armchair neuroscientist or trauma expert. They may think: This victim was clearly experiencing "impairment of the prefrontal cortex," or "dissociation," or "tonic immobility," or "collapsed immobility," etc. However, as we emphasized in the first training bulletin in this series, it is inappropriate for investigators and other non-clinicians to label or diagnose such victim responses.
While it's essential that the process of listening to victims and eliciting more information from them is informed by an understanding of common brain-based responses, explaining and interpreting such information should be left to experts. Indeed, it is not the investigator's role to determine whether someone has experienced trauma. As taught in report writing classes for law enforcement, the investigator's job is to document the victim's statements, then elicit more detail with open-ended prompts.
Remember, prosecutors often use victim testimony as direct evidence to establish the legal elements that render a sexual act a crime, such as (a) force, threat or fear, or (b) incapacitation. With examples such as those described above, a prosecutor would most likely use the victim's testimony to establish these elements, arguing that the experiences described by the victim are more consistent with force or incapacitation than they are with consensual sex. The defense will then most likely seek to undermine this testimonial evidence by challenging the victim's credibility, and arguing that the victim consented to the sexual acts.
(2) Investigator Observations
The first type of evidence thus involves the content of a victim's statement. However, closely related to what the victim says are the observations documented by an investigator about how the victim appears or behaves during the interview. This includes things like the victim's general demeanor, and specific reactions, like crying, trembling, handwringing, staring vacantly, slumping in the chair, etc. The investigator's observations of these behaviors are the second type of evidence that can be produced from a trauma-informed interview.
But they will only be introduced as evidence if they are relevant to the case, admissible in court, and probative in terms of proving a legal element. The prosecutor might call the investigator to testify about such victim behavior during the interview, as circumstantial evidence that the person was sexually assaulted.
Hypothetical Exchange #1
To illustrate what this might look like, we'll offer a hypothetical exchange between a prosecutor and investigator at trial. In this case, the investigator is testifying about a trauma-informed interview conducted with a victim of sexual assault. The investigator simply makes behavioral observations about the victim, and describes how this behavior changed at various points during the interview.
Prosecutor: Detective, without telling us what was said during the interview you conducted, please tell us this: While you were asking these questions, what was the complainant, Ms. Chen's, demeanor?
Investigator: She cried through much of the interview, so her eyes were red and swollen. She had to stop and collect herself several times.
Prosecutor: Did you give her a chance to collect herself?
Investigator: Yes, I offered her the opportunity to take a break. I let her sit quietly for a few minutes, and I went and got her a cup of coffee. I've found that sometimes helps.
Prosecutor: And in this case, did it help?
Investigator: Yes. When I came back with the coffee, about five minutes later, Ms. Chen appeared much calmer. I gave her a chance to drink the coffee, and we just sat quietly for a few minutes. After that, I asked her if it would be okay to continue with my questions.
Prosecutor: And did you?
Investigator: Yes. I was able to complete the interview.
In this exchange, the victim's behaviors fit with common expectations for how a sexual assault victim will behave during an investigative interview. They will therefore "make sense" to most judges and jurors, and will not require further explanation. Of course, the prosecutor may still provide additional information about the victim's behaviors, if this will help the judge or jury better understand them. For example, the prosecutor might call an expert to explain that these reactions are common among people who have experienced sexual assault.
Meeting Legal Elements: Investigator Observations
Again, keep in mind what the point of such testimony is: It is designed to meet the prosecutor's burden by establishing legal elements of the crime. If the investigator testifies that the victim was "crying," "shaking," or "tearing a tissue to shreds" while describing the sexual acts, the prosecutor may argue in closing that this demonstrates the victim was clearly frightened and upset, and that this corroborates the nonconsensual nature of the act – that it was committed by the defendant using force, threat, or fear, or while the victim was incapacitated.
Yet again, investigators should not label or diagnose any such behaviors that victims might exhibit during their interview, just as they should not for behaviors victims describe experiencing during the sexual assault. Any investigator who uses such terminology may find themselves defending their "diagnosis" in court and they might not be able to provide an explanation based on science.
Instead, investigators should simply document the victim's behavior during the interview with concrete and objective wording that is free of interpretation. For example, it is always possible that victims might lapse into a dissociative state during an investigative interview (even one that's trauma-informed). If so, the investigator will likely observe behavioral indications of such a lapse. However, even if the investigator suspects that the victim is dissociating during the interview, it is not appropriate to state in the report that the victim "experienced dissociation" or "went into a dissociative state." Rather, the investigator might document that the victim "did not make eye contact," "stared at the wall throughout the interview," "spoke without any emotional expression," etc.
Statements and Observations: Is it Evidence?
Of course, it's not certain that any particular statement made by the victim, or any specific observation documented by the interviewer, will be introduced as evidence in the case or be testified to at all. As previously noted, this depends on whether they are determined to be relevant, probative, and admissible in court. For example, the victim will not typically testify about the quality of coffeeshops or other irrelevant statements made throughout the course of the interview. Similarly, the investigator will not testify about clothing worn by the victim to the interview unless there is some reason why this is relevant and probative.
But it is not always obvious at the beginning of an investigation what evidence will become critical in the case. This will typically only become clear after taking additional investigative steps and interviewing any suspects and witnesses.
This point can be illustrated with an example of one type of physical evidence: Latent prints. Crime scene investigators will often collect numerous latent prints at the scene of a sexual assault and home invasion, not knowing which might ultimately be probative. All the latent prints that are collected will be impounded as evidence, but the only ones that will be presented by the prosecution at trial will be those that are relevant to the case. Latent prints found on the outside of a window may be used to identify the defendant, and to help prove the criminal offense by establishing a point of entry and the fact that the suspect was not invited into the victim's home. The defense may then try to introduce other prints that were collected, to show that the crime could have been committed by some other person ‒ assuming all the impounded prints could not be identified and excluded as belonging to the residents of the home, or any past guests.
Another analogy can be drawn with biological samples drawn from the victim. At the time samples are collected from the victim during a medical forensic exam, we don't know (yet) if they are evidence. We don't know if they will help to prove a legal element (or disprove it), or whether they will corroborate (or challenge) any statements made by the victim, suspect, or witnesses. At this point, a vial of blood or a vaginal swab are just that: A vial of blood or a vaginal swab. More investigation is needed to determine whether they will become evidence in the case. Similarly, it is impossible to know during a victim interview which documented statements, observations, and items of evidence collected will ultimately be introduced as evidence in the case, by the prosecution or defense.
How Victims Recall and Relay Memories
When we are talking about the neurobiology of trauma, however, some behaviors observed by an investigator will pertain to how victims remember and share their memories of the sexual assault. For example, victims may have inconsistencies or gaps in their memories (even significant ones). Their memories may lack any logical order (such as chronology). They may lack any sense of time or context (such as the layout of
Trauma-Informed Interviewing and the Criminal Sexual Assault
Canaff, Lonsway, Archambault a room). Victims may also have "flashbulb memories," particularly at the onset of an attack, where they can recall a great deal of detail, followed by periods of time where they cannot seem to recall many details at all, including details that would seem "unforgettable" to investigators (e.g., whether the suspect sexually penetrated the victim, wore a condom, and/or ejaculated).
But it is critical to note that these observations of how someone recalls, or shares memories are not evidence that the person was sexually assaulted. In other words, they do not help meet the legal elements of a sexual assault offense.
This is because such behaviors may be explained in part by neurobiological process, but they may also be due to other causes. For instance, trauma can certainly cause gaps and inconsistencies in memory, but so can alcohol or drug use, inappropriate interviewing tactics, and many other factors – and it can be difficult or impossible to differentiate what the actual cause might be. 14
Victims can also deliberately withhold certain information, including details about the sexual assault that are particularly shameful or humiliating, or information the victim does not want the investigator to know about (like underage drinking, drug use, or involvement in sex trade). Observed behaviors may therefore be consistent with sexual assault and trauma, and expert testimony may be used to help the jury understand this, because the defense will often point to these behaviors as evidence that the person is not credible and was not sexually assaulted. However, they should not be considered evidence of the sexual assault itself ("Look, he has gaps in his memory – that proves he was raped.")
Who Should Testify: Victim or Investigator?
Another question is whether the victim or the investigator should be the one to testify about certain experiences or observed behaviors on the part of the victim. In almost all cases (and subject to hearsay exceptions), an interviewer can't simply repeat in their testimony what the victim is already testifying to. For one thing, this would be hearsay evidence. But it would also be improper because it's cumulative. The jury will hear from the victim personally, so it is considered unduly prejudicial to hear the same information repeated by someone else. For this reason, the victim's account will almost never be repeated by another person to whom they gave it. The victim will typically be the only one to testify regarding what they experienced and felt, in terms of both sensations and emotions.
14 Dr. Jim Hopper has written detailed responses to several Frequently Asked Questions about alcohol/drug use and the neurobiological processes involved in trauma and memory.
February
2020
On the other hand, the interviewer may be the best person to testify regarding their observations of how the victim behaved during the interview. This may be seen as more credible and compelling by the judge or jury. To illustrate, rather than having the victim testify about her feelings ("I was upset and cried a lot in the interview") the investigator might testify regarding observed behaviors ("She was crying so hard I had to keep waiting to ask her follow-up questions").
Investigator observations of victim behavior may corroborate victim statements about emotional experiences, and this in turn, may challenge misinterpretations of what those behaviors mean. For example, many victims are quiet and non-responsive during their interview, and this can come across as uncooperative or indifferent. However, this may actually be due to the victim feeling hopeless and depressed, and these emotions can be described by the victim in the interview.
Or, the victim may describe the sexual assault in a matter-of-fact way, without any visible display of emotion. This may lead factfinders to question whether the sexual assault really happened, or how traumatic an experience it was for the victim. Yet the victim might have been profoundly traumatized by the sexual assault; it may be that the victim is dissociating during the interview, or that after telling the story so many times the words have lost their emotional impact. Alternatively, the victim might be compartmentalizing the assault emotionally, to maintain composure and equilibrium. If victims are provided the opportunity to describe their emotional experiences, this can demonstrate that the feelings and experiences do in fact line up with the observed behaviors and therefore counter potential challenges to their credibility.
Hypothetical Exchange #2
Once again, we will illustrate what this type of testimonial evidence might look like in a courtroom exchange with the prosecutor. As in the first example, the investigator in this second exchange offers behavioral observations documented during a trauma-informed interview with a sexual assault victim. However, this time, the victim's behaviors are different from many people's expectations.
Prosecutor: While you were asking these questions, what was the complainant, Mr. Garcia's, demeanor?
Investigator: He was actually very calm, and almost conversational when he was describing what happened to him.
Prosecutor: Did that reaction strike you as odd?
Investigator: Me? No, not at all.
Prosecutor: Why not, Detective?
Investigator: Well, because I've interviewed hundreds of sexual assault victims throughout my career. I've seen everything. The fact is, victims react in many different ways. It's not unusual to see crying, or obvious signs of fear on the part of a victim while giving details about the sexual assault. But it's also not unusual to see nervous reactions like laughter, or no emotional expression at all. It just runs the gamut.
Prosecutor: What happened then?
Investigator: Nothing out of the ordinary. Because he was in a calm state, I was able to complete the interview. After that, I gave him a brochure to refer him to our local rape crisis center, and I included details about the interview in my investigative report.
Again, the prosecutor may want to provide further context for these behaviors – perhaps with expert testimony that such behaviors are common among sexual assault victims. This may be helpful for factfinders to better understand the behaviors, and not see them as a challenge to the victim's credibility. Or, the prosecutor may prompt the investigator him/herself to offer additional context, for example that he's seen the same lack of emotion in traumatized fellow police officers or fellow soldiers while serving in the military.
Hypothetical Exchange #3
This alternative strategy is illustrated in a third hypothetical courtroom exchange, where the investigator provides the same type of testimony about victim behaviors observed during a trauma-informed interview, but then goes on to describe the range of reactions seen among sexual assault victims.
Prosecutor: While you were asking these questions, what was the complainant, Ms. Ahmad's, demeanor?
Investigator: She appeared very frightened. She was obviously upset. Her eyes were red and swollen. She had to stop and collect herself several times.
Prosecutor: Is this a reaction you've seen before when interviewing victims of sexual assault?
Investigator: Certainly.
Prosecutor: What other reactions do you sometimes see?
Investigator: I see everything. Really there's no telling how a victim will react when asked to give an account in a trauma-informed interview. One of the things we're trained on about sexual assault is that victims will react in many different ways. We need to be prepared for all of them.
Prosecutor: Why is that?
Investigator: It's because there's no appropriate or inappropriate way to feel or act after being sexually assaulted. Just because a victim presents in a way that might not immediately seem typical or normal, it doesn't necessarily mean they're lying. Everyone reacts differently to trauma, so we need to be ready for any reaction and do our job as best we can.
Note that the investigator does not go into detail about specific victim responses, because testimony is being offered as a fact witness, not an expert witness. An expert witness could give far more detailed information as part of their opinion.
When Does an Investigator Testify?
There are three general ways in which investigators may testify about statements made by the victim or observations of the victim's behavior during a traumainformed interview. First, the prosecutor might call the investigator to testify during the case-in-chief, or in a rebuttal to the defense's case. Then, depending on the circumstances, the prosecutor might ask the interviewer to relay what the victim said or how they appeared or behaved. This is not as likely a scenario because of hearsay and other evidence rules, but it does sometimes occur.
Second, the investigator might be questioned about the victim's behaviors or demeanor on cross-examination. This may only happen if the investigator was initially called to discuss the interview on direct examination. Third, the defense attorney could call the investigator as his or her own witness in the defense's case. In any of these scenarios, what the investigator can testify to will be limited by the rules of evidence, and the rulings of the judge if objections are made.
Information about the interview process may also be admissible, as part of the investigator's testimony. This might include general information about traumainformed interview approaches (or other science-based interviewing techniques), and specific details about how they were used to elicit information in this particular interview. This is entirely case-specific, though; whether or not such testimony would be admitted depends on an almost limitless set of variables.
For a detailed discussion of the investigator's testimony in a sexual assault case, including sample language for both prosecutor and investigator, please see EVAWI's training bulletin, The Investigating Officer's Direct Exam: Strategic and Tactical Considerations to Take Advantage of the IO's Expertise.
(3) Identifying Corroborative Evidence
So far, we have described how trauma-informed interviews can potentially produce evidence in the form of victim statements and investigator observations of victim behavior during the interview. As a third possibility, these interviews can lead investigators to additional evidence that corroborates (or challenges) statements made by the victim, suspect, or witnesses.
Case Illustration
To illustrate, imagine that a man reports being sexually assaulted in the suspect's home, and he recalls that the room had a distinctive pattern of wallpaper. The victim then describes the pattern in detail to the investigator. Armed with a search warrant and the location of the suspect's home, the investigator might identify this wallpaper and photograph it. That photograph is now a piece of corroborative evidence produced as a result of the interview. Whether it's relevant or probative depends on other facts in the case. In this example, the recollection of the wallpaper and subsequent corroboration would definitely be relevant and probative for the prosecution, if the suspect denied the victim was ever in his home, or if he denied knowing the victim at all.
Meeting Legal Elements: Circumstantial Evidence
What legal elements could be corroborated with additional evidence identified as a result of a trauma-informed interview? It depends. And this is where the distinction between direct and circumstantial evidence becomes important.
In the example of the wallpaper, the evidence corroborates that the victim was in the defendant's home at some point. It does not provide direct evidence of a sexual act, or the factors that made that act a crime (e.g., force or incapacitation). Instead, it provides one piece of circumstantial evidence to build the case piece-by-piece. Undoubtedly, the defense will provide an alternative explanation for why the victim knows the pattern of the defendant's wallpaper (e.g., because the victim was invited to the defendant's home and they engaged in consensual sex).
Meeting Legal Elements: Direct Evidence
The victim's statement may also help to identify direct evidence. For instance, imagine a scenario where patrol officers respond to a victim's home in the immediate aftermath of a home invasion and sexual assault committed by a stranger. The reporting officer will almost certainly ask the victim about anything the suspect may have touched or used during the commission of the crime (e.g., condom wrapper, jar of lubricant, tissue, or towel to clean up afterward). At the time, the victim may or may not be able to identify any such objects.
However, it is possible that several days later, during the course of a trauma-informed interview, the victim may recall that the suspect touched a candle on her bedside table, and also that he cleaned himself with a towel, which the victim later threw in her laundry bin. If law enforcement is able to collect the candle, and the crime laboratory identifies prints belonging to the suspect, this provides direct evidence that the suspect was in the victim's bedroom at some point (a legal element for the home invasion). It also provides circumstantial evidence that the suspect committed the sexual assault (by placing him in the room). However, the towel might provide direct evidence of the sexual assault if ejaculate is recovered and DNA testing identifies the defendant as the source of the biological material.
Painting the Whole Picture
When utilized properly, trauma-informed interviewing can yield information about the victim's psychological experiences (e.g., sensations, thoughts, and feelings, or the absence of those in dissociative states), as well as behaviors or lack of behaviors during the sexual assault that may have a physiological basis (e.g., freezing, habit behaviors, tonic immobility). Such information may enable investigators, prosecutors, and others to better understand the victim's perspective and more fully envision what the experience was like for them. The information may also help identify additional corroborative evidence (like the wallpaper pattern, or the candle and towel). In addition, some of the details that victims recall make compelling testimony, because they are so unique or unusual, they have the true ring of authenticity (as in, "you can't make this stuff up").
The information gathered during a trauma-informed interview can also help prevent the victim's experience from being sanitized or minimized. All too often, sexual assaults are described in factual language and technical terms that utterly fail to capture the terror, horror, pain, confusion, and shame experienced by a victim. This is less likely if there is a recording, or a well-documented report, from an interview conducted with a traumainformed approach. If the information is accurately captured and introduced as evidence, the judge or jury will be better equipped to truly understand what the sexual assault was like for the victim.
For more information on audiotaping or videotaping victim interviews, please see EVAWI's training bulletin on Recording Victim Interviews.
Another way that prosecutors can paint the whole picture is to have an expert testify about neurobiology of trauma or common responses of sexual assault victims (including those described as "counterintuitive"). This may help factfinders better understand the victim's testimony in the context of this scientific knowledge. However, the expert's role is not to vouch for the victim's individual testimony; it is to provide background information that a prosecutor might use in closing arguments to show that the victim´s
behavior was closer to the rule than the exception. Also, it is critical that anyone retained as an expert actually understands the science and can explain it clearly to the judge or jury.
Expert Testimony
American law has long recognized the contribution of expert witnesses when legal proceedings involve topics outside the common knowledge of the average judge or juror. In fact, this is exactly how an expert is defined in all American jurisdictions. For legal purposes, an expert is any individual who, through knowledge, skill, experience, training or education, has developed scientific, technical or other specialized knowledge about a subject. 15 The individual is not required to have a particular educational degree or any formal training to be received as an expert in a court of law. Rather, the attorney presenting the expert to the court must simply "qualify" that expert with a series of questions regarding the expertise in question and how the witness possesses it.
Expert witnesses are not supposed to be advocates for either side in a criminal trial; they are (ideally) called simply to give context to other evidence in the case, so the trier of fact can weigh it fairly.
Like all witnesses, experts provide testimony based on legal rules governing admissibility (such as relevance, etc.). This testimony then becomes evidence for factfinders to consider when deciding whether the prosecution has proven their legal elements – or whether the defense has introduced reasonable doubt. The difference is that an expert (unlike lay witnesses) can also provide opinions on evidence or testimony in the case. For instance, if prosecutors want the jury to hear more about a victim's behavior during the interview, an expert can be called and qualified, and then the expert witness will render an opinion about these behaviors and how they might be interpreted. This might include behaviors that are consistent with the known impacts of trauma.
Exchange #4: Expert Witness
It might go something like this:
Prosecutor: Dr. Jones, you've been qualified as an expert in psychology, with particular focus on how trauma impacts sexual assault victims. I'd like to ask you some questions about how victims might react to such trauma, particularly when relating the details in an interview. Would that be okay?
Expert: Of course, that's what I'm here to do.
15 See Federal Rules of Evidence 702.
Prosecutor: First, do you know any of the parties in this case? The defendant, or the complaining witness?
Expert: No, I do not. My job is to educate the jury on typical victim reactions, but it's not to comment on the reactions of any particular person or case.
Prosecutor: Thank you. So, let me ask you a hypothetical question. In an interview with a detective about a sexual assault that happened a few hours earlier, would you expect any particular behavior on the part of the victim? What I mean is, would you expect the victim to be emotional, frightened, or obviously traumatized?
Expert: No, not necessarily. Certainly, they could be. But they might not.
Prosecutor: Would you be surprised if the victim was entirely calm and even lightly conversational, for instance, when describing a sexual attack, even a violent one, that happened recently?
Expert: No, I would not. People react to trauma in many different ways, and that's one of them. There is no right or wrong way.
Prosecutor: Would you be surprised if it was revealed that a victim, even though they were being truthful about the core allegation, initially lied to the investigator about some detail, like what they were drinking or whether they consumed illegal drugs?
Expert: No, not at all. Some victims may withhold information or provide inaccurate information about some detail in the case. Most of the time, this happens because of either shame or fear. Many victims will feel shame if they feel they somehow allowed themselves to be victimized, or if they were taking part in behavior that could be frowned upon, like illegal drug use, or some initial and consensual sexual contact with the suspect. Also, victims are often fearful of either not being believed or not having their case taken seriously if they admit to certain kinds of behaviors.
Prosecutor: Would you be surprised if the victim, while relating details of the crime, got some of those details wrong? For instance, if the victim described the suspect's shirt as red, when actually it was blue?
Expert: Again, no this is not surprising. What we know about the recollection and disclosure of a traumatic event is that it's a process and not a single, uninterrupted and accurate playback. Sometimes they get details wrong, either because they are rushed into answering, or they feel pressured to respond in certain way. Maybe they were presented with leading questions, for example. Or it may be because of the way their brain processed the event, they didn't absorb those details at the time of the assault, or they did remember those details, but now they've faded from memory. Usually over time, accuracy increases, assuming the interactions with the victim are
compassionate and competent. What I mean is, they are interviewed by an investigator who is patient, non-judgmental, doesn't ask leading questions, and who understands the neurobiological effects of trauma on people's perceptions, thoughts, feelings, behaviors, and memories.
Prosecutor: Can you explain?
At this point, the expert could describe some basic neurobiological effects of trauma on behavior and memory, and go on to explain why these common responses are not necessarily indicators of deception. And so on. The defense will then cross-examine the prosecution's expert (and/or call an expert of their own) to undermine these opinions, and thus the credibility of the victim.
Most likely neither the victim's testimony nor the expert's will meet the prosecution's burden of proof on their own. Instead, many sources of evidence are typically needed to corroborate the legal elements, including criminal history checks of the suspect, crime scene diagrams, surveillance videos, 911 calls, other phone calls, text messages, photos and/or videos of the sexual assault. Reports may also be available from the victim's and/or suspect's forensic exam, toxicology analysis, or DNA testing. Investigators will also need to interview the suspect and any witnesses. Prosecutors will then build their case, piece-by-piece, with these various sources of evidence.
Conclusion
Throughout this training bulletin, we have sought to address the question of what type of information might be produced by a trauma-informed interview of a sexual assault victim, and whether it might constitute evidence in a sexual assault case. Our intent is to address possible misunderstandings about whether testimony regarding the neurobiology of trauma – whether it is provided by the victim, investigator, or expert witness ‒ can help prosecutors meet their burden of proof.
As we detail in this training bulletin, such evidence can potentially help meet the legal elements of a sexual assault offense. However, it is unrealistic to think that testimony regarding the neurobiology of trauma ‒ or any other single type or piece of evidence ‒ will be sufficient to secure a conviction on its own. This is especially true because of the deep-seated misconceptions that factfinders often hold regarding sexual assault and the profound skepticism long directed toward sexual assault victims and their disclosures. Testimony involving the neurobiology of trauma may help to overcome some challenges to the victim's credibility (for example, those based on "counterintuitive behaviors"), but it is unlikely to overcome other credibility challenges, such as victim behaviors that are viewed by many people as high-risk or undesirable, even immoral or illegal. Addressing these challenges will likely require additional evidence, and strategy.
Trauma-Informed Interviewing and the Criminal Sexual Assault
February
Canaff, Lonsway, Archambault
Case: Where Investigative Technique Meets Evidentiary Value
2020
We hope this training bulletin is helpful for investigators and prosecutors seeking to understand this field of knowledge and appropriately utilize these techniques. The neurobiology of trauma is not a silver bullet, or a smoking gun. It is just one more piece of the puzzle in a sexual assault investigation and prosecution.
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Revd Ro's Reflection on The Fourth Sunday Before Lent 2022 Year C
1 Corinthians 15.1-11
Luke 5.1-11
Last week on Epiphany Four, we looked at the passage dealing with the presentation of Christ in the Temple in Jerusalem. I said then that at Candlemas there is a saying 'one look back to Christmas then turn towards the cross,' that is certainly true because we are now in the weeks before Lent. In today's gospel reading we see Jesus on the shore of the Sea of Galilee calling the fishermen. I looked at this as told in Mark's gospel on the Third Sunday before Advent. Luke's version differs in that he tells of the miraculous draught of fishes.
What I know of fishing you could write on a postage stamp but I have seen a great shoal of fish. Every year for about twenty years my family stayed in a cottage in Dorset. One year our friends, who owned the cottage, presented us with two fine mackerel caught that morning. 'Come with us this evening to West Bay, there is an amazing congregation of mackerel. It's quite a sight.' We went and looking out to sea from the shore you could see them. They were literally jumping out of the water, silver flashes in the evening sunlight. There were huge shoals of them and it would have been interesting to know just how high the number was.
Our gospel reading is from Luke five. In Luke chapter four he tells us that Jesus was teaching in the synagogues at the start of his ministry. We learn of his revelation in the synagogue in his home town of Nazareth when he reads from Isaiah 61.
'The Spirit of the Lord is upon me, because he has anointed me to bring good news to the poor…'
He follows with these words, 'Today this scripture has been fulfilled in your hearing.' Jesus is telling them he is the anointed one, the Messiah, and that God’s Kingdom has broken into the world. It is a
profound revelation. At first 'All spoke well of him and were amazed at the gracious words that came from his mouth. They said, 'Is not this Joseph's son?'
But this reception does not last, Jesus' next words enrage them.
4.23 'He said to them, 'Doubtless you will quote to me this proverb, "Doctor, cure yourself!" And you will say, "Do here also in your home town the things that we have heard you did at Capernaum." ' 24 And he said, 'Truly I tell you, no prophet is accepted in the prophet's home town.'
Of course they had heard of Jesus' teaching and looked forward to seeing him perform miracles; after all he was their man wasn't he? Jesus makes it very clear that he is doing God's work; he is not there to perform wonderful acts to impress people. And actually it is usual for prophets to be rejected by their own people. That's enough for a crowd to try to kill him.
29 'They got up, drove him out of the town, and led him to the brow of the hill on which their town was built, so that they might hurl him off the cliff. 30 But he passed through the midst of them and went on his way.'
I begin with this because it is already clear that now, right at the beginning of his ministry, things are not plain sailing. There is opposition, there is danger, indeed Jesus is in danger of being killed.
Jesus leaves Nazareth and goes, Luke tells us, to Capernaum, a city on the north western shore of the Sea of Galilee. It is worth pausing to look at the area where Jesus spent time during his ministry.
The Sea of Galilee had several names. It is referred to here as the Lake of Gennesaret in other places the Sea of Tiberias. It was a populous area with nine cities on its shores. The Lake is about 686 feet below sea level and therefore is the lowest freshwater lake in the world. Only the Dead Sea is lower and that is salt water. It lies in a rift valley and ravines run into it. They act as wind channels; that is why sudden storms could rage on the lake as we see in several gospel accounts. It is due to the fact that it is so low that the area around The Sea of Galilee has a tropical climate. It was fertile land and that together with the abundance of fish in the lake meant it was populous in Jesus' day, hence the nine cities around the shore. Luke tells us,
4.31 'He went down to Capernaum, a city in Galilee, and was teaching them on the Sabbath. 32They were astounded at his teaching, because he spoke with authority.'
That is important. Jesus has been baptised by John, he has faced and overcome the temptation in the wilderness, he is filled with the Holy Spirit and he is beginning his mission. Luke tells us that he 'spoke with authority.' That is the authorisation of God. It is there in the synagogue in Capernaum that Jesus heals the man with an unclean spirit. People are naturally astounded. This young rabbi is different.
36 'They were all amazed and kept saying to one another, 'What kind of utterance is this? For with authority and power he commands the unclean spirits, and out they come!' 37 And a report about him began to reach every place in the region.'
Luke is very specific in his detail. Jesus will soon call the fishermen but Simon is not a stranger to him. Here we are told of the healing of Simon's mother in law; Capernaum is Simon's home,
38 'After leaving the synagogue he entered Simon's house. Now Simon's mother-in-law was suffering from a high fever, and they asked him about her. 39 Then he stood over her and rebuked the fever, and it left her. Immediately she got up and began to serve them.'
It is sometime later, after Jesus who has been in Judea, returns to the lake that our gospel passage begins,
'Once while Jesus was standing beside the Lake of Gennesaret,'
Jesus has been alone, teaching and healing now he is ready to call his first followers. We are told a crowd had gathered to hear him. Indeed his fame is spreading far and wide. People wish to hear and see this young rabbi who is different because he teaches with authority and because of his acts of healing. No doubt many people have come hoping for a cure. As Jesus faces the crowd on the shore he realises that he will be more visible from a boat,
'the crowd was pressing in on him to hear the word of God, 2 he saw two boats there at the shore of the lake; the fishermen had gone out of them and were washing their nets. 3 He got into one of the boats, the one belonging to Simon, and asked him to put out a little way from the shore. Then he sat down and taught the crowds from the boat.'
As I have said Jesus knows Simon so there is nothing unusual about this. What seems unusual is that the crowds can hear him clearly. Well this is another phenomenon associated with the Sea of Galilee. Along the shore south of Capernaum there are coves that make natural amphitheatres with similar acoustics. It is possible to stand on the shore and be heard on the hillsides, so the crowds would be able to hear Jesus distinctly from Simon's boat
It is after Jesus has finished speaking that he turns to Simon.
4 'Put out into the deep water and let down your nets for a catch.' 5Simon answered, 'Master, we have worked all night long but have caught nothing.'
That is an unusual command. The fishermen had been cleaning their nets after toiling all night. Night time was of course the best time to catch fish. These men were experts; they knew their trade and had a lifetime's experience. What Jesus was asking didn't make sense according to fishing lore. Look at Simon's words; you can sense the initial consternation. We have been hard at work all night and he must have been thinking we are shattered and I'm longing for bed. But what follows is this,
'Yet if you say so, I will let down the nets.'
Simon knows Jesus, I have said they are not strangers and he knows enough to trust him implicitly and to obey him. It reminds me of Jesus' words in the Garden of Gethsemane, 'Not my will but yours be done.'
6'When they had done this, they caught so many fish that their nets were beginning to break. 7So they signalled to their partners in the other boat to come and help them. And they came and filled both boats, so that they began to sink.'
This is interesting; it is not only the miraculous catch, after working for nothing all night, it is the abundance. It reminds me of the water turned to wine in the huge containers, wine in abundance.
That is the thing about Jesus: he gives life in abundance, blessings in abundance. He turns lives around as he turns nothing into plenty.
Simon Peter's reaction is interesting. Not, how did you do that? No, he has faith in Jesus, he has seen what Jesus can do, he has heard his teaching. This man is special, he is of God; compared to that it is Simon's sense of his own flawed humanity that comes to the fore.
8 'But when Simon Peter saw it, he fell down at Jesus' knees, saying, 'Go away from me, Lord, for I am a sinful man!' 9 For he and all who were with him were amazed at the catch of fish that they had taken.'
We can all think that, all feel like that, I am not worthy. Think of the words of John the Baptist to Jesus. The point is Jesus calls us as we are.
10 'and so also( amazed) were James and John, sons of Zebedee, who were partners with Simon. Then Jesus said to Simon, 'Do not be afraid; from now on you will be catching people.' 11 When they had brought their boats to shore, they left everything and followed him.'
Here we have those words of Jesus, repeated so many times. 'Do not be afraid.' These are not highly educated people, they are not rich, and they are not of high status. They are poor men, flawed human beings, they are like us. Jesus calls them though and without hesitation they draw the boats to the shore and follow him. This is the life changing moment. They are leaving everything they know, they are walking out in faith. Nothing will ever be the same. They will have no home, no security, a life on the road and ultimately a dangerous one and for most it will end in a martyr's death. They take the largest step of their lives these first apostles and their teaching, their spreading of the good news will bring the Christian church to birth.
Jesus calls us too, few of us will leave home or job but we follow Jesus as best we can. One of the presents I received this Christmas was a plant and on the pot it said, 'Bloom where the Lord planted you.' that, I think, sums it up for most of us. Jesus turns our lives around and the lives of all who follow him in faith and trust. As with those first disciples it is our commission to tell others of Jesus' love for them and to show it too.
Jesus is the fulfilment of the scriptures; God's story told throughout the Old Testament. This was God's plan from the beginning. Now these humble fishermen by joining Jesus become part of the story that will come to culmination at the resurrection. This leads perfectly on to the reading from 1 Corinthians. Maybe to understand this passage better we need to look a little further on to what Paul writes in verse 12 onwards.
12 'Now if Christ is proclaimed as raised from the dead, how can some of you say there is no resurrection of the dead? '
People in the pagan world did not believe in resurrection, some Jews didn't either, particularly the Sadducees. That's the first thing to understand, those Jews who did believed in a bodily resurrection on the last day, think of Martha talking to Jesus.
23
Jesus said to her, "Your brother will rise again." 24
Martha said to him, "I know that he will rise again in the resurrection on the last day.” (John 11)
It is when Jesus replies that everything is turned around.
25 'Jesus said to her, "I am the resurrection and the life. Those who believe in me, even though they die, will live, 26 and everyone who lives and believes in me will never die.'
That is the central belief of Christianity; Jesus was raised from the dead. It was a bodily resurrection on the third day and in God's time our perfected bodies will be raised. This is Paul's point, the resurrection of Jesus Christ is central to everything. Without it there is no true Christian belief, as he says at verse 17.
15.17 If Christ has not been raised, your faith is futile and you are still in your sins. 18 Then those also who have died in Christ have perished. 19 If for this life only we have hoped in Christ, we are of all people most to be pitied. 20 But in fact Christ has been raised from the dead, the first fruits of those who have died.'
That is the point, Christ has been raised and he gives a list of witnesses. What follows is like a resumé of Paul's teaching.
15.1 'Now I should remind you, brothers and sisters, of the good news that I proclaimed to you, which you in turn received, in which also you stand, 2 through which also you are being saved, if you hold firmly to the message that I proclaimed to you.'
Paul tells them clearly that he will reiterate the central tenets of the faith passed on to them by him and Peter and all the other witnesses to Jesus Christ.
3 'For I handed on to you as of first importance what I in turn had received: that Christ died for our sins in accordance with the scriptures, 4 and that he was buried, and that he was raised on the third day in accordance with the scriptures,'
Those words 'in accordance with the scriptures' refer to the Jewish scriptures, our Old Testament. Paul is writing before the gospels. The Jewish scriptures were the story of God's people but also God's story, his plan, his promises and Jesus is the fulfilment of them. The Corinthian Church might be new but their roots now go way back into the story of God's people. Here in a few lines Paul talks of Jesus' death, his life given in love at Calvary. He gave his life and won salvation for all who believe. He was buried but on the third day he rose from the dead. Paul wants them to be in no doubt about the truth of the resurrection, the central tenet of the faith. There is a list of those to whom Jesus appeared in bodily form.
5 'and that he appeared to Cephas, then to the twelve. 6 Then he appeared to more than five hundred brothers and sisters at one time, most of whom are still alive, though some have died. 7 Then he appeared to James, then to all the apostles.'
Cephas of course is Peter; James is the brother of Jesus and the leader of the church in Jerusalem. An apostle literally means 'one who is sent' but the apostles are generally considered to be those who had seen Jesus and witnessed to him.
What we have here is a resumé of the growth of Christianity from its beginning in the incarnation, to the teaching of Jesus, his death and resurrection and the spreading of the good news by his followers the apostles. This of course links back to our gospel reading and Jesus' calling of Peter, Andrew, James and John.
8 'Last of all, as to someone untimely born, he appeared also to me. 9 For I am the least of the apostles, unfit to be called an apostle, because I persecuted the church of God'
Paul is the last of the apostles because he was the last to encounter the risen Christ on the Damascus Road. The other link to that gospel story is that God chooses those he wants and it is not always because we are worthy. Peter saw his flawed humanity and Paul expresses this clearly. He is, he says, 'the least of the apostles' because he was the leader of those persecuting the Christians.
'Meanwhile Saul, still breathing threats and murder against the disciples of the Lord, went to the high priest and asked him for letters to the synagogues at Damascus, so that if he found any who belonged to the Way, men or women, he might bring them bound to Jerusalem.'
It is while on the way to continue the persecution that the encounter on the Damascus Road turned his life upside down.
3 'Now as he was going along and approaching Damascus, suddenly a light from heaven flashed around him. 4 He fell to the ground and heard a voice saying to him, "Saul, Saul, why do you persecute me?" 5 He asked, "Who are you, Lord?" The reply came, "I am Jesus, whom you are persecuting.' (Acts 9)
It is as amazing to Paul as it is to us that Jesus chose the very person who was leading the vendetta against his followers.
10 'But by the grace of God I am what I am, and his grace towards me has not been in vain. On the contrary, I worked harder than any of them—though it was not I, but the grace of God that is with me. 11 Whether then it was I or they, so we proclaim and so you have come to believe.'
Paul is quite clear that God has chosen him and he has changed completely, but he is saved through God's grace, freely given. That grace is God's gift to us. We need to do something about it, it is not enough to simply say,' I believe.' Paul has worked hard because the Holy Spirit is strengthening him. We do what we can because God is with us, not in our own strength alone. 'With God's help we will' are central to the answers given at a service of ordination.
Paul is one of a long line of witnesses to the truth of Jesus Christ. Lives need to change to be in accord with the teachings of Jesus. Lives need to be lived in love for him and others. We are part of that process. God is working his purpose out and the new creation will come to fruition and what will continue into that world is love.
‘Bind us together with cords that cannot be broken. Bind us together Lord, bind us together in love.’ Bob Gillman
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Transforming Cultures of (Un)Desirability: Creating Cultures of Resistance.
Loree Erickson
ABSTRACT: One of the most insidious and comprehensive ways to marginalize people is to make them question their loveability, their desirability, their collective worth, and establish social organization that reinforces and perpetuates these sys temic harms; while internalizing dominance and personalizing oppression. This process is what I am referring to when I say cultures of undesirability. Cultures of undesirability involve the narrowing of dominant western cultural imaginary so that marginalized others come to be so often understood and constructed as both "less than" and "too much," if we are understood as persons at all. As strong as cultures of undesirability are, our resistance is stronger. Queercrip porn, an emerg ing form of sexual storytelling, shares and fosters queercrip knowledges, pleasures and imaginings. In this essay, I want to share how queercrip porn highlights the multitude of ways marginalized communities navigate and transform cultures of undesirability, acts as a method for fostering resiliency through building and nur turing our collective worth; and finally, how queercrip porn interrupts dominant cultural and structural ways of thinking, being and organizing that contribute to sexual marginalization and cultures of undesirability.
KEYWORDS: queercrip porn; disability; cultures of un/desirability; resistance and resilience.
Cultures of Undesirability
I want to start off with a poem that Masti Khor, a Toronto-based queer brown
femme crip burlesque artist used in a recent phenomenal performance exploring ritual and self-love. I am only using part of it.
The bud stands for all things, even for those things that don't flower, for every thing flowers, from within, of self-blessing; though sometimes it is necessary to reteach a thing its loveliness, to put a hand on its brow of the flower and retell it in words and in touch it is lovely until it flowers again from within, of selfblessing (Kinnell, 2001, 94).
Masti Khor and I talk a lot about undoing cultures of undesirability. When I speak or hear the words of this poem I am in my bedroom, she is lying in my bed, I am sitting near her. We hold hands as hours are filled with so much shared laughing, crying and raging. Holding hands in and through the lovely parts and the scary parts. Retelling in words and in touch our collective loveliness.
One of the main reasons I started doing this work was because one of the earli est truths I ever learned was that no one would ever want me as a partner because of my disability. This message, while often not stated directly, was echoed and confirmed everywhere around me. While my experience is specific it is not unique; many disabled activists speak to the experience of feeling unwanted as a partner and excluded from romantic and sexual cultures (Siebers, 2008). Stacy Milbern writes, in fact, this has been my whole life — a string of experiences where I am the friend people are secretly very emotionally intimate with, but the one who is not invited to parties, the friend the person is conflicted about loving … It has been an endless struggle to prove and remember worth in a culture that is relentless in its telling of the wrongness of our bodies (2011, np).
We 1 start learning the wrongness of bodies very early on. I'm sure everyone read ing this paper learned these lessons. What are the lessons you have learned about bodies/your body/how bodies relate? I am still unlearning these lessons of wrong ness. It is my go to. It doesn't help that I haven't been asked out on a date in two years. I want to share with you in this space, some of the lessons that I have learned about the supposed wrongness of my body. I would also like to share some of the lessons I have learned from my wheelchair using body, a body that needs, and is marked by asymmetric curves. These lessons are about resistance and other ways of being in the world. What complex and contradictory lessons is your body teach ing you?
From our lived experiences we know that marginalized people are positioned outside the terms of desirability. This often happens through a discourse in which marginalization is seen as the result of isolated personal inferiority rather than a social harm (Waxman, 1994). The frame of personal inferiority, a key component of the medical, charity and eugenic models of disability, perpetuates narratives of asexuality and victimization that dominate mainstream discourses surrounding sexuality and disability (Tepper, 2000). So called "truths" about disabled people 2 are informed by a long history of medical, charity and eugenic models of disability which take up disability, and particular bodies and/or minds, as being in a state of biomedical malfunction (which historically and currently includes many differ ent forms of marginalization) (Withers, 2012). This understanding constructs our needs, lives and desires as outside normativity and therefore unintelligible. Ac cording to this hegemonic story, marginalized people will certainly lead a life full of tragedy and/or pathology. We, who are deemed as too little and too much, are also treated as threats and burdens to those around us as well as to the state. We are consistently reminded that there is something wrong with us, not the systems of social organization that simultaneously enable some and rule out others (Sie bers, 2008). These practices of pathologizing profoundly impact individual bodies, identities, experiences and desires; they also contribute to the creation of cate gories of difference and distinctions occurring along complex and contradictory points of privilege and marginalization. These dominant western cultural imagin ings are part of the institutional and performative cultures of undesirability. The term cultures of undesirability emerges from queercrip, people of color and activ ist communities to name the multitude of ways that systemic harm manifests in our lived experiences such as sexual oppression, violence, both interpersonal and systemic, and exclusion from community (Erickson, 2010; Mingus, 2011; Gud'buy t'Jane, 2011; and Ndopu, 2012).
We encounter and navigate cultures of undesirability everywhere, every time we leave our home, and for many of us even in our homes (if we have secure housing) we are surrounded by understandings of disability, gender, race, sexu ality, class and so much more that construct understandings carrying with them so much violence and normativity. Charity ads which line the walls of buses, ap pear on tv and facebook, are for most people, one of their most common points of encounter with disability. These ads tell us that we have to leave our nonnor mative bodies in order to live a good life, that in order to be whole, we cannot be disabled. Disability and race are thrown together to tell a story that disability is not only something to be pitied, but is downright threatening. This is only one site where cultures of undesirability are revealed and constructed. The amount of abuse and violence in marginalized people's lives is simply staggering (Casteel et al., 2008). Cultures of undesirability work in tandem with prisons, psych wards, and group homes to render marginalized people disposable; thus isolate, punish and pathologize them for deviation. Cultures of undesirability are at play in the total lack of regard for accessibility that occurs when community events lack all kinds of access (financial, physical, social, cultural, etc) and thus exclude any number of communities and community members. As Mia Mingus says when speaking to the ways that we must move beyond thinking about access as a bunch of logistics to cross off a list.
The weight of inaccessibility is not logistical. It is not just about ramps, ASL interpreters, straws and elevators. It is a shifting, changing wall—an ocean—be tween you and I. It is just as much feeling and trauma as it is material and con crete. It is something felt, not just talked about. It is made up of isolation from another night at home while everyone else goes to the party. The fear of being left by the people you love and who are supposed to love you. The pain of staring or passing, the sting of disappointment, the exhaustion of having the same conversa tions over and over again. The throbbing foolishness of getting your hopes up and the shrinking of yourself in order to maintain (Mingus, 2012, np).
I hear cultures of undesirability in conversations about how sad and hard it would be to have a disabled kid, and in the silence of never being asked on dates. The only thing we can hope for is a cure and to stay alive; certainly we are not sup ported to expect large-scale structural change, love, community, justice, and hot sex. I am using the concept of cultures of undesirability rather than "disableism" to speak to experiences of sexual oppression and exclusion in an attempt to keep my analysis open to the complexities of identities, bodies, experiences and social locations that are impacted by the wide scope of cultures of undesirability 3 . I have also chosen this phrase as it has the potential to connect feelings and practices of desiring/being desired to systems of oppression as found in historical and con temporary manifestations of eugenics, economies of desirability as well as prac tices of cultural production. Where do you feel cultures of undesirability?
Cultures of undesirability are far from accidental. In Queer Phenomenology: Orientations, Objects, Others, Sara Ahmed encourages us to not just consider where we are, what we are facing, and what captures our attention, but also the work that brought us to our particular orientations (2006). According to Ahmed, the experience of "feeling at home", or knowing which way we are facing, is about building worlds. This process of building is not casual, accidental or uncomplicat ed. There is a political economy of attention. We are directed in certain directions more than others. We build with histories and are built from and through histories. Ahmed and Eli Clare name the ways both our bodies and the social body are be ing pressed in particular directions leaving impressions on the skin (Clare, 2001). Ahmed refers to these as points of pressure as straightening devices. I had to wear a back brace until I got back surgery in the 5 th grade to straighten my spine. This was a painful process. Yet, no amount of bracing, internal or external, could bring this unruly body in line. THANK GOODNESS.
We are surrounded by understandings of disability that perpetuate and propa gate cultures of undesirability. How often do we encounter images of disability re sistance? Resistance images that capture and reflect our lives in all of their complex splendor and hardship. Why don't we see images that refute us as helpless victims of our bodies, highlighting and eliminating our agency and power. What would the world look like if these were the stories of disability we were surrounded by?
The multitude of ways we build worlds amidst these complex exchanges of limitation and possibility reminds us that we don't only inherit oppression, we also live with, draw on and create legacies of resilience and transformation. This practice of obscuring the production and operation of the dominant culture and knowledge is absolutely connected to maintaining systems of privilege as well as to my concept of sites of shame as sites of resistance. Repetition is powerful. We have taken in and internalized so much of this crap that we need to reteach our selves and each other about our loveliness. If we don't share struggles, passions, and dreams with each other, then we may miss out on powerful imaginings that shift the normative power structure.
Abby Wilkerson's reframing of shame as a part of social control in Disability, Sex Radicalism and Political Agency expanded my thinking about shame to include the ways shame is spun to internalize, naturalize and individualize oppression (2002). The idea of sites of shame as sites of resistance asserts that when we visit the very sites where we feel the most shame, we can learn something important because that shame is produced in order to keep us from accessing those very things about ourselves and our communities that may offer us different ways of being, feeling, imagining, and resisting.
Audre Lorde encourages us to resist silencing, ignoring or hiding these sites of shame; for her we need to spend some time with them, get to know them, flaunt them (1984). By doing this work, we can, as bell hooks encourages us, imagine otherwise (2003, 2010). The concept of sites of shame as sites of resistance can be useful in countering the erosion of marginalized people's individual and collective sense of worth. This erasure is absolutely strategic in the ways it only justifies op pression, but also seeks to limit people's capacity to resist as the forces of individu alization pre-empt oppressed people from getting together to build community and coalition.
Porn
I make porn from this position of "sites of shame as sites of resistance" as a way of engaging with and understanding disability and desirability differently. In many ways, porn (both mainstream and counterpublic) repeats the current dominant power structures in the stories it tells about bodies and how they are valued. In porn, we are often exposed to a fairly homogeneous representation of desirable subjects. Through everyday encounters and moments, a corporeal, background ed know-how emerges that grants to white, settler, cisgender, heterosexual, mid dle-class, non-disabled, masculinity, an ease of moving through the world with a lack of self-consciousness. When this ease is never interrupted, a higher level of sedimentation occurs, meaning that one is more likely to experience the world as given (Ahmed, 2006). This sedimentation is what enables the naturalization of the operation of the dominant ideology, allowing those who fit in a greater capacity to accept the way things are. What becomes evident in these endeavours is the intertwining of the visual with the creation of truth, reality, storytelling and desire.
Stories emerge in the flow of power, and that power flows simultaneously in what Plummer calls positive (i.e., creative, and productive) and negative (i.e., oppressive and restrictive) ways (2007). Power moves through and within lives, situations, "ha bitual networks of social activity" and the "whole negotiated social order" (Plum mer, 2007, 26). When wrestling with questions of what stories are heard, tellable, felt, and believable, and so on, we see power operating on both a personal level and a social level. Some paths are less followed, some stories are not heard as believable, and some expressions of embodiment are not readable through domi nant frames. Certain stories, ones that tend to affirm the way things are and rein force dominant ideologies, are heard and are easier to understand because they are familiar. We have been surrounded by them our whole lives. It may be frustrat ing, but it certainly is not surprising that students who have never encountered queercrip porn are left disoriented. Similarly, nondisabled queer communities' standards of desirability are reflected and nurtured by queer porn that has yet to re-imagine disability, and a lot of other identities that are excluded from the queer porn scene (people of colour/trans women/fat people, and so many more). These stories are in need of some queercrip porn disruption. Queer porn expands the relational fabric in ways specific to the communities engaged in their enactment, but still falls short of re-imagining ways of life that speak to the complexities of an expansive relational fabric.
When marginalized characters are present in porn, we are often only able to be desirable in particular ways. We are regularly hypersexualized, tokenized, and/ or segregated into fetish markets. At the same time, our sexual labour is often under valued (Miller-Young, 2010). We must also question otherness in porn as imagined through disableist, colonialist, patriarchal, nationalist, racist, capitalist and heter onormative frames to reflect dominant imaginings and maintain privilege. Yet, if we stop the engagement there and dismiss porn as simply oppressive or "bad," we miss out on the creative potential of porn. Reframing porn as a technology or as a socially emergent, interactive, dynamic, situated, embodied discursive storytelling practice enables us also to recognize the ways that porn acts as a "fictive discursive practice that produces different conditions of possibility" (Champagne, 1991, 205). This framing means that porn is also a part of power, not somehow outside of it.
I want to use porn's role in producing, sharing, and acquiring sexual knowledge and know-how. Often this knowledge and know-how reflects that which supports
the cultural norms of those in positions of privilege. The skills, knowledge and ex periences of marginalized communities are often left out of mainstream culture (hooks, 1992). This exclusion means there is a lack of representation and resourc es that speak to and supplement marginalized people experiences and skills. We have to develop skills and specific forms of know-how, sexual and otherwise, in or der to navigate and survive in a world that functions through the simultaneous ex ploitation and systemic erasure of bodies determined as either undesirable and/ or hypersexual (Miller-Young, 2010). Sexual stories give us access to languages to articulate feelings, desires, and so on (Plummer, 2007). Storytelling and sharing al low marginalized communities to enter into community, to cultivate and circulate possibility and tactics, and to foster community building (Creative Interventions, nd). In order for stories to be successful; they need strong communities to hear them. Susie Bright, talking about her life as a lesbian sexpert and co-creator of On Our Backs, a lesbian porn magazine started in the mid 1980s, speaks to this inter relatedness of stories and community. She says, the satisfaction of introducing women to the words that describe our sexual lives, to the pictures of our bodies and desires, to the confidence of hearing other women's common and kinky sexual experiences – well, there's been no turning back (Bright, 1998, 15).
As Foucault states, "When we pay attention to the social and cultural history of knowledge, the supposed stability of these conventions and norms is challenged allowing for the production of different or new subjugated knowledges" (1980, 82). I engage with the ways that queercrip porn can be useful as a strategy of survival in the sharing and cultivating of queercrip knowledge, pleasure and imaginings among queercrip communites.
Stories that practice disidentifications and world-making (Munoz, 1999), use arts of life and ways of life to combat our ever shrinking relational fabric (Cham pagne, 1991), and reframe ideologies to disrupt normative ideologies and systems of oppression and leave us disoriented. These disorienting acts not only challenge our individual sense of comfort and familiarity, but also question the mechanisms that enable these feelings in the first place. These examples stress that it is critical to focus on systems rather than identities in positing a vision of transformation and resistance that doesn't just benefit those with relative privilege. This emphasis enables us to attend to the ways that marginalized people can unite in differences, as well as in specific and often shared experiences, creating ample opportunity for coalition and collaboration (Cohen, 1997).
As Powerful as the Culture of Undesirability is, We are Stronger.
I am currently working on a dissertation where part of my research method is col laborating in the production of queercrip porn and interviewing a small group of lovely people who identify as, or with the term queercrip. The stories centered in this project are of queercrip flaunting, survival and flourishing. I want to think, feel, talk, create and share these stories. My work is shaped by Mia Mingus and Stacey Milbern who remind me of the importance of building crip solidarity from a per spective that takes sites of shame as sites of resistance to any project of transfor mation. As Mingus writes, "we will weave need into our relationships like golden, shimmering glimmers of hope—opportunities to build deeper, more whole and practice what our world could look like" (2010, np). I am thankful for the culture of resistance and desirability that marginalized people create every day. I want us to revel in the Sins Invalid clips on youtube and the excellent and moving queer and trans people of color centered performance nights we have in Toronto where folks are vulnerable, fierce and fabulous. I want us to embody cultures of resist ance and resilience by blockading inaccessible public transit when yet again they raise transit fares, or as we occupy government offices when they cut necessary social support, or as we cuddle with a partners and friends. I want us to feel our loveliness in the power, vulnerability, and resilience we express in tears of joy, laughter, and rage.
We need stories that capture what Leah Lakshmi Piepzna-Samarashina and ET Russian call the lust of recognition (2010). Recognizing the hotness in each other's cripness. As we reteach each other of our loveliness with a glance or a squeeze. We need to avoid simply reversing the narratives speaking only to the "positive" side, presenting simplistic purely celebratory narratives of success. Together we can create space for and tell stories that reflect the multifaceted nature of our ex periences.
Endnotes
1
My somewhat fluid and ambiguous usage of "we" and "us" is intentional. It is meant to allow the reader to situate themselves and think about the practices and processes of inclusion and exclusion.
2 I use the term disabled person/people/activists through out this paper. While all lan guage brings with it its own historical cultural baggage, I prefer the term disabled as it highlights and emphasizes the social process which occurs on and through bodies. Also, while I respect "person-first" language as being empowering and important in many communities, for me it still feels like something that you add on to an already established idea of personhood. This notion of personhood often unintentionally and intentionally assumes supposedly neutral social locations, which in fact are often privileged identities made invisible through the processes of naturalization. Therefore I choose to make evi dent the social meaning making that is occurring on and through bodies.
3 For a strategic call to use "disableism" rather than "ableism," please see AJ Withers' web site http://still.my.revolution.tao.ca/node/68
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MANAGING END-USERS' SATISFACTION DURING CAPITAL DEVELOPMENTS BY ADOPTING VALUE ENGINEERING AS PROJECT MANAGEMENT TOOL
Ogbeifun, E 1 , Pretorius, J. H. 2 and Mbohwa, C. 3
University of Johannesburg, Johannesburg.
The burden of translating the end-users' project briefs into the development of functional support facilities that enhance the performance of the core functions of the organisation require the use of dynamic modern project management methods. In the course of developing capital assets, it is inevitable that original designs are modified, some sections redesigned while some facilities or components are out-rightly removed due to budgetary, time or other constraints. It is imperative, therefore, to incorporate the end-users into the development process, so that managing changes, trade-offs, commissioning and project close-outs will be smooth and enhance the achievement of customers' satisfaction. Customers' satisfaction, in the context of this paper, is viewed in the light of how effective and functional the completed facilities enhance the performance of the core functions of the organisation. The case study method of qualitative research was used in this research. The research data were collected through semi-structured questionnaire complemented with interviews. The thematic method was used to analyse the interview data. The client and end-users provided information on the level of their satisfaction with the performance of the capital development unit as well as identified some areas of concern that require improvement. Recommendations made include the use of Value Engineering as a project management tool; considered suitable for the management of design or scope changes and 'trade-offs', in order to improve on the level of customers' satisfaction.
Keywords: End-users, Managing changes, Trade-offs, Customers' satisfaction, Value Engineering.
INTRODUCTION
Translating end-users' project briefs into the development of functional support facilities that enhances the performance of the core functions of the organisation requires the dynamic use of modern project management methods as well as applying the hard and soft skills of project management. Critical areas in this exercise include developing functional but flexible execution documents, adopting progressive procurement method, incorporating the end-users into the development process, managing changes, trade-offs, project commissioning and close-outs in order to achieve customers' satisfaction. Customers' satisfaction, in this context, is viewed in the light of how effective and functional the developed facilities enhance the performance of the core functions of the organization. The efforts of the Capital Project Development Unit (CPDU), notwithstanding, will not yield the desired results
1 firstname.lastname@example.org
3 email@example.com
2 firstname.lastname@example.org
if their output does not serve as a vehicle that will enable the operators of the core functions of the organization to carry out their mandates smoothly in order to achieve the goals of the organisation.
In the course of developing capital assets, it is eminent that the original designs are modified, some sections redesigned while some facilities or components are outrightly removed due to budgetary, time or other constraints. In order to improve on customers' satisfaction, it is important that the customer (end-user) be adequately informed, educated and incorporated into the process of managing the proposed changes. The principle of consensus building embedded in Value Engineering (VE) method (Male et al, 2007) has made the tool most suitable for integrating all stakeholders while resolving problem at any point in the project execution process, so that the end-users can easily accept and use the completed facility (Pemsel et al, 2010).
This paper is part of a wider case study on the Facilities Management (FM) operation in a higher educational institution in Sub-Sahara Africa and advocates the adoption of the principles of Value Engineering (VE) as a project management tool for managing changes during project execution that will facilitate improved customers' satisfaction. Due to ethical considerations, generic names will be used to describe the institution, operational units and officials involved in this research.
THEORETICAL BACKGROUND
The literature reviewed in this section centred on end-users' involvements, performance assessment and value engineering in relation to end-users' satisfaction with the completed physical asset developed for the performance of the core function of the organization.
End-users' involvement
The development of infrastructure for teaching and research requires long term planning. The resulting edifice should be robust, solid and yet flexible so that they can be adaptable for future changes; this infrastructure should be able to serve many generations of end-users. It is important therefore, to involve the current end-users in all stages of the development (for new, rehabilitation or modification projects). Pemsel et al (2010) observes that end-users' satisfaction is the product of the outcome of the project and the way the result is achieved. Thus the, active not passive, involvement of the end-users is the ideal, otherwise the end-users can become hostage, where their opinions do not really matter (Mumford and Sackman, 1975). Two broad areas of concern in infrastructure development that can affect customer satisfaction are management of design or scope changes and orientation or induction of the endusers into the developed edifice (Yeo, 2008). The problems arising from design or scope change, modification of specification and decision on appropriate trade-offs can be managed through the effective and contextual use of the principle of Value Engineering (VE). Through the process of consensus building, the most functional and cost effective alternatives are agreed upon and executed; thus allowing all stakeholders to move progressively from existing situation to the "negotiated representation of the desired situation" (Thiry, 2001, p. 75). Other salient approaches include conducting study tours and workshops, where end-users are exposed to different scenarios of good and not so good projects that are similar to their context (Pemsel et al, 2009). Though, project commissioning and close-outs are scheduled into capital development, when the project is running behind schedule, these laudable
stages are either omitted or hurriedly executed. Nevertheless, the most effective way of enabling the end-users to settle into the new edifice comfortably is to progressively induct or orient them into the fixtures, features and facilities in the new edifice in specific or general orientation exercise (Dvir, 2005; Lowry, 2002). Primarily, the specific orientation or capacity building exercise can be achieved by incorporating the end-users into the installation, testing and commissioning stages; beside familiarising the end-users with the features, they are equally being empowered to operate and manage the features and only resort to the experts in case of major repairs (Berg, 1993; Tay and Ooi, 2001; Lowry, 2002; Potter and Brough, 2004; Lai, 2010). The general orientation should be conducted when the project is complete with all the fittings, fixtures and features in place. This exercise is aimed at educating the endusers on how to use the facilities to execute the core functions of the organisation as well as know what to do during emergency period (Wong and Fong, 2005). This concluding phase, like the 'icing on cake', encapsulates how well the project briefing has been translated into the developed edifice for the performance of the core functions that will facilitate the achievement of the set goals of the institution. Effective end-users' involvement during project execution enables them to 'own' the project and be proud of the resulting edifice including the imperfections (Pemsel et al, 2010).
Assessment of performance
The term, 'Performance measurement', conveys different meanings to different people, agency or units of the same organization. Several management tools have been developed to measure the contribution of the organ providing the support facilities to the effective performance of the core function of the organization and the improvements in the level of customers' satisfaction (Amaratunga and Baldry, 2002; Amaratunga and Baldry, 2003; Pitt and Tucker, 2008).
A common performance measurement tool known as 'balance scorecard', has been described as "the dials in an airplane cockpit: it gives managers complex information at a glance" (Kaplan and Norton 1992, p. 71). It can be used to measure the performance of an organization or unit from four interrelated perspectives by addressing four relevant questions. Adapting the balance scorecard concept of Kaplan and Norton (1992), the four perspectives and related questions can be rearranged as follows:
Financial Perspective: How do we look to shareholders?
Customer Perspective: How do customers see us?
Internal Business Perspective: What must we excel at?
Innovation and Learning Perspective: Can we continue to improve and create value?
The first two perspectives of the balance scorecard could serve as 'balance sheet' for the operators responsible for the development of capital assets to measure the level of satisfaction of their client and end-users, while the last two perspectives and associated questions should serve as 'internal audit' check to know where and how to improve. Furthermore, the Financial Perspective can measure the client's satisfaction on the quality of asset developed weighed against the money invested. On the other hand, the "Customer Perspective" and its accompanying question: "How do customer see us?" can be used to measure the end-users' satisfaction on how functional the facilities, fixture and fittings in the new asset are facilitating their ability to perform the core functions of the organization; especially in terms of "time, quality,
performance, service, and cost" (Kaplan and Norton, 1992, p.73). These contribute to creating value and satisfaction for the end-users.
The operational concerns of the end-user in the completed capital asset include the functional flow of the workplace interface (Carder, 1995, 1997), the quality of the fittings and fixtures and the ease of operation as well as functional escape roots in case of emergencies (Wong and Fong, 2005). The end-users' satisfaction can be measured through realistic evaluation of the quality, functionality and how the completed asset enhances the ability of the end-users in the performance of the core functions of the organization.
Value Engineering (VE)
Some practical description and application of VE include but is not limited to the following:
VE is an innovative thinking methodology that enables creative decision making through good group interaction skills (Thiry, 2001; Abidin and Pasquire, 2007). The process enables the group to systematically define common objectives, functionally prioritise what needs to be done, then creatively identify how best to achieve the desired result (McGeorge and Palmer, 2005; Male et al, 2007).
The principle can be used to resolve problems in any aspect of the built environment industry, manufacturing, health, hospitality and other engineering sectors. It can be used in the construction method, process, product, service system, human resources and management style, (Cheah and Ting, 2005, Bowen et al, 2011; Male et al, 2007). The result exceeds the benefits of the 'iron triangle' of cost, time and quality to include, effective teamwork and improved communication among stakeholders (Fong, 1998; Atkinson, 1999; Cheah and Ting, 2005; Toor and Ogulana, 2010).
The practice of VE in the construction industry is well established in the United State of America, UK and VE application was introduced into Japan, Italy, Australia and Canada in the 1970s (Cheah and Ting, 2005). It is "not widely understood and practiced by engineers in the SA (South African) construction industry" (Bowen et al, 2010, p. 293) and in the Engineering and Built Environment industry in many other African countries (Bowen et al, 2009). A VE session may take the form of 'seminar or workshop that should embrace critical stakeholders of the whole project or those directly connected with the section, equipment, component, fittings, fixture or feature to be reviewed. As a rule, it is recommended that someone not connected or knowledgeable in the profession should be included as participant in the workshop because, the contribution of such neutral person has added value in reshaping the thinking of other participants. Typical VE seminar or workshops follow a 'five-step' principle with each step building on the information and conclusions reached in the previous step. The steps include:
Information phase: This is concerned with the identification and collection of relevant information about the project or problem to be solved;
Functional phase: Through functional analysis of the information, set in order of priority, the cause and effect relationship is determined that enables the project team members to know where to concentrate energy and project resources to meet the customers' requirements or address the problem that was the subject of the seminar or workshop;
Creative phase: This allows participants the opportunity to 'think outside the box' for alternative solutions to the current problem by building on the achievements of the previous step;
Evaluation phase: This requires systematic synthesis of each alternative weighed against the overall (cost, functionality, maintainability, flexibility and other factors) benefit throughout the life-cycle of the project;
Presentation phase: Here the chosen alternative or alternatives that most appropriately addresses the problem is or are developed as a proposal with responsibility matrix and time frame. The presentation should include audit time line to evaluate the success or failure of the proposal (Zhang et al, 2008; Formentini and Romano, 2011).
When the information gathered in the 'information phase' are adequately processed through the instruments of functional analysis, creative thinking and evaluation, the decisions presented in the proposal phase will not be seen as 'imposed' but as having been achieved through collective decision (Cheah and Ting, 2005; Male et al, 2007; Pemsel et al, 2010).
The majority of the literature reviewed has described VE; the procedure, its use in managing the construction project as well as a demonstration of its limited use in the built environment industry in different parts of the world. However, there is yet no evidence of the use of VE in managing design or scope changes or project trade-offs with the active participation of the end-users. This paper, therefore, seek to advocate the use of VE to manage end-users participation in critical decision making during construction processes.
RESEARCH METHODOLOGY
The case study method of qualitative research was chosen as the most appropriate methodology suitable for addressing the research questions and achieves the research objectives. The case study method allows the sourcing of in-depth and accurate information (Lateef, et al, 2010) about a particular situation or phenomenon within its context (Green and Thorogood, 2009); this method allows the researcher to relate with the operatives directly involved in the subject matter being investigated. The research data were obtained through the administration of 'semi-structured' questionnaire complemented with interviews. The participants were drawn from the university administration (client), academics (end-users) and the management staff of the Capital Projects Development Unit (CPD), known as the 'operators'. The information obtained from the operators was corroborated with responses obtained from the client and end-users in order to clarify issues and validate the information obtained.
Though there are no strict rules in literature specifying the sample size in a qualitative research, other than the sample must be truly representative (Green and Thorogood, 2009). However, by including experts in the research area can reduce the number of participants needed in a study (Jette, et al, 2003). The majority of the academics representatives were from the Faculty of Engineering and Built Environment; "This ensures …optimal quality data and minimum dross" (Morse, et al, 2002, p. 18).The principles of member check (Amaratunga et al, 2002), where research information and analysis are recycled back to key informants for confirmation of reported speech and thick description which involves detailed description of the context in which the enquiry took place (Gilchrist, 1992) were applied, to guarantee the validity and reliability of the research information. Further, information from different sources
were compared and sieved to harness the most useful information that answered the research questions and objectives.
THE CASE STUDY, FINDINGS AND RESULTS
The Capital Project Development Unit (CPD), of the university under reference, is charged with the responsibilities of translating project briefs of the respective endusers into fully developed asset suitable for the execution of the core functions of teaching and research. The unit is managed by two full-time professional staff, while others are engaged on project basis. According to a senior officer of the institution, the unit (CPD) adopts the principle of "Top-down middle-up" while considering projects to be executed within each faculty or unit; this system allows for contribution from staff members at the middle level of leadership in the university.
The Director of CPD disclosed, during the interview, that there are two levels of communication structure for consideration and execution of capital projects. They are, the 'University Planning and Development Committee' (UPDC) and the 'Technical Execution Team' (TET). The CPD motivates all capital development proposals to the UPDC for detailed consideration. Projects that meet the requirements are given temporary approval and the funding prospectus forwarded to the university's advancement unit for fund raising. According to the Director, "when the fund is secured substantially and the university is willing to write off the shortfall", UPDC communicates approval to the requesting faculty or unit through CPD. Relevant consultants are commissioned to produce the detailed design and contract documents.
The 'Technical Execution Team' (TET) is made up of CPD, project manager, consultants, contractor, the client, end-users and other project personnel as the occasion demands. An interesting feature at this level is that the number of representatives from the immediate beneficiaries (end-users) of the project is increased to allow for more objective contribution and familiarization with the project. To underscore the importance of the active participation of the end-users, according to the Director, "the client and end-users attends the site meetings, visits the project site and makes objective contributions through the TET". The Dean and one of the Head of Schools occupying the new faculty building confirmed that they usually attend the periodic site meetings. However, they noted that when dealing with design changes, they are not adequately consulted or educated; thus some of the changes undermine the effective performance of their core functions.
Project closeout
In an effort aimed at developing better relationships with the end-users, helping them to settle into their property with relative ease and facilitating its operation and maintenance, the Director opined that strong emphasis is being laid on proper project closeout sessions. He said "at the end of each project, a complete set of the 'As-Built Documents' (ABD) is handed over to the representatives of the end-users and the maintenance unit respectively". To buttress the importance on producing authentic ABD, the Director emphasised that a clause in the letter engaging all consultants read thus: "The final 10% (ten percent) of the full fee payable will only become processed for payment on submission of a project completion report and "as built" drawings, acceptable to University authorized representative". (Ogbeifun, 2011, p. 85). These documents are produced in both hard and electronic copies.
However, some of the end-users of the new faculty building complained that the close-out or commissioning processes need improvements. Some of their complaints include the fact that:
"…they have difficulties relating with some of the features in the drawings and what they are meant to serve; thus hindering the effective performance of their core functions of teaching and research. The Heating, Ventilation and Air-conditioning (HVAC) system in some of the lecture halls are not functioning, within a short period after handing over the project to the faculty. The maintenance unit and the nominated contractors have had difficulties resolving the problem and the capital development unit is yet to find suitable solution."
Further, the Dean observed that, though volumes of drawings are delivered at the handing over stage, they have difficulties relating some of the drawings with the relevant sections of the project. These observations are reflected in the assessment of the performance of CDP by the academics connected with the capital project in this research.
Assessment of performance
The performance of CPD was measured in a 5 point linker scale; where 1= not satisfied and 5= very satisfied. The client and the end-users expressed their levels of satisfaction and this was compared with the self-assessment of CPD. Each respondent provided additional explanations to substantiate their assessments, where necessary. Table 4.1 shows the composition of the respondent, while Table 4.2 show the average score in the assessments for CPD and Fig. 4.1 shows the graphical representation of the assessment.
Table 4.1 Respondents to the Question on Performance Assessment.
(Source: Ogbeifun, 2011)
Table 4.2 Average Score of the Assessment of the Performance of CPD
(Source: Ogbeifun, 2011)
The administration and the academics expressed their satisfaction with the performance of CPD in terms of delivering projects within cost limits and they rated the performance of the unit higher than CPD rated its own performance. The administration, on the one hand, was quite satisfied with the performance of CPD and rated them high in every item. However, the academics (end-users), on the other hand, expressed reservations on the level of consultation with clients during the period of
project execution, especially as this affects the management of changes and trade-offs. Other areas where the division needs improvements include: quality of internal project management and reporting; quality of project delivery; and delivering projects within time schedule. The Director of CPD accepted these observations "as fair representation" of their performance in the present circumstances (Ogbeifun, 2011). Noting that each capital development project is dynamic, the lessons learnt in one project form a vital component in the learning curve that will assist in improving performance in the execution of subsequent projects.
DISCUSSION
Though CPD may have suitable project execution structure and adopts dynamic modern project procurement instruments, they have limited number of (two) full-time professional project personnel. Further, the objective of integrating the end-users in the project development processes is to ensure that the developed infrastructure is suitable for the performance of the core functions that will facilitate the achievement of the goals of the university. The performance assessment results identified the key areas that demonstrate how the CDP's efforts are yet to effectively satisfy the endusers. The active involvement of stakeholders in capital developments follows best practice, where "line function" departments work closely with project personnel from the earliest part of the project to completion phases (Heywood and Smith, 2006). Representatives of the stakeholders that participated at the planning stage should translate into the execution governance for effective implementation (Pemsel et al, 2010).The Dean and some of the Head of School of the faculty building actively participated through the construction processes.
The implications of executing project within budget and the project is also associated with negative observations (table 4.2) suggests that some basic project management systems (such as managing change, trade-offs) were not properly followed (Anbari, 2003). In this regard, adapting the VE method, project managers and the relevant stakeholders resort to roundtable talks to agree on essential 'trade-offs' that will not compromise the strategic importance of the project (Cheah and Ting, 2005; Thiry,
2001; Pemsel et al, 2010). Through the process of consensus building, the most suitable alternatives are mutually agreed on (Thiry, 2001; Male et al, 2007). The low assessment rates of the performance of CPD evidently show the dissatisfaction of the end-users irrespective of the fact that the unit may be working with modern project procurement instrument that is designed to improve on end-users satisfaction.
CONCLUSIONS
Though CPD has made appreciable progress in translating project briefs into the development of functional capital asset, especially integrating the end-users in all the stages, nevertheless, the end-users' assessment of their level of satisfaction of the completed asset is below average (less than 3) (Thiry, 2001; Pemsel et al, 2009). These may be precipitated by the lean full time professional project personnel while others are engaged on project basis; this creates discontinuity in the transfer of knowledge between capital projects. The management of multiple capital projects simultaneously can overstretch the capabilities of two full-time professional staff. Though the end-users have been incorporated into the project development processes, their complaints and assessment of the performance of CDP shows that the end-users have been hostages, where their opinions do not really matter (Mumford and Sackman, 1975). The positive effects of the active involvement of end-users include their ability to 'own' the project and identify with the resulting edifice including the imperfections (Pemsel et al, 2010). Here, the CDP requires the mastery in the use of hard and soft project management skills in order to avoid the negative comments of the end-users as shown in the project close-out section and assessment of performance.
Since it is not feasible to develop the physical asset that was envisioned during the project briefing without changes, it is important that CDP should effectively manage the change processes in order to improve on end-users' satisfaction. As shown in this research, the major areas of dissatisfaction to the end-user had to do with effective communication, management of change and transferring the final project to the endusers. The inherent problems in these processes can be managed through the effective and contextual use of the principle of VE (Cheah and Ting, 2005; McGeorge and Palmer, 2005; Formentini and Romano, 2011). Through the process, dynamic consensus is built to resolve emerging problems before they escalate, thus the most functional and cost effective alternatives are agreed upon and executed; allowing all stakeholders to move progressively from existing situation to the "negotiated representation of the desired situation" (Thiry, 2001, p. 75). Thereafter, the level of disaffections associated with completed projects will be reduced.
FURTHER RESEARCH
In order to improve on the level of consultation and communication with end-users during project execution, as well as improve on the quality of project management and reporting that will facilitate the delivery of project on schedule, the researchers posit that further research be conducted to determine: The effects of 'lean' in-house (fulltime) professional staff on the quality of capital project delivery and the level of satisfaction of the end-users. This is to test if increase in the quantity of in-house professional staff will have positive impact on the quality of project delivery.
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TUI AG Financial Year 2009
Interim Report 1 January – 31 March 2009
Table of Contents
2 Economic Situation
20 Interim Financial Statements
Q1 2009
TUI Group in figures
* ) percentage points
b Sale of majority stake in container shipping successfully closed; book profit of around €1bn realised within the Group.
b Good pricing and load factors thanks to active capacity management in TUI Travel's volume business.
b Later Easter causes weaker first quarter in tourism year-on-year.
b Economic development felt in container shipping.
1
Economic Situation in Q1 2009
General economic situation
The massive downward trend of the global economy continued in the first quarter of 2009. While the effects of the financial crisis were initially felt particularly strongly in the US in 2008, the sharp economic downswing of recent months affected all regions in the world without exception. In the industrialised countries, the recession intensified towards the end of 2008. The strongly export-dependent emerging economies in Asia also recorded a dramatic economic downswing since they were impacted by the slump in demand for consumer goods in the industrialised countries. Due to the worldwide decline in industrial production, world trade also decreased notably.
Special events in the quarter under review
In the first quarter of 2009, TUI AG closed the sale of Hapag-Lloyd AG to 'Albert Ballin' Holding GmbH & Co. KG. The shipping company was sold at an enterprise value of €4.45bn. TUI AG, in turn, acquired a 43.33% stake in the bidding company. The sales transaction created a book profit of around €1bn within the Group.
With the transfer of ownership, TUI AG received an inflow of liquidity of €1.6bn. In order to guarantee the financial stability of the Hapag-Lloyd Group even after the transfer of ownership, TUI AG provides additional credit facilities with a total volume of up to €1.1bn for a limited period at customary market terms and conditions. TUI expects that most of these facilities will be used.
In the first quarter of 2009, TUI Travel PLC and Air Berlin PLC agreed a long-term strategic partnership for their German airline business. The centrepiece of the agreement is for Air Berlin to assume operational responsibility for TUIfly's previous city business as of the 2009/10 winter schedule. Of the 38 aircraft TUIfly intends to utilise as of 2010, 17 aircraft including crews will be chartered to Air Berlin on the basis of a long-term lease agreement. 21 aircraft will continue to fly under the TUIfly brand and be utilised for TUI Deutschland.
In this connection, a cross-shareholding agreement is planned in which TUI Travel PLC will take a 19.9% stake in Air Berlin PLC and vice versa, Air Berlin PLC will take a 19.9% stake in Hapag-Lloyd Fluggesellschaft mbH (TUIfly). If this project obtains antitrust approval, it is to be implemented with economic effect as of 1 October 2009.
Tourism Central operations Discontinued operation Consolidated earnings Net assets and financial position
Other segment indicators Prospects Corporate Governance
Consolidated turnover and earnings
Development of turnover
Divisional turnover
In the first quarter of 2009, turnover by the continuing operations amounted to €3.1bn, down 15% year-on-year. The decline in turnover was attributable to TUI Travel's diminishing business volume, caused by the capacity cuts and the fact that, unlike in 2008, the Easter business was not included. Another reason for the decline in turnover by tourism was the weakening of the exchange rate of the British pound against the euro.
Discontinued operations, which comprised the container shipping activities, recorded a 23% decline in turnover to €1.1bn in the first quarter. This was primarily due to two reasons: the year-on-year decline in freight rate levels of 14% and the year-on-year fall in transport volumes of 15%. On the other hand, the US dollar exchange rate rose by 13% against the euro.
At €4.2bn, total turnover by the TUI Group's divisions fell 17% year-on-year in the first quarter of 2009.
Development of earnings
Underlying divisional EBITA
Divisional EBITA
Operating earnings adjusted for special effects of the continuing operations tourism and central operations (underlying divisional EBITA) decreased by €111m to €-324m year-on-year in the first quarter of 2009, mainly due to the lower profit contribution by tourism.
In the first quarter of 2009, the seasonally negative underlying earnings by tourism totalled €-276m, down €56m year-on-year. The decrease in TUI Travel's operating earnings was driven by the late Easter in 2009 and the adverse impacts of political unrest on tours to the French West Indies as well as Madagascar and Thailand. This affected in particular TUI activities in France and the Nordic countries. In addition, demand in the travel market decreased, as expected, in the first quarter due to the current economic climate. Thanks to active capacity management, however, pricing and utilisation of the committed capacity in all essential volume markets were retained in line with expectations. The hotel sector generated stable earnings in the first quarter. Earnings by the cruises sector were impacted by the start-up losses of TUI Cruises.
Underlying earnings by the central operations fell by €55m to €-48m year-onyear in the first quarter of 2009. The decline in earnings was mainly attributable to profits from the valuation of derivates which were included in previous year's figures.
Underlying earnings by the container shipping operations, reclassified to discontinued operations, were €240m down year-on-year in the first quarter of 2009, mainly due to the 14% decrease in freight rate levels and the 15% decline in volumes year-on-year.
Total underlying earnings by the TUI Group's divisions declined by €351m to €-546m in the first quarter of 2009.
Underlying divisional EBITA: Group
Turnover and earnings
In the first quarter of 2009, the Group had items worth €895m to be adjusted. Reported divisional EBITA accounted for €350m in the first quarter, a significant rise of €648m year-on-year. They included the special income from the book profit realised in the first quarter from the sale of the majority stake in container shipping of €990m.
TUI Travel
TUI Travel – Key figures
In the first quarter of 2009, turnover by TUI Travel decreased 16% year-on-year. The decline in turnover was primarily attributable to the capacity cuts in the volume business and the year-on-year weakening of the exchange rate of the British pound against the euro. Another reason for the decrease in turnover by TUI Travel was that Easter in 2009 fell into the second quarter.
TUI Travel's operating earnings were seasonally negative in the first quarter. They declined by €49m to €-289m year-on-year. Apart from the Easter business not falling into the first quarter, this decline was driven by external factors impacting the travel business for several long-haul destinations and affecting in particular source markets France and the Nordic countries. The French West Indies and Madagascar, characterised by political unrest in the first quarter of 2009, constitute important winter destinations for the French travel market. For the long-haul business of the Nordic tour operators, Thailand, which was also affected by civil unrest, constitutes another key destination.
All volume markets showed a cyclical downturn in demand for holiday tours in the first quarter, as expected. Thanks to active capacity management, however, both pricing and utilisation of the committed capacity were maintained at a high level, despite a decline in booking numbers.
In the first quarter of 2009, TUI Travel had to carry adjustments totalling €75m for special one-off effects. Earnings for the first quarter included in particular the following adjustment items:
restructuring costs of €28m, arising in particular on discontinuing operation of four leased hotel complexes in Turkey and Greece and restructuring tour operator activities in France;
effects of €11m from purchase price allocations, and
one-off effects of €37m, in particular integration costs incurred for the tour operator and incoming activities in the UK and Spain.
Accordingly, reported earnings by TUI Travel decreased by 12% to €-364m.
Central Europe
Northern Europe
Western Europe
Mainstream
Mainstream, the largest sector within TUI Travel, comprises sales of flight, accommodation and other tourism services in the three source markets Central Europe, Northern Europe and Western Europe.
TUI Travel – Mainstream volumes
In the Central Europe sector (Germany, Austria, Switzerland, Poland and airline TUIfly) customer volumes decreased by 22% year-on-year in the first quarter due to the late Easter in 2009 and the capacity reductions in the TUIfly airline. Since quarterly earnings did not include the Easter business, TUI Deutschland in particular generated a lower profit contribution in the first quarter in spite of stronger pricing year-on-year since price-reduced offerings accounted for a lower proportion of the volume sold. TUI Suisse recorded a decline in margins due to the intensification of competition in the Swiss travel market in the first quarter. In Austria, TUI Austria benefited from synergies arising from the merger of TUI and First Choice activities and cuts in hotel commitments on lower customer volumes. TUI Poland, which had achieved considerable growth in the previous year, reported a decline in demand in the first quarter of 2009, in particular due to the weaker exchange rate of the Polish zloty against the euro.
In the Northern Europe sector (UK, Ireland, Canada, Nordic countries and airlines First Choice Airways, Thomsonfly and TUIfly Nordic) customer volumes declined by 15% year-on-year in the first quarter of 2009, roughly matching capacity cuts. The UK recorded strong business in the lates market towards the end of the first quarter, creating margin improvements and a year-on-year increase in load factors. In contrast, the Nordic TUI tour operators saw their business impacted by the slowdown in the economic climate in Sweden and Denmark and unrest in Thailand, a popular winter destination. Canada continued to be characterised by overcapacity in the travel market and again did not achieve a satisfactory performance. The TUI tour operators in this market did not manage to pass the rise in their cost base, in particular fuel costs, on to their customers in the winter season, which constitutes the key season for the Canadian market.
The integration of activities in the UK market continued to progress according to plan and synergies were therefore delivered as expected.
The Western Europe sector (France, the Netherlands, Belgium and airlines Corsairfly, Arkefly and Jetairfly) recorded a decrease of 24% in customer volumes in the first quarter of 2009. Demand in France was affected by the aftermath of civil unrest in Guadeloupe, Martinique and Madagascar, which constitute key winter destinations for the French market. This impacted travel activities in these destinations over a period of several weeks and produced extra costs incurred to bring departed customers back. In the Netherlands, TUI Nederland's performance improved versus prior period, which was characterised by an increase in maintenance costs. TUI Belgium continued to post a gratifying development and achieved year-on-year growth thanks to strong demand in the first two months of 2009, in spite of the change in timing of Easter.
Turnover and earnings
Specialist & Emerging Markets
The Specialist & Emerging Markets sector, which consists of specialist tour operators in Europe, North America and growth markets such as Russia, reported 173 thousand customers in the first quarter of 2009, down 16% year-on-year. The specialist tour operators in Continental Europe recorded a positive development of business. The premium segment in the UK continued to post a positive performance in the first quarter, recording in particular growth in long-haul tours as a result of the integration of the former TUI and First Choice operations. In contrast, TUI Travel business in North America continued to be adversely affected by the slowdown in the US economy in the first quarter.
Activity
The Activity sector, which comprises travel companies offering active holidays in the Marine, Adventure as well as Ski, Student & Sport segments, recorded a slight decline in its business performance in the first quarter. The yacht charter business in North America in particular reported a decrease in demand. The skiing business also saw a weakening of demand and responded by cutting its portfolio, a move that resulted in higher average travel prices in the winter season.
Online Destination Services ODS
The Online Destination Services sector comprises online services and classical incoming services. Online Services reproduced the sound performance achieved in the first quarter of 2008. Due to lower customer numbers and a decline in the excursion business in Spain, earnings by incoming agencies fell slightly year-on-year.
TUI Hotels & Resorts
The Group's hotel companies are pooled in TUI Hotels & Resorts. The sector reported a total of 3.9 million bednights in the first quarter of 2009. Bed occupancy totalled 68% in the first quarter, down 6 percentage points year-on-year. Many hotel complexes, in particular in the Eastern Mediterranean, were not open during the winter months, as planned. The individual hotel groups and regions showed variations in the development of business.
TUI Hotels & Resorts – Key figures
| Turnover | 95.8 | 93.9 + 2.0 |
|---|---|---|
| Divisional EBITA | 12.7 | 13.2 - 3.8 |
| Gains on disposal | – | – |
| Restructuring | – | – |
| Purchase price allocation | – | – |
| Other one-off items | – | – |
| Underlying divisional EBITA | 12.7 | 13.2 - 3.8 |
| Capital expenditure | 20.4 | 50.7 - 59.8 |
| Headcount (31 March) | 14,326 | 13,365 + 7.2 |
TUI Hotels & Resorts posted consolidated turnover growth of 2% in the first quarter of 2009. Both the number of bednights sold in the first quarter and average revenues per bednight rose year-on-year on higher capacity.
In the first quarter of 2009, underlying earnings totalled €13m, down 4% yearon-year. No special effects had to be adjusted for in the first quarter of 2009. Reported earnings were down 4% year-on-year.
TUI Hotels & Resorts
1) Number of owned/leased beds multiplied by open days per quarter
2) Occupied beds divided by capacity
3) Arrangement turnover divided by occupied beds
4) Key figures refer to two owned hotels
Riu
Riu, one of Spain's leading hotel chains, operated 103 hotels in the period under review. In the first quarter of 2009, capacity grew 6% year-on-year to around 3.9 million hotel beds available. Average occupancy of Riu hotels fell by 6 percentage points to 78% due to lower occupancy levels in the regions Jamaica, Cape Verde Islands and Canary Islands. The decline in occupancy was due to the global downturn in economic activity and the reduction in tour operator capacity. Average revenues per bednight climbed by 6%, in particular due to the rise in the US dollar exchange rate. This development resulted in higher translated income for hotels in the US dollar currency region.
Magic Life
Magic Life, the all-inclusive club brand, operated five of its 13 complexes in the first quarter of 2009. Capacity on offer declined year-on-year since two facilities in Tunisia were not open. Occupancy declined by 4 percentage points. Average revenues per bednight grew by 3% year-on-year.
Grupotel
In the first quarter of 2009, 18 of the 34 hotels of the Grupotel chain in Majorca, Menorca and Ibiza were open. Grupotel achieved an occupancy rate of 49% on almost unchanged capacity, up 2 percentage points year-on-year. Average revenues per bednight matched the previous year's level.
Iberotel
In the first quarter of 2009, 17 of the 20 facilities in Egypt, the United Arab Emirates and Germany were open. At 49%, utilisation of Iberotels fell 7 percentage points short of 2008 levels. Average revenues per bednight showed a positive development.
Robinson
Robinson, market leader in the premium club holiday segment, operated 17 of its 22 club facilities in the first quarter of 2009, with five facilities seasonally closed. The considerable capacity expansion year-on-year was caused by the two new
Turnover and earnings
Business development clubs in Morocco and Portugal. Occupancy declined year-on-year. Average revenues per bednight were 1% up year-on-year.
Grecotel
In the first quarter, all 20 holiday facilities of the leading hotel company in Greece were closed.
Dorfhotel
In the first quarter of 2009, Dorfhotels recorded a slight increase in occupancy in combination with a rise in average revenues.
aQi
Occupancy and average revenues of the Schladming hotel, the first hotel of the lifestyle hotel brand for the budget leisure segment, matched expectations.
Cruises
The cruises sector comprises Hapag-Lloyd Kreuzfahrten and the activities currently being built up within TUI Cruises.
Cruises - Key figures
*
)
percentage points
In the first quarter of 2009, turnover amounted to €58m, matching 2008 levels. TUI Cruises was included in the consolidated financial statements as a company measured at equity and besides did not yet realise any turnover in the first quarter.
Underlying earnings by the cruises sector were balanced in the first quarter of 2009, falling €6m below the corresponding figure for 2008. Earnings for the first quarter included proportionate start-up costs for TUI Cruises of €3m. In the first quarter, Hapag-Lloyd Kreuzfahrten generated earnings of €3m, down €3m yearon-year. They were impacted in particular by the termination of an Antarctic trip of 'MS Bremen' due to an occupational accident.
The German cruises market experienced reactions to the tight economic climate in the first quarter of 2009: Marketing of free capacity was slower than in the previous quarter. This affected both the niche market for luxury and expedition cruises of Hapag-Lloyd Kreuzfahrten and the volume market for premium cruises to be served by TUI Cruises with its business operations launched as of May 2009. Hapag-Lloyd Kreuzfahrten recorded a year-on-year improvement in the average rate per day and passenger in the first quarter, but also a decline in passenger volumes. Occupancy amounted to 76% and thus declined slightly compared with the 2008 level.
Central operations
Central operations consists of the corporate centre functions of TUI AG and the interim holdings as well as other operating areas, primarily comprising the Group's real estate companies.
Central operations – Key figures
Underlying earnings by other segments declined by €55m year-on-year to €-48m. The main reason for the decrease in earnings was that earnings in 2008 had included positive profit contributions from the measurement of derivatives.
No adjustments were required in the first quarter. At €-48m, reported earnings by other segments were also €55m down year-on-year.
Discontinued operation
Following the decision, taken on 17 March 2008, to separate container shipping from the Group, this sector was classified as a discontinued operation according to IFRS 5 until the end of March 2009 and was then removed from the TUI Group of companies. The stake in container shipping retained after the sale will only be included in consolidated financial statements at equity as of the second quarter of 2009. The sector comprises the container shipping activities and strategic shareholdings in container terminals.
Turnover and earnings
Development of the trade lanes
Discontinued operation - Key figures - Container shipping
* ) Suspension of depreciation (€74m) and equity measurement of participations of container shipping (€8m).
In the first quarter of 2009, turnover by the reclassified container shipping activities decreased by 23% to around €1.1bn. This development resulted from a 15% decline in volumes and a 14% decrease in freight rates levels, while the US dollar gained 13% against the euro.
Underlying earnings fell by €240m to €-222m in the first quarter of 2009. Expenses of €19m for the purchase price allocation had to be adjusted for in the first quarter. Earnings before adjustment of special one-off effects totalled €749m in the first quarter of 2009, an increase of €748m year-on-year. They included special income from the book profit realised in the quarter under review from the sale of the stake in container shipping of €990m.
Transport volumes Hapag-Lloyd
Freight rates Hapag-Lloyd
In the first quarter, Hapag-Lloyd's transport volume amounted to 1.1m TEU, down 15% year-on-year. Freight rates stood at an average level of 1,317 US dollars/TEU, an accumulated decline of 14% year-on-year.
The decline in transport volumes and average freight rates was driven by the global economic downswing triggered by the financial market crisis. The decrease in the
Far East
Trans-Pacific
Atlantic
Latin America
Australasia global transport volume triggered by the weakening of consumption caused an intensification of competition for the remaining transport volumes and so that freight rates also came under pressure. Moreover, freight rate surcharges declined due to lower bunker prices so that freight rate levels dropped year-on-year.
The transport volume in the Far East trade lane was 15% down year-on-year. Consumer restraint in Europe caused a decline in transport volumes, in particular on the routes from Asia to Europe. In the opposite direction, transport volumes were impacted by declines in production levels in Asia. Freight rate levels were adversely affected by the tightening of competition driven by the decline in market volumes and the reduction in freight rate surcharges resulting from lower bunker prices. They therefore fell 36% below the previous year's level. The decline in average freight rates affected in particular the routes from Asia to Europe.
In the Trans-Pacific trade lane, the transport volume decreased by 11% year-onyear. The decline in transports was strongest on the routes from North America to Asia since demand for commodities and recyclables for production declined in Asia. Freight rates in this trade lane grew by almost 4% year-on-year. This rise resulted, inter alia, from the first-time implementation of bunker surcharges in the course of 2008. Higher freight rates were achieved in particular on the routes from North America to Asia.
In the Atlantic trade lane, transport volumes fell 19% below the previous year's level. Lower consumer spending in North America and Europe resulted in declines in market volumes, reflected above all in lower transport volumes in the automotive, mechanical engineering and chemical industries. Average freight rate levels were 7% down year-on-year. The strongest declines were recorded on the routes from Europe to North America.
The Latin America trade lane recorded a decrease in transport volumes of 11% year-on-year. An adverse effect was primarily caused by declines in the levels of Latin American imports of automobiles, automotive parts and chemicals from Europe as well as lower export volumes of used metal and recyclables to Asia. On intra-regional routes, in contrast, transport volumes grew year-on-year. Freight rates decreased by 10% year-on-year. The decline in freight rates primarily affected Latin American imports and transportation within Latin America.
The transport volumes in the Australasia trade lane were 18% down year-on-year. Both inner-Asian and Oceanic routes were affected by a strong drop in volumes. Here, an overall lower production level resulted in declining transportation of commodities and primary products. Freight rates fell 21% short of 2008 levels. This was attributable to a considerable competition-driven decline in freight rates on innerAsian routes.
Turnover and cost of sales
Tourism Central operations Discontinued operationConsolidated earningsNet assets and financial position
Other segment indicators Prospects Corporate Governance
Consolidated earnings
Consolidated income statement
| € million | | Q1 2009 | Q1 20081) restated | Var. % |
|---|---|---|---|---|
| | | 3,082.9 3,630.8 - 15.1 | | |
| Turnover | | 3,082.9 | | |
| Cost of sales | | 3,164.5 | 3,567.7 - 11.3 | |
| Gross profit/loss | | - 81.6 | 63.1 n/a | |
| Administrative expenses | | 326.2 | 377.2 - 13.5 | |
| Other income/other expenses | | + 5.0 | + 17.6 - 71.6 | |
| Impairments of goodwill | | – | – n/a | |
| Financial result | | - 63.1 | - 93.1 + 32.2 | |
| Financial income | | 40.1 | 8.5 + 371.8 | |
| Financial expenses | | 103.2 | 101.6 + 1.6 | |
| Share of results of joint ventures and associates | | + 3.8 | + 7.6 - 50.0 | |
| Earnings before taxes on income | | - 462.1 | - 382.0 - 21.0 | |
| | Reconciliation to underlying earnings: | | | |
| | Earnings before taxes on income | - 462.1 | - 382.0 - 21.0 | |
| | Interest result and earnings from the valuation of interest hedges | 62.8 | 82.9 - 24.2 | |
| | Impairments of goodwill | – | – n/a | |
| | EBITA from continuing operations | - 399.3 | - 299.1 - 33.5 | |
| | Adjustments | | | |
| | Gains on disposal | – | – | |
| | Restructuring | + 27.5 | + 27.1 | |
| | Purchase price allocation | + 10.5 | + 42.6 | |
| | Other one-off items | + 37.1 | + 15.7 | |
| | Underlying EBITA from continuing operations | - 324.2 | - 213.7 | - 51.7 |
| Earnings before taxes on income | | - 462.1 | - 382.0 - 21.0 | |
| Taxes on income | | - 85.0 | - 114.7 + 25.9 | |
| Result from continuing operations | | - 377.1 | - 267.3 - 41.1 | |
| Result from discontinued operation | | + 791.6 | - 11.5 n/a | |
| Group profit/loss | | 414.5 | - 278.8 n/a | |
| Group profit/loss attributable to shareholders of TUI AG | | 553.1 | - 167.2 n/a | |
| Group profit/loss attributable to minority interests | | - 138.6 | - 111.6 - 24.2 | |
| Group profit/loss | | 414.5 | - 278.8 n/a | |
| Basic earnings per share in € | | 2.18 | - 0.69 n/a | |
1) Adjustments resulting from the introduction of IFRIC 13 and the finalisation of purchase price allocations by 31 December 2008
As container shipping has been classified a discontinued operation according to IFRS 5 since March 2008, earnings by this sector are now shown under the item 'Result from discontinued operation' and not under continuing operations. The year-on-year development of consolidated earnings was primarily characterised by the sale of container shipping in the first quarter of 2009. Overall, earnings by continuing operations are characterised by the seasonality of the tourism business, as a result of which positive earnings are primarily generated in the second and third quarters of any one year.
Turnover comprised the turnover of the continuing operations, i.e. tourism and central operations. In the first quarter of 2009, turnover decreased to €3.1bn year-onyear, down 15%. The decline was mainly driven by the year-on-year weakening of the exchange rate of the British pound and the fall in TUI Travel's business volume. Apart from capacity reductions, the late Easter also contributed to the decline in volume in the first quarter in TUI Travel. Cost of sales also decreased due to the
Gross profit/loss
Administrative expenses
Other income/ other expenses
Impairments of goodwill
Financial result
Share of results of joint ventures and associates
Underlying EBITA from continuing operations
Taxes on income
Result from discontinued operation lower business volume and the weak British pound as well as cost containments which resulted from the integration measures. A detailed breakdown of turnover and the development of turnover is presented in the section 'Consolidated turnover and earnings'.
Gross profit/loss as the balance of turnover and cost of sales decreased year-onyear to €-82m in the first quarter of 2009 (previous year: €63m).
Administrative expenses comprised expenses not directly allocable to the turnover transactions, such as expenses for general management functions. In the first quarter, they totalled €326m, down 14% year-on-year. The decrease in administrative costs resulted from the weakness of the British pound as well as synergy effects caused by the integration of TUI's former tourism division with First Choice.
Other income and other expenses primarily comprised profits or losses from the sale of fixed asset items. At €5m, the balance of income and expenses in the first quarter was 72% down on the corresponding figure for 2008, which had been higher due to income from sale-and-lease-back transactions.
In the first quarter of 2009, no impairments of goodwill were effected.
The financial result comprised the interest result and the net result from marketable securities. At €-63m, the financial result grew 32% year-on-year in the first quarter of 2009 and comprised financial income of €40m (previous year: €9m), which rose substantially year-on-year, and financial expenses of €103m (previous year: €102m), which were up by 1%.
The share of results of joint ventures and associates comprised the share in net profit for the year of the associated companies and joint ventures as well as impairments of the goodwill of these companies. The decline of €4m in the first quarter of 2009 resulted from the year-on-year decline in profit contributions by the joint ventures and associates in TUI Travel and TUI Hotels & Resorts.
In the first quarter of 2009, underlying earnings by the continuing operations totalled €-324m, down 52% year-on-year. EBITA was adjusted for gains on dis posals, restructuring expenses, purchase price allocations and one-off items. The adjustments are outlined in detail in the section on 'Consolidated turnover and earnings' and in the comments on the divisions.
Taxes on income comprised taxes on profits from the business activities of the continuing operations. In the first quarter they totalled €-85m, following €-115m in 2008.
The result from the discontinued operation comprised the reclassified container shipping operations. It totalled €792m, following €-12m in the first quarter of 2008. The substantial rise mainly resulted from the book profit of €990m realised in the quarter under review from the sale of the container shipping. In accordance with IFRS 5, scheduled depreciation of fixed assets has had to be suspended since 31 March 2008. Likewise, at equity measurement of the container shipping participations has had to be discontinued. This resulted in a €66m rise in earn ings in the current quarter. A detailed breakdown is provided in the notes in the section 'Result from discontinued operation'.
Group profit/loss
Minority interests
Operating rental expenses
Interest result
Tourism Central operations Discontinued operation Consolidated earningsNet assets and financial position
Other segment indicators Prospects Corporate Governance
Group profit/loss rose substantially and accounted for €415m in the first quarter (previous year: Group profit/loss of €-279m).
Minority interests in Group profit/loss totalled €-139m for the first quarter of 2009. They related to the outside shareholders of TUI Travel PLC and companies in the TUI Hotels & Resorts sector.
Earnings per share
After deduction of minority interests, TUI AG shareholders accounted for €553m (previous year: €-167m) of Group profit/loss in the first quarter of 2009. As a result, basic earnings per share amounted to €2.18 (previous year: €-0.69) in the first quarter.
Performance indicators
Key figures of the profit and loss statement of the continuing operations
1) on property, plant and equipment, intangible assets, financial and other assets
Operating rental expenses of the continuing operations amounted to €209m (pre vious year: €175m) in the first quarter. The rise in rental and leasing expenses was attributable to the strategic realignment of flight operations (sale-and-lease-back agreements) in the TUI Travel Group. This increase was partly offset by capacity reductions in the flight business as well as currency effects caused by the development of the British pound.
The interest result of the continuing operations totalled €-63m (previous year: €-83m) in the first quarter of 2009.
Net assets and financial position
The Group's balance sheet total decreased by 9% to €15.3bn as against the end of 2008. The changes in the consolidated statement of financial position resulted from the business cycle in tourism. On the other hand, major changes in the Group's net assets and financial position also resulted from the sale of container shipping and the acquisition of an entrepreneurial stake of 43% in 'Albert Ballin' Joint Venture GmbH & Co. KG.
Assets and liabilities
Non-current assets
As at 31 March 2009, non-current assets accounted for 59% of total assets, compared with a share of 44% as at 31 December 2008. Non-current assets grew from €7.3bn to €9.0bn in the period under review. This rise mainly resulted from the acquisition of an entrepreneurial stake of 43% in 'Albert Ballin' Joint Venture GmbH & Co. KG and the loans granted to 'Albert Ballin' Holding GmbH & Co. KG in the framework of the sale of container shipping.
Current assets
As at 31 March 2009, current assets accounted for 41% of total assets, down from 56% as at 31 December 2008. Current assets decreased from €9.4bn as at 31 December 2008 to €6.2bn as at 31 March 2009. The change primarily resulted from the decrease in assets held for sale due to the sale of the container shipping.
Equity
Equity totalled €2.6bn as at 31 March 2009. The equity ratio stood at 17%, compared with 13% as at the end of financial year 2008. Detailed information on the individual changes is provided under 'Changes in equity' in the notes to this interim report.
Provisions
Provisions mainly comprised provisions for pension obligations, effective and deferred income tax provisions and provisions for typical operating risks. As at 31 March 2009 they totalled €1.9bn, down 10% as against 31 December 2008.
Financial liabilities
As at 31 March 2009, financial liabilities consisted of non-current financial liabilities of €4.1bn and current financial liabilities of €1.0bn. As at 31 December 2008, non-current financial liabilities as well as current liabilities amounted to the same. At the end of the first quarter of 2009, net debt totalled €2.6bn, down from €2.9bn as at the end of financial year 2008. Including the net financial position of container shipping, separately shown in accordance with IFRS 5, the sale of this sector brought the Group's net financial position significantly down from €4.1bn to €2.6bn as at 31 December 2008.
Other liabilities
As at 31 March 2009, other liabilities amounted to €5.8bn, down €1.6bn or 21% as against 31 December 2008. The decline resulted in particular from the decrease in debt in combination with assets held for sale due to the sale of container shipping.
Other segment indicators
Capital expenditure
| € million | Q1 2009 | Q1 2008 | Var. % |
|---|---|---|---|
| Tourism | 76.2 | | |
| TUI Travel | 54.7 | | |
| TUI Hotels & Resorts | 20.4 | | |
| Cruises | 1.1 | | |
| Central operations | 2.4 | | |
| Continuing operations | 78.6 | | |
| Discontinued operation container shipping | 60.4 | | |
| Total | 139.0 | | |
Depreciation of property, plant and equipment
| € million | Q1 2009 | Q1 2008 | Var. % |
|---|---|---|---|
| Tourism | 95.5 | | |
| TUI Travel | 73.1 | | |
| TUI Hotels & Resorts | 20.1 | | |
| Cruises | 2.3 | | |
| Central operations | 1.9 | | |
| Continuing operations | 97.4 | | |
| Discontinued operation container shipping | – | | |
| Total | 97.4 | | |
Employees
| | 31 Mar 2009 | 31 Dec 2008 | Var. % |
|---|---|---|---|
| Tourism | 63,204 | | |
| TUI Travel | 48,667 | | |
| TUI Hotels & Resorts | 14,326 | | |
| Cruises | 211 | | |
| Central operations | 403 | | |
| Continuing operations | 63,607 | | |
| Discontinued operation container shipping | 7,382 | | |
| Total | 70,989 | | |
Tourism
Prospects
For 2009 the International Monetary Fund (IMF, World Economic Outlook, April 2009) has revised its previous forecasts. The Fund currently expects a decline of 1.3% in global gross domestic product and thus the most comprehensive recession since the end of the Second World War. Experts consider a substantial recovery in the second half of the year to be unlikely. Rather, they expect a continued – albeit in some cases slower – contraction of the world economy for the remainder of the year and presume that economic activity will pick up relatively moderately in 2010. For the US, the losses in the value of financial and property assets and the uncertain perspectives in the labour market are expected to result in further declines in private household spending. This development is also forecast for the Eurozone; however, recessionary tendencies may slow down somewhat in the second half of the year in this region. In the light of the persistently weak demand in the industrialised countries, the economy is not expected to pick up in the emerging countries in the next few months, either.
The UNWTO (World Tourism Barometer, January 2009) expects the tourism market to stagnate or decline by up to 2% for the overall year 2009. The forecast may have to be further revised downward if the current recessionary tendencies should aggravate.
In the first quarter of 2009, the persistently difficult economic environment in TUI Travel's volume business resulted in weaker incoming bookings, as expected. Booked turnover in TUI Travel's Mainstream business decreased 5% year-on-year in the winter season, with customer volumes down 14% year-on-year on 16% less capacity. For the summer season, booked turnover is 13% and customer volumes 15% down year-on-year. At the same time, TUI Travel has reduced its capacity for the 2009 summer season by 14%. This active capacity management has proven its worth in the year to date. Restrictive capacity management secured load factors and sound pricing in the winter season. For the forthcoming summer season, TUI Travel also expects to be able to achieve the planned pricing and load factor targets in an overall declining market. While adverse earnings effects were recorded in the first quarter of 2009 due to external factors impacting the travel market in individual destinations, the business performance in the rest of the year will benefit from the sustainable synergies from the integration of tourism activities. Following a further upgrade in the first quarter of 2009, these synergies will account for 200m British pounds in the final phase.
TUI Hotels & Resorts continues to expect stable earnings year-on-year for the current financial year. It remains to be seen whether the current softening of bookings for Mexico caused by the 'swine flu' will have a lasting effect.
Due to the start-up costs for TUI Cruises to be expected for financial year 2009, earnings by cruise activities continue to be expected to fall considerably short of the previous year's level.
Based on the current earnings estimates for TUI Travel, TUI Hotels & Resorts and Cruises, the TUI Group expects tourism, its core business, to continue to post a stable development of operating earnings. The planned capacity cuts are expected to help avoid a margin risk for the summer business.
Discontinued operation
Continuing operations/Group
Tourism Central operations Discontinued operation Consolidated earnings Net assets and financial position
Other segment indicatorsProspects Corporate Governance
Concerning the global demand for container transportation, the IHS Global Insight research institute has adjusted its forecast from previous year downward and currently expects a decline of 3% (IHS Global Insight, March 2009). Here, too, a further deterioration of earnings cannot be ruled out in the light of the current negative economic forecasts.
Hapag-Lloyd recorded a first quarter, which fell short of expectations and conti nues to expect a considerable decline in earnings year-on-year due to lower volumes and a fall in average freight rates. The share of results of joint ventures and associates to be included in the consolidated financial statements as from April 2009 following the completion of the sale of the container shipping will therefore be negative.
Overall, the Executive Board expects earnings by the TUI Group's continuing operations (tourism and all central operations) to decline in financial year 2009 as a result of the reduced business volume in tourism and the persistent weakness of the exchange rate of the British pound.
In the light of the expected negative at equity profit contributions by container shipping, going hand in hand with a stable development of tourism, underlying earnings by the TUI Group for 2009 are expected to fall below the level generated in the completed financial year 2008. Further adverse effects on the development of earnings may arise from the repercussions of the current financial and real market crisis on operative business.
Reported consolidated earnings will be positive in 2009 due to the decrease in integration expenses in tourism and the gains on disposal from the sale of container shipping and will improve significantly year-on-year.
Corporate Governance
In the period under review, the composition of the boards of TUI AG changed as follows:
As at the end of 31 December 2008, Jan Kahmann, Uwe Klein and Ilona SchulzMüller left the TUI AG Supervisory Board. With effect from 2 January 2009, Petra Gerstenkorn, Ingo Kronsfoth and Anette Strempel were appointed new Supervisory Board members by resolution of the Hanover district court. With effect from 1 January 2009, Frank Jakobi became a member of the Presiding Committee while Andreas Barczewski and Henry Sieb became members of the Audit Committee as per the same date. With effect from 27 February 2009 Ms Gerstenkorn was elected Deputy Chairwoman of the Supervisory Board by the Supervisory Board.
The current complete composition of the Executive Board and Supervisory Board is indicated on the Company's website (www.tui-group.com) where it has been made permanently accessible to the public.
The Executive Board
Interim Financial Statements
Income statement of the TUI Group for the period from 1 January to 31 March
1) Restatement as a consequence of the application of IFRIC 13 and the purchase price allocations finalised until 31 December 2008
Condensed statement of comprehensive income of the TUI Group for the period from 1 January to 31 March
Statement of financial position of the TUI Group
1)
1) Restatement as a consequence of the application of IFRIC 13
Condensed statement of cash flows
Condensed statements of changes in equity
For the period from 1 January to 31 March 2009
For the period from 1 January to 31 March 2008
Notes
Accounting principles
In accordance with IAS 34 'Interim Financial Reporting', the Group's interim financial statements as at 31 March 2009 were published in a condensed form compared with the consolidated annual financial statements. They were based on the historical cost principle, the only exception being the accounting method applied in measuring financial instruments.
As a matter of principle the interim financial statements as at 31 March 2009 were prepared in accordance with the same accounting and measurement principles as those applied in the preceding consolidated financial statements as at 31 December 2008.
In addition, the following standards and interpretations revised or newly adopted by the IASB were mandatory as of the beginning of financial year 2009:
IFRS 8: 'Operating Segments'
Amendments to IAS 1: 'Presentation of Financial Statements'
Amendments to IAS 23: 'Borrowing Costs' concerning removal of the option of capitalising borrowing costs
IFRIC 13: 'Customer Loyalty Programmes'
Amendments to IFRS 2: 'Share-based Payment' concerning the definition of vesting conditions and cancellations
Amendments to IAS 32: 'Financial Instruments: Presentation' and follow-up amendment to IAS 1: 'Presentation of Financial Statements' concerning puttable financial instruments and obligations arising on liquidation
Amendments to IFRS 1: 'First-time Adoption of International Financial Reporting Standards' and IAS 27: 'Consolidated and Separate Financial Statements' concerning the determination of the cost of an investment in a subsidiary, a jointly controlled entity or an associate
Annual improvements project
IFRS 8 replaces the previous provisions of IAS 14 on segment reporting. The main amendment is that the structure of segment reporting follows the reporting structure internally used by the chief operating decision makers (management approach). In addition, disclosures on geographical regions and major customers are exclusively required for the preparation of annual financial statements.
The present interim financial statements also reflect the amendments to IAS 1 concerning the presentation of the financial position and financial performance for IFRS-based financial statements. Accordingly, a consolidated statement of comprehensive income for the period is now presented, and the statement of changes in equity is shown as a separate element of the financial statements.
The statement of comprehensive income for the period comprises the consolidated profit and loss and the other comprehensive income, which corresponds to income and expenses directly recognised in equity. On top of the previous pre sentation, the statement of financial position shows an additional column listing the values as at the beginning of the comparative period in the event of retrospective restatements.
The amendments to IAS 23 now requiring capitalisation of borrowing costs do not impact the financial position and financial performance since the TUI Group already exercised the previous option of capitalising borrowing costs.
Accounting for customer loyalty programmes (e.g. air miles) was adjusted to the requirements of IFRIC 13. The amount of proceeds allocated to the award credits is therefore now measured at their fair value and the fair value is deferred from turnover until the credits are redeemed. Application of this interpretation does not have a material effect on the TUI Group's earnings. The effects on the consolidated statement of financial position items are presented below:
Effects of IFRIC 13 on the consolidated statement of financial position
| Deferred tax asset | + 0.4 | + 0.4 + 0.4 |
|---|---|---|
| Equity | - 0.9 | - 0.8 - 0.8 |
| Provisions | - 4.0 | - 4.0 - 3.2 |
| Other liabilities (including deferred revenue) | + 5.3 | + 5.2 + 4.4 |
The mandatory application of all other amendments to or improvements of standards and interpretations listed above did not give rise to any major effects on the TUI Group's financial position and financial performance.
Basis of consolidation
The consolidated financial statements included all major subsidiaries in which TUI AG was able to directly or indirectly govern the financial or operating policies such that the Group obtained benefits from the activities of these companies.
The interim financial statements as at 31 March 2009 included a total of 43 domestic and 672 foreign subsidiaries, besides TUI AG.
Since 1 January 2009, one newly established tourism company has been included in consolidation while two tourism companies have been deconsolidated due to a merger or reduction in business activities. A total of 47 companies were removed from consolidation as against the end of 2008 due to the completion of the sale of container shipping in the first quarter of 2009.
Acquisitions – divestments
In the present financial statements, the purchase price allocations of the Active Safary Group, the Destination Florida Group, the Gullivers Group and Your Sporting Challenge Ltd., acquired in the first quarter of 2008, were finalised within the period of twelve months from the acquisition date allowed under IFRS 3. These final purchase price allocations did not give rise to any major effects on goodwill.
On 23 March 2009, TUI AG sold its entire container shipping operations. All shares in Hapag-Lloyd AG were sold to 'Albert Ballin' Holding GmbH & Co. KG, an indirect subsidiary of the 'Albert Ballin' GmbH & Co. KG consortium. By the end of March of the current financial year, container shipping generated turnover of €1,118.9m and earnings after tax of €-197.9m. The 47 subsidiaries were sold at an enterprise value (without real estate) of €4.3bn. After deduction of the cost to sell, the sale resulted in overall positive earnings after tax of €989.5m in the first quarter of 2009.
Deconsolidation balance sheet of container shipping
The assets and liabilities of container shipping carried as at 31 December 2008 were shown in separate balance sheet items in the balance sheet for 2008.
TUI AG indirectly acquired an entrepreneurial stake of 43.33% in 'Albert Ballin' Joint Venture GmbH & Co. KG, the sole shareholder of 'Albert Ballin' Holding GmbH & Co. KG.
Discontinued operation
In accordance with the provisions of IFRS 5, container shipping had to be carried as a discontinued operation until the end of March 2009. The assets and liabilities therefore had to be shown in separate balance sheet items until the disposal date.
The discontinued operation comprised the container shipping activities and participations in the container terminals in Altenwerder and Montreal, Canada.
Result from the discontinued container shipping operation
The result from the discontinued operation comprised the operating income and expenses of container shipping and the profit from deconsolidation until the disposal date.
Result from discontinued operation container shipping
| | | Container shipping | |
|---|---|---|---|
| € million | | Q1 2009 | Q1 2008 |
| | | 1,118.9 1,451.2 | |
| Turnover | | 1,118.9 | |
| Cost of sales | | 1,267.5 | 1,430.9 |
| Administrative expenses | | 25.8 | 30.2 |
| Other income/other expenses | | - 0.3 | + 5.4 |
| Financial income | | 5.8 | 3.8 |
| Financial expenses | | 28.1 | 6.7 |
| Share of results of joint ventures and associates | | – | + 5.6 |
| Earnings before taxes on income | | - 197.0 | - 1.8 |
| Taxes on income | | 0.9 | 9.7 |
| thereoff deferred tax expenses | | 0.4 | 8.8 |
| Earnings after taxes on income | | - 197.9 | - 11.5 |
| Post-tax gain on disposal/deconsolidation | | 989.5 | – |
| Result from discontinued operation | | 791.6 | - 11.5 |
| | Reconciliation to underlying earnings: | | |
| | Earnings after taxes on income | 791.6 | - 11.5 |
| | Taxes on income | 0.9 | 9.7 |
| | Interest result and earnings from the valuation of interest hedges | 22.3 | 2.9 |
| | Impairments of goodwill | – | – |
| | EBITA from discontinued operation1) | 814.8 | 1.1 |
| | Adjustments: | | |
| | Gains on disposals | - 989.5 | – |
| | Purchase price allocation | 19.0 | 19.1 |
| | Other one-off items | – | - 1.7 |
| | IFRS 5 effects | - 66.0 | – |
| | Underlying EBITA from discontinued operation | - 221.7 | 18.5 |
1) Earnings for the first quarter 2009 are presented in accordance with IFRS 5, taking account of the suspension of depreciation/amortisation and at equity measurement. In order to enhance comparability of underlying EBITA, this earnings effect was additionally included in the adjustments for the discontinued operation.
The year-on-year decline in turnover of the discontinued container shipping operation was attributable to lower transport volumes and reductions in freight rates, a trend that was at least partly offset by the development of the US dollar exchange rate. With the cost of sales falling less than proportionately, overall earnings by container shipping fell considerably short of the comparable amount for 2008 in the first quarter of the current financial year.
The assets and liabilities of the discontinued operation, shown separately as at 31 December 2008, were disposed of due to the deconsolidation of container shipping. The financial liabilities allocable to container shipping totalled €1.34bn (previous year: €1.28bn) as at the end of March 2009.
Cash flows from operating, investing and financing activities of the discontinued operation
(1) Cost of sales and administrative expenses
Notes on the consolidated income statement
The year-on-year development of the Group's earnings situation was essentially characterised by the sale of container shipping in the first quarter of 2009. The consolidated income statement of the continuing operations reflects the seasonality of the tourism business, as a result of which positive operating earnings are primarily generated in the second and third quarter of any one year.
The decline in turnover was mainly driven by the year-on-year weakening of the exchange rate of the British pound. For TUI Travel, turnover also declined due to the reduction in offerings resulting from active capacity management, with sound pricing and load factors. In addition, the turnover from the Easter business was shifted to the second quarter of 2009 due to the late timing of Easter in April 2009.
While TUI Hotels & Resorts recorded a slight increase in turnover year-on-year, turnover by the cruises sector matched the 2008 level.
The cost of sales decreased by €403.2m year-on-year. Apart from effects of the weak British pound, this development was also due to lower business volumes and cost savings achieved as a result of the integration implemented in the framework of the merger with the First Choice Holidays Group.
Administrative expenses also fell by €51.0m. This development was mainly attributable to the weak British pound. However, administrative expenses also benefited from synergies now delivered.
The cost of sales and administrative expenses comprised the following items:
Rental and lease expenses
The increase in rental and lease expenses was attributable to the TUI Travel Group's strategic realignment of flight activities (sale-and-lease-back agreements). This rise was partly offset by means of capacity reductions in the airline business as well as currency effects caused by the development of the British pound.
Personnel costs
Depreciation/amortisation/impairments
(2) Other income/ Other expenses
(3) One-off items by sector
The reasons for the decline in depreciation/amortisation/impairments included the weakness of the British pound and effects counteracting the rise in rental and lease expenses due to the strategic realignment of airline activities.
Other income/Other expenses
The positive development of the financial result was mainly attributable to the considerable improvement in the financial position of the continuing operations following the sale of the maritime assets to Hapag-Lloyd AG beginning in the second quarter of 2008. A further positive effect was caused by the year-on-year overall decline in interest rates. Moreover, the financial result for 2008 had also comprised expenses related to the measurement of derivative financial instruments.
The tax income arising in the first quarter was attributable to the seasonality of the tourism business.
In addition to the disclosures required under IFRS, the consolidated income statement comprises a reconciliation to underlying earnings. The adjustments show deconsolidation income as gains on disposal, events according to IAS 37 as restructuring measures and any resulting effects on EBITA as purchase price allocations. This reconciliation also includes the expenses for one-off items. They totalled €37.1m (previous year: €15.7m) and exclusively related to TUI Travel. These expenses resulted in particular from the integration of the British and Spanish tour operator and incoming activities of the TUI Travel Group and expenses incurred in flight operations.
Notes on the consolidated statement of financial position
The changes in the consolidated balance sheet as against 31 December 2008 were characterised by the seasonality of the tourism business. Major changes to the Group's financial position also arose from the sale of container shipping and the acquisition of an entrepreneurial stake of 43.33% in 'Albert Ballin' Joint Venture GmbH & Co. KG as well as the granting of loans to the new container shipping group.
As against 31 December 2008, both trade receivables and other receivables as well as other liabilities rose seasonally due to an increase in advance payments in tourism.
Assets held for sale
Liabilities related to assets held for sale
Other assets included aircraft assets held for sale of €96.0m (previous year: €46.0m), the assets of Societé Investissement Aèrien S.A. (Casablanca, Morocco) acquired in 2008 and in particular yachts and apartments held for sale.
The increase in the balance sheet item 'Investment in joint ventures and associates' was largely attributable to the acquisition of the 43.33% stake in 'Albert Ballin' Joint Venture GmbH & Co. KG.
The loans granted to the new container shipping group resulted in a rise in noncurrent loans in the item 'Trade accounts receivable and other receivables'.
Including the net financial position of container shipping, shown separately in accordance with IFRS 5, the Group's net financial position improved substantially from €4.08bn as at 31 December 2008 to €2.58bn due to the sale of this sector.
Changes in equity
Group equity rose in particular due to the book profit from the sale of container shipping since consolidated earnings were positive overall at €414.5m. Earnings from continuing operations included in consolidated earnings were negative due to the seasonality of the tourism business.
The (after-tax) losses from effective cash flow hedges, which have to be recognised directly in equity totalled €109.7m in the period under review.
Equity decreased further due to the resolution by TUI Travel PLC to pay a dividend.
As against 31 December 2008, equity rose due to the rise of the US dollar and British pound in the period under review.
TUI AG directly offset the difference between the acquisition cost of minority interests and the proportionate carrying amount of the net assets of the subsidiary against other revenue reserves. Due to acquisitions of minority interests in tourism, equity declined by €9.2m.
In the framework of long-term incentive programmes, TUI Travel PLC compensates its employees in the form of stock option schemes served with shares. The stock option schemes resulted in an increase in pre-tax equity of €5.3m without effect on profit or loss in the period under review.
Contingent liabilities
As at 31 March 2009, the TUI Group's contingent liabilities totalled around €316.5m (as at 31 December 2008: around €47.6m). Contingent liabilities were carried at the level of potential availment as at the balance sheet date. They mainly related to the provision of guarantees in favour of Hapag-Lloyd AG.
Other financial commitments
Financial commitments from operating lease, rental and charter contracts
| Nominal value | 3.2 | 5.3 |
|---|---|---|
| Fair value | 2.6 | 4.3 |
The decline in nominal value of €2.1bn mainly resulted from the sale of the container shipping.
Remaining Other financial commitments
| Order commitments in respect of capital expenditure | 2.8 | 3.6 |
|---|---|---|
| Other financial commitments | 0.8 | 1.5 |
| Total (nominal value) | 3.6 | 5.1 |
Order commitments for investments declined by €0.8bn to €2.8bn, above all due to the sale of the container shipping. As at 31 March 2009, order commitments for investments in flight operations totalled €2.7bn (nominal value) or €2.1bn (fair value).
Remaining other financial commitments decreased by €0.7bn to €0.8bn as at 31 March 2009. This decline was primarily attributable to the acquisition of an entrepreneurial stake in the new container shipping group.
Notes on the consolidated statement of cash flows
Based on after-tax Group profit/-loss, the cash flow from operating activities was established using the indirect method. Cash and cash equivalents rose by €370.8m to €2,416.3m due to the sale of container shipping in the period under review.
The inflow of cash from operating activities declined by €334.7m to €59.8m yearon-year. This decrease was mainly attributable to the economic downturn, affecting shipping in the form of lower transport volumes and declining freight rates. Due to active capacity management in TUI Travel, on sound pricing and solid load factors, the business volume in tourism decreased.
The inflow of cash from investing activities totalled €317.2m in the current year. This amount included the net inflow from the sale of container shipping, the granting of loans and the acquisition of a 43.33% stake in 'Albert Ballin' Joint Venture GmbH & Co. KG offset with payments made for investment projects already launched. These payments related to the capital increase in TUI Cruises GmbH, hotel complexes and downpayments on containers already ordered.
The cash outflow from financing activities amounted to €147.1m. This outflow was largely attributable to the interest (€98.7m) and the dividends for TUI AG's hybrid bond (€25.9m).
Cash and cash equivalents in the British pound currency area rose by €17.0m due to changes in exchange rates.
Segmental indicators
Application of IFRS 8 resulted in a slight variation in the presentation of segment reporting as against the consolidated financial statements of 2008. The Group's real estate companies and all non-allocable business activities (in particular holdings) are now shown under 'other segments'. Any consolidation effects are shown separately. The previous year's figures were restated accordingly in order to enhance comparability. The introduction of IFRS 8 did not affect the Group's segmentation or measurement basis.
Turnover by divisions and sectors for the period from 1 January to 31 March 2009
| Tourism 3,068.2 4.1 | 3,072.3 |
|---|---|
| TUI Travel 2,914.4 413.4 | 3,327.8 |
| TUI Hotels & Resorts 95.8 101.8 | 197.6 |
| Cruises 58.0 0.0 | 58.0 |
| Consolidation – - 511.1 | - 511.1 |
| All other segments 14.7 42.3 | 57.0 |
| Consolidation – - 46.4 | - 46.4 |
| Continuing operations 3,082.9 0.0 | 3,082.9 |
| Discontinued operation container shipping 1,118.9 – | 1,118.9 |
Turnover by divisions and sectors for the period from 1 January to 31 March 2008
Earnings before interest, taxes and impairments of goodwill by divisions and sectors (EBITA)
| Tourism | - 351.2 | - 306.0 |
|---|---|---|
| TUI Travel | - 363.8 | - 325.1 |
| TUI Hotels & Resorts | 12.7 | 13.2 |
| Cruises | - 0.1 | 5.9 |
| Consolidation | – | – |
| All other segments | 7.6 | 43.5 |
| Consolidation | - 55.7 | - 36.6 |
| Continuing operations | - 399.3 | - 299.1 |
| Discontinued operation container shipping | 814.81) | 1.1 |
| Consolidation | – | – |
| Total | 415.51) | - 298.0 |
1) including follow-up effects of IFRS 5: suspension of depreciation (€73.7m) and of income of investments measured at equity (€7.7m)
In the first quarter of financial year 2009, earnings before interest, taxes and impairments of goodwill (EBITA) comprised the following results from joint ventures and associates: tourism €3.8m (previous year: €7.6m) and shipping in the previous year €5.6m.
Underlying earnings before interest, taxes and impairments of goodwill by divisions and sectors (EBITA)
Reconciliation to earnings before taxes on income of the TUI Group
Related parties
Apart from the subsidiaries included in the consolidated financial statements, TUI AG, in carrying out its ordinary business activities, maintained indirect or direct relationships with related parties. All transactions with related parties were carried out at arm's length on the basis of international comparable uncontrolled price methods in accordance with IAS 24, as before. The investment by Riu Hotels S.A. mentioned in the notes on the consolidated financial statements as at 31 December 2008 was retained unamended at the closing date for the interim financial statements. More detailed information on related parties is provided under 'Other notes' in the notes on the consolidated financial statements for 2008.
Reservation concerning future-related statements
The present interim report contains various statements relating to TUI's future development. These statements are based on assumptions and estimates. Although we are convinced that these forward-looking statements are realistic they are not guarantees of future performance since our assumptions involve certain risks and uncertainties that may cause actual results to differ materially from expected results. This may be due to market fluctuations, the development of world market prices for commodities and exchange rates or fundamental changes in the economic environment. TUI does not intend to and does not undertake any obligation to update or revise any forward-looking statements in order to reflect events or developments after the date of this report.
Financial Calendar 2009
* scheduled
Imprint
TUI AG
Karl-Wiechert-Allee 4 30625 Hanover Germany
Phone+49.511.566-00
Fax +49.511.566-1901
email@example.com
Internetwww.tui-group.com
The German version of this report is legally binding. The Company cannot be held responsible for any misunderstandings or misinterpretation arising from this translation. Both versions are available on the web: www.tui-group.com
TUI AG Karl-Wiechert-Allee 4 30625 Hanover Germany
|
Reel Life Dancer in the Dark
Alan A. Stone, M.D.
Dr. Alan A. Stone is the Touroff-Glueck Professor of Law and Psychiatry at Harvard University.
Lars von Trier, a highly successful Danish television producer, filmmaker, and cinema rebel, is full of psychological contradictions. The life story he tells journalists could have been written for the movies and is only slightly less melodramatic than his films. His Danish parents met in Sweden, where they were escaping the Nazis—his father because he was Jewish, his mother because she had been in the resistance. Both parents—devout atheists and nudists—dragged their children to nudist camps. His mother, a lifelong communist, told him on her deathbed that his deceased Jewish father was not his biologic father. Von Trier spent 9 years on a therapist's couch, "coming up with one enormity after another about my mother and the way she let me down" and struggling to make sense of his childhood without knowing that crucial family secret. He claims that his mother also revealed his biologic father's identity and urged that he seek him out. He so did after his mother's death, and the man wanted nothing to do with him.
No real artist—and von Trier is one—can do without his personal taste. Film certainly can be and is always to http://www2.eclinicalpsychiatrynews.com/scripts/o...chDB&searchDBfor=art&artType=full&id=aqc030311118 (1 of 4) [3/27/2004 7:25:40 AM]
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Article
November 2003 • Volume 31 • Number 11
Opinion
some extent a collective endeavor. But it cannot be leaderless. The auteur in particular is alone in his moment of creativity even though he may dream that his muse is the others. When roused from that dream to full wakefulness, the artist's ego usually takes over.
Von Trier says that a film should be "like a rock in one's shoe." By that standard, his two films that are best known in America, "Breaking the Waves" and "Dancer in the Dark," are certainly successes. Both have as their protagonists eccentric and victimized women—direct descendants of Jane Campion's mute Ada, who spoke to us through her piano.
Like Picasso, von Trier has an extra-large ego, and his art has a sadistic streak. Hard as it may be to accept, sadism can be an important element of creativity. Many celebrated filmmakers, including Hitchcock, thrived on a carefully titrated dosage of sadism—often against women (as in "Psycho" and "The Birds"). Hitchcock's hallmark is the sense of cruel danger lurking behind the commonplace. The sadistic creators of such art push characters and audience beyond the limits of their psychic security system; one either turns away or accepts the "rock in one's shoe."
Though von Trier is neither Picasso nor Hitchcock, he is one of Europe's most provocative and adventurous filmmakers. When "Dancer in the Dark" won the Palme D'Or at Cannes to the boos, cat whistles, and jeers of the audience, von Trier got just what he wanted. His films do not pander to escapism or to the audiences' settled expectations about entertainment. In "forcing the truth out of [his] characters" he makes them and his audience suffer. But surely it was not "truth" that the Cannes jury saw in "Dancer in the Dark." They gave von Trier the prize because they felt the full force of his quirky personal artistic taste and welcomed his assault on their jaded sensibilities. "Dancer in the Dark" is a film that is also a critique, an all-out assault on cosmeticized movies that is intent on offending the consumers of glamorized, adrenalized, beautified film.
The first assault is leveled at his heroine, Selma, played by the Icelandic rock star Bjork. Selma escapes from the horrors of her reality into the saccharine fantasy world of "The Sound of Music." Selma is a selfless and childlike saint, and in the course of the film she will suffer and die for her son.
Robert Wise's "The Sound of Music," which the critic Pauline Kael described as capable of turning people "into emotional and aesthetic imbeciles," infects "Dancer in the Dark." Von Trier's heroine Selma, who has few material possessions, keeps singing "My Favorite Things." The New York Times ran a waggish headline: "From the Voice of Dogma Comes the Sound of Music." But that voice is filled with withering irony. "The Sound of Music" belongs to the class of films that von Trier and his heroine Bjork will here decosmeticize.
Von Trier begins by literally depriving Bjork of any cosmetics, and by making her wear thick, ugly glasses. His handheld camera cruelly exaggerates every imperfection in his actress' face and complexion. The Bjork one sees on posters in the windows of music stores is unrecognizable as von Trier's Selma. Von Trier takes us beyond the ugliness to an unglamorous beauty that becomes visible on the screen.
Bjork was already an international rock star before her role in "Dancer in the Dark." She had done it all in music—from recording folk songs at age 11 to punk rock to atonal rock to Icelandic jazz to the soul-jazz of her MTV hit, "Human Behavior." Von Trier could not have found a better collaborator for a musical; she is a rebel in her own right, quite willing—indeed eager—to test the limits of convention, musical or otherwise. Together they have made a movie musical that mocks the genre at every turn. But it is a strange kind of mockery: absurd, ironic, and far from dismissive.
"Dancer in the Dark," for many reasons, including its style, is more like an opera than the musical it mocks. But, in fact, it does not comfortably belong to any genre—which is what one has come to expect of a von Trier film. His original idea was to have no transitions: Bjork would just break into song. But he settled for the device of having the music and dance sequences as the moments when Selma escapes from painful reality. The dancing is consistent with the inventive style of the film. It flows naturally out of an elaboration of Bjork's spontaneous http://www2.eclinicalpsychiatrynews.com/scripts/o...chDB&searchDBfor=art&artType=full&id=aqc030311118 (2 of 4) [3/27/2004 7:25:40 AM]
movements and body language rather than the choreographer's independent invention. In striking contrast to these emotionally expressive moments, which Selma creates as her musical, there are recurring rehearsals for the role of Maria in an amateur production of "The Sound of Music." There, Selma is pathetically wooden, unable to act, unable to sing or dance, and increasingly unable to see. Each rehearsal is an exercise in humiliation.
"Dancer in the Dark" is a unique achievement, but not a classic that will serve as a model for future film musicals. Directors may learn from it and be emboldened by it, but I doubt that even von Trier and Bjork could or would make another. They reportedly fought for 3 years in a titanic clash of egos, and the enterprise came close to collapse and bankruptcy. They parted on less than friendly terms and Bjork refused to join von Trier on the stage when the awards were handed out at Cannes.
Bjork, as von Trier now tells the story, is not an actress. She lived and experienced the role of Selma and could not turn it on and off; he had to keep the cameras rolling for hours while she stayed in character rather than filming for minutes with breaks and retakes. The fact that she was living the role made her obstinate and difficult to direct. But it also is what gives power to von Trier's absurd plot, and keeps the story from simply careening into farce. A young European woman told me that she sat in the theater transported and weeping, moved by this film as by nothing before. Although I did not share her reaction, I think I understand it. "Dancer in the Dark" is preposterous because it uses old movie clichés, and yet it is deeply moving because of Bjork's incredible performance.
Selma, a single mother and an immigrant from communist Czechoslovakia, is going blind; her son has inherited the same condition and will go blind too unless she can pay for an expensive operation. But Selma cannot tell anyone she is going blind, she cannot ask anyone for money, and the doctor in this melodrama does not believe in using his surgical skills to save a child's sight without being paid in advance. When, after unbelievable hardship, she has saved enough for the operation, her kind neighbor, a policeman, takes advantage of her blindness to steal her money. Then in a scene both unbelievable and yet unbelievably powerful, the guilt-ridden policeman, who doesn't have the courage to commit suicide, forces Bjork to kill him to get her money back. For this "crime," which no one understands but Selma and the audience, American justice will sentence her to the gallows. This happens in a surreal courtroom scene, where the diminutive Joel Grey, bringing with him memories of "Cabaret," makes an unexpected but brilliant appearance in the most telling production number in the show.
Everything goes wrong for Selma in life and in that courtroom. She escapes into her beloved musical genre, and all the otherwise grim participants in the trial begin to dance to the tune she sings. It sounds farcical, and yet Bjork and Grey make one feel the pathos—not a pathos of reality but the pathos stored in our screen memories of all those musicals that von Trier is mocking.
This melodrama does not stop in the courtroom. We follow Selma to prison, where she is befriended by a woman guard. Selma has left her twice-earned money at the clinic where her son is to have his operation. Saving his sight will complete her only purpose in life. But her uncomprehending friends discover where the money is and plan to use it to pay a good lawyer to save her from execution. With all their sensible calculations about her best interests, they are ready to destroy the person they hope to save. Uncertain of the outcome, Selma sings and dances her via dolorosa to the gallows accompanied by the guard. The narrative moves inevitably to her execution with every hope of clemency failing. Then, in the moment before she dies—the vision of hope—her friend and coworker Kathy breaks into the execution chamber to hand Selma her son's eyeglasses; he has had a successful operation and no longer needs them. A moment of joy and transcendence passes before the trap door opens. Von Trier's screenplay is a string of clichés that draws its pathos from those very clichés—not from real life but from the medium it mocks.
The emotional power that makes people weep in "Dancer in the Dark" comes not from its truth but from its art. We weep most of all because Bjork, either because she was inspired or was forced by von Trier, gives a performance unlike any other I have ever seen.
http://www2.eclinicalpsychiatrynews.com/scripts/o...chDB&searchDBfor=art&artType=full&id=aqc030311118 (3 of 4) [3/27/2004 7:25:40 AM]
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CITY OF MOORE/MOORE PUBLIC WORKS AUTHORITY RFP#1516-005
NOTICE IS HEREBY GIVEN that the City of Moore/Moore Public Works Authority will receive sealed Request for Proposals in the office of City Clerk, Purchasing Division, City of Moore, Moore City Hall, 301 North Broadway, Suite 142, Moore, Oklahoma 73160 for PUBLIC WORKS ONDEMAND CONSTRUCTION SERVICES. The R F P 's will not be accepted after 2:00 p.m., CST, Friday, October 30, 2015.
The RFP will be a three (3) step process: 1. Review of contractor's submitted qualifications by the selection committee members that meet the minimum requirements of the qualifications/proposal documents; 2. A scoring matrix review by the selection committee members of all submitted qualifications which may or may not result in contractor in-person interviews; and 3. The sealed proposals of the top ranked construction firms will then be opened and reviewed. The sealed unit price proposal will be for the following: typical roadway drainage, traffic signal and emergency construction services. The pay items will be established by the City of Moore. These sealed unit price proposals will then become the basis of any on-demand construction services requested by the City from top ranked construction firms.
There will be a mandatory Pre-Proposal Meeting held at 2:00 p.m., Monday, October 26, 2015, Moore City Hall, City Council Chambers, 301 North Broadwa y, Moore, Oklahoma 73160.
Responses will be made in accordance with the specifications, and these specifications are on file and available for examination, or may be obtained from the office of the Purchasing Agent, Moore City Hall.
Ten (10) bound copies & one (1) PDF copy on CD or thumb drive, addressed to the Office of the City Clerk, Purchasing Division will be submitted, and that copy must be sealed and clearly marked with the name of the bidding vendor and identified as follows:
"RFP #1516-005" "PUBLIC WORKS ON-DEMAND CONSTRUCTION SERVICES"
The City of Moore/Moore Public Works Authority reserves the right to accept the proposal which, in the judgement of staff and Trustees of the Authority, is the best for the application of needs, materials and services as covered in the specifications, and determined the best, overall, for the good of the City of Moore/Moore Public Works Authority.
The City of Moore/Moore Public Works Authority reserves the right to reject any and all responses; waive irregularities and formalities in any proposal submitted. In addition, the City of Moore/Moore Public Works Authority will reserve the right to contract with one or more parties to perform identical services as deemed appropriate.
The City of Moore/Moore Public Works Authority is an equal opportunity employer.
Carol Folsom, Purchasing Agent (405) 793-5023
The City of Moore Moore, Oklahoma
Request for Proposals
"Public Works On-Demand Construction Services"
RFQ #1516-005
Due Date: October 30, 2015
2:00pm Central Standard Time
City Clerk's Office
301 N. Broadway Avenue
Moore, Oklahoma 73160
A. INTRODUCTION Overview
The City of Moore is currently seeking proposals from interested parties for the contracting of public works on-demand construction projects or construction tasks including, but not limited to: various on-demand construction services such as roadway repairs, rehabilitation, reconstruction or new construction; sidewalk repair, reconstruction or new construction; multi-modal trail repair, reconstruction or new construction; storm water drainage repairs, reconstruction or new construction; traffic signal repair, rehabilitation and reconstruction; emergency construction services that would include snow/ice removal, storm damage debris collection and removal and emergency traffic control; and any other special projects as deemed necessary by the City of Moore or The Moore Public Works Authority (hereinafter referred to as the City of Moore).
Additionally, hourly labor and equipment installation rates will be established for select projects where the City of Moore will provide and have delivered the construction materials ready for contractor installation.
This RFP will be a three (3) step process: 1. Review of contractor's submitted qualifications by the selection committee members that meet the minimum requirements of the qualifications/proposal documents; 2. A scoring matrix review by the selection committee members of all submitted qualifications which may or may not result in contractor in-person interviews; and 3. The sealed unit price propos ls of the top ranked construction firms will then be opened and reviewed. The sealed unit price proposal will be for the following construction tasks: typical roadway, drainage, traffic signal and emergency construction services. The pay items will be established by the City of Moore. These sealed unit price proposals will then become the basis of any on-demand construction services requested by the City from top ranked construction firms.
B. ELIGIBILITY AND PRE-QUALFICATION OF CONTRACTORS
The contractors shall be currently pre-qualified contractors with Oklahoma Department of Transportation or the City of Oklahoma City, and shall be in good standing with the City of Moore. Contractors shall include in this proposal packet: a completed Pre-Qualifications Form, description of their com pan y' s c apabilities and a sealed proposal of construction unit prices of established items. The City of Moore will evaluate all proposals received and does reserve the right to waive any informalities or irregularities and select the proposal that best suits the needs of the City of Moore.
C. INSURANCE REQUIREMENTS
Contractors will be required to meet insurance requirements of not less than the following limits;
General Liability $5,000,000.00
Auto Liability
$1,000,000.00
The City of Moore and The Moore Public Works Authority will be required to be named as additional insured on all policies.
D. CONTRACT TERM
The term of this agreement shall be one (1) year and shall commence with the signing of the contract. This agreement will be reviewed annually and approved by the City of Moore and the Moore Public Works Authority for continuance. After the initial term of the Contract, it may be renewed by the City and the Contractor for additional two (2) years terms upon the same terms and conditions set forth in the bid documents, up to maximum of five (5) annual extensions, by executing a written renewal agreement between the parties. The renewal agreement is to be completed 60 days before the contract expires.
A default shall occur on the part of the Contractor if any proceeding is instituted by or against the Contractor seeking to adjudicate a bankruptcy, insolvency, seeking liquidation, or any law relating to bankruptcy, or insolvency, or if Contractor shall admit its inability or fails to pay its debts generally or at any time should fail, refuse or neglect to supply enough properly skilled workmen, equipment, proper materials, or if he should fail to make prompt payments to subcontractors of the Contractor for materials or labor, or disregard laws, ordinances or the instructions of the City of Moore, or otherwise be guilty of a substantial violation (default) of any provision of this Agreement which Contractor shall have failed to address promptly after service of 24 hours of written notice thereof by the City of Moore. The City may, without prejudice to any other right or remedy, terminate the employment of Contractor for Contractor's default with and take possession of the work and of all materials, and finish the work by whatever method the City of Moore may deem expedient. In such case, Contractor shall not be entitled to receive any further payment from the City of Moore.
The City of Moore or the Contractor may also terminate the contract for convenience with 90 days written notice to each party.
E. RATE SCHEDULE
Rates for labor, materials, fuel, equipment, etc. as well as construction unit prices identified by the City of Moore will be established by sealed bids at the time of the contract. Rates may not exceed to the U.S. Labor Department's U.S. City Average South West Region C.P.I. for the preceding calendar year.
F. RATE SCHEDULE ADJUSTMENTS
The contract rates may be adjusted, once per year on the contract anniversary date, at which time the contractor and the City of Moore may negotiate rate adjustments, to compensate for cost increases in materials, fuel, insurance etc. These material adjustments must be documented to the full satisfaction of the City of Moore. Labor rate adjustments or cost of living increases for labor may not exceed the U.S. Labor Department's U.S. City Average South West Region C.P.I. for the immediately preceding calendar year. If the Contractor and the City of Moore cannot agree on the amount of a contract renewal, the Contractor or the City of Moore may elect terminate the contract. If the parties elect to terminate the agreement the contractor shall be bound to complete any projects currently under construction or for a term of no longer than 90 days at the discretion of the City of Moore at the current contract rates.
G. LABOR REQUIREMENTS
The Contractor's labor wages should meet or exceed Davis / Bacon prevailing wages and shall be based on: General Wage Decision OK 15002. (Attachments included are: U.S. Department of Housing and Urban Development Form 4010 and OK 150022). Labor rates shall be in conformance with the above standards on any project that incorporates direct federal funding to a City of Moore project. Contractors will be required to submit weekly certified payrolls documenting these payroll payments.
The contractor shall submit resumes of the proposed project manager and superintendent for the base crew. If the contractor has a surveyor on staff or a contractual agreement for services with a surveying firm, please submit those qualifications as well. The City of Moore will require preemployment and random drug screens of these employees. The City of Moore will also require that the employees submit to background checks for felony convictions, sex crimes, and US resident status. The contractor will be required to remove and replace any employee that does not pass the background checks, drug tests, or perform to the satisfaction of the City of Moore.
H. FEDERAL REQUIREMENTS
All responding contractors must meet all Federal requirements for the duration of the contract and must meet record retention requirements for a three year period after contract closeout. On federally funded projects the contractor must comply with all applicable federal requirements including but not limited to: Civil Rights, Affirmative Action, Employment Restrictions, Conduct, Lobbying, Copyrights, Religious Activities, Housing and Community Development (HCD) Act of 1974, a nd all applicable Office of Management and Budget (OMB) Circulars.
A. GENERAL Scope of Work
The work will consist of a selected on-demand construction services contractor building various projects or construction tasks though out the City of Moore as task orders are issued by the Assistant City Manager or his designee. These municipal projects including but not limited to: various on-demand construction services such as roadway repairs, rehabilitation, reconstruction or new construction; sidewalk repair, reconstruction or new construction; multi-modal trail repair, reconstruction or new construction; storm water drainage repairs, reconstruction or new construction; traffic signal repair, rehabilitation and reconstruction; emergency construction services that would include snow/ice removal, storm damage debris collection and removal and emergency traffic control; and any other special projects as deemed necessary by the City of Moore or The Moore Public Works Authority (hereinafter referred to as the City of Moore). Some projects will be federally funded by the Department of Housing and Urban Development (HUD) and will adhere to federal regulations. When assigned a construction project or construction task, the contractor or contractors will be required to provide cost estimates on these specific projects and cooperate with the city in meeting these estimates. The Contractor will provide all necessary construction crews with adequate staffing to complete assigned projects.
The Contractor's proposal will need to include all equipment that will be provided to complete the assigned construction projects or construction tasks. This equipment shall all be in good operating condition. The contractor shall also provide its own tools, fuel, safety equipment, communications equipment, and manually operated tools, local or mobile field office, and office equipment.
All work and materials will comply with the current version of the City of Oklahoma City Standard Specification for the Construction of Public Improvements with all amendments and revisions included (hereafter referred to as "standard specifications") and the City of Oklahoma City Construction Standard Details (hereafter referred to as "standard details"). When these standard specifications and standard details do not address certain construction tasks or certain required construction materials, then the Oklahoma Department of Transportation Standard Specifications for Highway Construction will govern.
B. ROADWAY ON-DEMAND CONSTRUCTION SERVICES
When authorized by a specific work order issued by the City of Moore, the on-demand construction services contractor shall provide all equipment, fuel, tools, barricades, materials, necessary appurtenances and labor to repair, rehabilitate, reconstruct or construct new roadways, sidewalks or multi-modal trails. Work orders will be developed by the city and the scope of work negotiated with the selected on-demand construction services contractor. The contractor shall be paid for this work at the unit prices established with this proposal. If the contractor must procure specialized or emergency equipment on the City of Moore's behalf to complete this work, the contractor shall be allowed a ten percent markup on the actual costs with acceptable documentation being provided to the city.
Roadway, Sidewalk and Trail Construction
Roadway, sidewalk and trail construction consists of labor, equipment, material and all other essentials required to repair, rehabilitate, remove and replace, or to construct new with the established unit cost pay items of this proposal. Work generally will include streets, sidewalks and trails in established neighborhoods throughout the City of Moore. Occasionally, work will include a principal arterial street. Additional task may include:
* Provide a pre-construction video of the area including the surface condition of the streets, sidewalks or trails.
* Full time project manager and that will be in the field daily that works closely with the city staff.
* Daily safety meetings and safety inspections.
* Daily progress meetings with city staff, project inspector and construction crew members.
* Provide for all compliance with FEMA, OKC, ODOT, ODEQ or OEM regulations as required.
* Provide a bond for the protection of the City of Moore against claims during construction.
* Attend meetings with the City, FEMA, OKC, ODOT, ODEQ, OEM and other agencies as necessary.
* Provide a video detailing the areas after the final pass of the cleanup.
C. STORM WATER AND DRAINAGE CONSTRUCTION SERVICES
When authorized by a specific work order issued by the C y of Moore, the on-demand construction services contractor shall provide all equipment, fuel, tools, barricades, materials, necessary appurtenances and labor to repair, rehabilitate, reconstruct or construct new storm water structures, collection systems, ditches or channels. Work orders will be developed by the city and the scope of work negotiated with the selected on-demand construction services contractor. The contractor shall be paid for this work at the unit prices established with this proposal. If the contractor must procure specialized or emergency equipment on the City of Moore's behalf to complete this work, the contractor shall be allowed a ten percent markup on the actual costs with acceptable documentation being provided to the city.
Storm Water and Drainage Construction
Storm water and drainage construction consists of labor, equipment, material and all other essentials required to repair, rehabilitate, remove and replace, or to construct new with the established unit cost pay items of this proposal. Work generally will include storm water curb inlets, area drains, grated street inlets, manholes, piping systems, paved drainage channels and drainage ditch repairs in established neighborhoods throughout the City of Moore. Occasionally, work will include an improvements along or adjacent to a principal arterial street. Additional task may include:
* Provide a pre-construction video of the area including the surface condition of the streets, sidewalks or trails.
* Daily progress meetings with city staff, project inspector and construction crew members.
* Full time project manager and that will be in the field daily that works closely with the city staff.
* Daily safety meetings and safety inspections.
* Attend meetings with the City, FEMA, OKC, ODOT, ODEQ, OWRB, USACE or OEM and other agencies as necessary.
* Provide for all compliance with FEMA, OKC, ODOT, ODEQ, OWRB, USACE or OEM regulations as required.
* Provide a bond for the protection of the City of Moore against claims during construction.
* Provide a video detailing the areas after the final pass of the cleanup.
D. TRAFFIC SIGNAL CONSTRUCTION SERVICES
When authorized by a specific work order issued by the City of Moore, the on-demand construction services contractor shall provide all equipment, fuel, tools, barricades, materials, necessary appurtenances and labor to repair, rehabilitate, reconstruct or construct new traffic signals or pedestrian signal. Work orders will be developed by the city and the scope of work negotiated with the selected on-demand construction services contractor. The contractor shall be paid for this work at the unit prices established with this proposal. If the contractor must procure specialized or emergency equipment on the City of Moore's behalf to complete this work, the contractor shall be allowed a ten percent markup on the actual costs with acceptable documentation being provided to the city.
Traffic Signal Construction
Traffic signal or pedestrian signal construction consists of labor, equipment, material and all other essentials required to repair, rehabilitate, remove and replace, or to construct new with the established unit cost pay items of this proposal. Work generally will include street intersection, sidewalks and trails in established neighborhoods throughout the City of Moore. Occasionally, work will include a principal arterial street. Additional task may include:
* Provide a pre-construction video of the area including the surface condition of the streets, sidewalks or trails.
* Daily progress meetings with city staff, project inspector and construction crew members.
* Full time project mana r and that will be in the field daily that works closely with the city staff.
* Daily safety meetings and safety inspections.
* Attend meetings with the City, FEMA, OKC, ODOT, ODEQ, OEM and other agencies as necessary.
* Provide for all compliance with FEMA, OKC, ODOT, ODEQ or OEM regulations as required.
* Provide a bond for the protection of the City of Moore against claims during construction.
* Provide a video detailing the areas after the final pass of the cleanup.
E. EMERGENCY ON-DEMAND CONSTRUCTION SERVICES
When authorized by a specific work order issued by the City of Moore, the on-demand construction services contractor shall provide all equipment, fuel, tools, barricades, materials and labor to assist the City of Moore in cases of flood, wildfire, storms, accidents, natural disasters, or any occurrence deemed to need expeditious or emergency action by the City of Moore. The Contractor shall be paid for this work at the hourly rates established with this proposal. If the contractor must procure specialized or emergency equipment on the City of Moore's behalf, the contractor shall be allowed a ten percent markup on the actual costs with acceptable documentation being provided to the city.
The city does not guarantee any specific work or any specific amount of work. Claims will be processed to cover work as work orders are issued by the Assistant City Manager or his designate and completed during the contract period.
Trash and Debris Removal
Trash and debris removal consists of labor, equipment, land fill costs, and trucking necessary to remove trash and debris from public property and right of ways after natural disasters. This may consist of trash or debris from ice storms, wind storms, tornadoes, floods, traffic accidents, and other manmade or natural events.
Day to day management of the debris removal process:
* Provide a debris pick up plan, with zone maps and estimates of debris in each zone.
* Provide for a system of fleet management for debris crews and trucks including signage that clearly identifies each crew and truck working in the City of Moore.
* Provide a pre clean up video of the area including the surface condition of the streets.
* Full time project manager and that will be in the field daily that works closely with the city staff.
* Daily progress meetings with city staff and crew members.
* On larger clean ups, provide two f time inspectors to monitor progress and quality.
* Daily safety meetings and safety inspections.
* Attend meetings with F MA, ODEQ, OEM and other agencies as necessary.
* Provide for all compliance with FEMA, ODEQ or OEM regulations as required.
* Provide a bond for the protection of the City of Moore against claims.
* The contractor shall explore any available options of recycling debris including any possible costs saving that can be passed along to the City of Moore.
* Provide a running daily total in spread sheet form including but not limited to documentation such as weight tickets, pictures, land fill tickets, truck reports, etc.
* The cost of all land fill fees or tipping fees associated with the cleanup. (ODEQ approved land fill properly rated for the waste stream)
* Provide a video detailing the areas after the final pass of the cleanup.
Debris Cleanup scenario for C & D Debris from a major event:
* Debris site walk through to remove any hazards as they relate to the cleanup. This would consist of picking up various items such as: Propane bottles, auto batteries, gasoline cans, large bags of fertilizer, or multiple bags in one location, bags or drums of chlorine, large or multiple bottles of pesticides in one location, bottles of various compressed gas such as oxygen, acetylene, Freon etc. These items will be stored in a secure area provided by the City of Moore. The contractor shall be responsible to handle and dispose of all household hazardous materials. This disposal shall comply with all DEQ regulations and shall be
handled by a licensed company. The contractor shall provide documentation of proper disposal.
* The contractor shall employ a Freon recovery company to remove the Freon from all white goods disposed of, and also from any conditioning systems that are still charged prior to condemnation or demolition. The Freon must be legally disposed of or recycled.
* The contractor shall provide suitable means for the disposal and/or recycling of E-waste and household appliances know as: "White Goods"
* The contractor shall provide a debris inspection area at which City of Moore employees or other agents of the city can inspect and document the loads of debris. This area shall be equipped to include all equipment necessary to document the loading and unloading process. (Office trailer, truck scales, video equipment, man lifts, etc. that are needed to enforce regulations necessary to comply with any Federal or State reimbursement requirements)
* Provide for the removal and storage of abandoned cars, (at the request of the Moore Police Department.)
* Provide labor, equipment, and trucking necessary to remove debris from public property and right of ways, and any other area as directed by the City of Moore to an approved disposal site.
* Provide a plan for the protection of city assets such as: City streets, signs, water services and utility services.
* Provide for the trimming or removal of storm damaged trees that are classified by the City of Moore or FEMA as dangerous in city parks and on city right of ways.
* Provide signage such as: Informational signs, warning signs, traffic signs, and safety fencing as needed in conjunction with the cleanup.
* Labor and equipment to load and remove debris from public right ways within the City of Moore.
Vegetative Cleanup scenario for an ice or wind storm:
* It Provide labor, equipment, and trucking necessary to remove tree limbs and related debris from public property and right of ways, and any other area as directed by the City of Moore to an approve d disposal site.
* Provide a plan for the protection of city assets such as: City streets, signs, water services and utility services.
* The contractor shall provide a debris inspection area at which City of Moore employees or other agents of the city can inspect and document the loads of debris. This area shall be equipped to include all equipment necessary to document the loading and unloading process. (Office trailer, truck scales, video equipment, man lifts, etc. that are needed to enforce regulations necessary to comply with any Federal or State reimbursement requirements)
* Provide signage such as: Informational signs, warning signs, traffic signs, and safety fencing as needed in conjunction with the cleanup.
* Labor and equipment to load and remove this debris from public right ways within the City of Moore.
* Provide for the trimming or removal of storm damaged trees that are classified by the City of Moore or FEMA as dangerous in city parks and on city right of ways.
Specialty Items that shall not be included in the Contractors proposal:
* The disposal of industrial types of hazardous wastes that would not normally be found in a household waste stream is not to be included in this proposal. If encountered on public right of ways or in residential areas these shall be paid for as an emergency service to the contractor by the City of Moore. This disposal shall be done by a licensed company and the contractor shall provide documentation of proper disposal to the City of Moore.
Snow/Ice Removal
Plowing and removal of snow and ice along with salt & sand distribution on city streets may be required by the City of Moore when an accumulation of 4" or more of snow or ice is anticipated. The Contractor shall furnish all services including labor and equipment necessary to perform the work described in the work order. The Contractor agrees to perform snow and ice plowing and removal services along with salt & sand distribution on city streets as set forth in work order(s), if any, issued by the Assistant City Manager or his designated representative during the contract period. The work order(s), if any, will specify where in the city the removal of snow or ice and salt & sand distribution on the city streets is required.
The snow and/or ice must be plowed to within no more than 1" of the street surface. The Assistant City Manager or his designated representative will inspect and administer this contract. Streets not meeting these requirements will be re-plowed at no additional cost to the City. Individual streets will be designated by the Assistant City Manager or his designee and work orders will be issued to the Contractor. Exact limits of work will be identified in the work order. The work orders will detail whether plowing or plowing and removal is required. In most instances, City streets are plowed but only openings for intersections cleared. It is the Contractor's responsibility to insure all intersections are not blocked by snow or ice plowed from City streets. The removal of snow and ice is generally only required in the downtown area. The contractor will be notified approximately eight (8) hours in an advance of a pending storm event. The contractor must commence service within two (2) hours, after the issuance of a work order by the Assistant City Manager, or his designated representative. The City of Moore will separately authorize services to be performed for each successive storm emergency, and any services performed but not authorized through the issuance of a work order by the Assistant City Manager or his designated representative shall not be approved for payment nor will any liability for payment be asserted by the Contractor.
The Assistant City Manager expressly reserves the right to assign work orders at his sole discretion based upon the best interest of the City of Moore.
Contractor will be solely responsible for his operators and equipment and will provide qualified, properly licensed operator(s). Equipment must be provided with all appropriate safety devices and in good working order. Equipment utilized by the contractor to plow snow will be equipped with smooth buckets and smooth cutting edges.
Escort Vehicles are not necessary as long as the equipment used in the removal of snow and ice is equipped with flashing lights and rotating beacons. Contractor shall immediately notify the Assistant City Manager, or his designated representative of any mechanical failures of his equipment that would prevent the timely completion of services. Upon repair of mechanical failure, Contractor is to notify Assistant City Manager or his representative that equipment is operable. Contractor is liable for any damage sustained to his equipment while providing services to the city.
Payment for services of snow and ice plowing and removal shall be by the hour as designated in these contract specifications and the work order. Payment shall be made for services including labor and equipment as specifically utilized by the Contractor and as said equipment and labor is verified, documented, and justified to the Assistant City Manager or his designated representative. Should a work order be issued, the Contractor shall be issued or assigned a minimum of four (4) hours of work. Payment for services and equipment will be by the hour or proportionate payment for parts of any hour, respectively. For the purpose of payment, time will start when the Contractor commences work at identified work sites and terminate whenever the Contractor leaves the work site. Contractors will not be paid for equipment which is not utilized or which is not operable.
The City of Moore will not compensate the contractor for TRAVEL TIME or mobilization costs; however, all attempts will be made to assign streets within reasonable proximity to Contractor's office or maintenance yard locations.
F. ADDITIONAL SERVICES
There may be additional items or services that are necessary or incidental to complete projects that the Contractor has underway for the City of Moore. The Contractor shall use its best efforts to obtain the best quality mate ls at the best price available that fit the budget requirements set forth by the City of Moore and meet the referenced construction specification or standard details. The Contractor must obtain prior authorization before purchasing any additional materials or services not named in the unit price bid items. The contractor must provide documentation of the quotes for these materials and the final costs of these materials, services or supplies monthly for payment by the City of Moore. These costs shall be billed at their actual cost to the City of Moore with no more than an eight percent markup to cover the contractors handing costs. The City of Moore may also elect to furnish materials from other bidders or sources such as county or state contracts.
A. DOCUMENTS TO BE SUBMITTED Submittal Requirements
The following forms/documents must be completed and submitted in a sealed envelope listing the following information on the outside:
"RFP 1516-005 Public Works On-Demand Construction Services"
Non-Collusion Affidavit
Exhibit B ~ Unit Price Proposal (must be submitted in separate sealed envelope)
Exhibit A ~ Pre-Qualification Form *
Exhibit C ~ Davis/Bacon Wage Determination
Exhibit E ~ Certification Regarding Debarment, Suspension and Other Responsibility Matters
Exhibit D ~ Byrd Amendment Certification
Exhibit F ~ Certification as a Minority Owned, Women Owned or Section 3 Business
∗ The contractor may add additional relevant information as he deems necessary for prequalification.
B. NUMBER OF COPIES
Ten (10) Bound copies and one (1) electronic copy.
C. POINT OF CONTACT
Jared Jakubowski, Grants Manager, 405-793-4571 or firstname.lastname@example.org
This evaluation and selection for this RFP will be a three (3) step process:
Evaluation and Selection
1. Review of contractor's submitted qualifications by the selection committee members to ensure the proposal meets the minimum requirements of the qualifications/proposal documents;
3. The sealed unit price proposals of the top ranked construction firms will then be opened and reviewed. The sealed unit price proposal will be for the following typical
2. A scoring matrix will be prepared and review by the selection committee members of all submitted qualifications which may or may not result in contractor in-person interviews of the top three or four (3-4) firms;
construction tasks: roadway, drainage, traffic signal and emergency construction services. The pay items will be established by the City of Moore. These sealed unit price proposals will then become the basis of any on-demand construction services requested by the City from top ranked construction firms.
An emphasis will be placed on the Contractor's ability to provide timely services that meet the City of Moore's Public Works needs and expectations. The City reserves the right to make such investigations as it deems necessary to determine the ability of the Contractor to provide services meeting a satisfactory level of performance in accordance with the City's requirements. The Contractor shall furnish such information and data for this purpose as the City may request, at no cost to the City. Interviews and presentations by one or more of the Contractors may be requested by evaluators if deemed necessary to fully understand and compare the Contractors' capabilities and qualifications.
Submittals shall provide a straightforward, concise description of the Contractor's ability to meet the requirements of this RFP. Emphasis shall be on the quality, completeness, clarity of content, responsiveness to the requirements, and an understanding of the City's objectives.
* Qualifications and any other information submitted by Contractors in response to this RFP shall become property of the City.
Miscellaneous
* Contractors shall prepare and develop submittals at the sole cost and expense of the Contractor.
* A proposal may be modified or withdrawn in person at any time before the scheduled due date and time of proposals provided a receipt for the withdrawn proposal is signed by the Contractor's authorized representative. The City reserves the right to request proof of authorization to withdraw a proposal.
* The City reserves the right to reject any kind and all submittals and re-solicit for new qualifications, or to reject any and all submittals and temporarily or permanently abandon the project. The City makes no representations, written or oral, that it will enter into any form of agreement with any Contractor to the RFP for any project and no such representation is intended or should be construed by the issuance of this RFP.
* If an agreement cannot be made with the highest scoring Contractor, City reserves the right to terminate negotiations with that party and enter into negotiations with the next highest qualified Contractor.
* The City may request clarification from the Contractors regarding their submittals, obtain additional material, and pursue other avenues of research as necessary to ensure that a thorough evaluation is conducted.
* The City anticipates selecting one (1) or more contractors based off the pre-qualification matrix scoring for this work.
The following is a detailed schedule of events for the RFQ process, which is subject to modification by the City:
Schedule
* October 9, 2015:
Advertise RFQ
* October 16, 2015:
Advertise RFQ
* October 20, 2015:
Questions due to the City
* October 23, 2015:
Responses to submitted questions posted online
* October 26, 2015:
Mandatory Pre-Proposal meeting
* October 30, 2015:
RFP responses due to the City
* November 2-4, 2015:
Selection Committee evaluate and shortlist candidates
* November 6, 2015:
Notify top ranked companies
* November 16, 2015:
City Council meeting
* November 17, 2015:
Contract execution / notice to proceed
NON-COLLUSION AFFIDAVIT OF VENDOR
The following affidavit MUST accompany your response to this proposal.
COUNTY OF ) SS.
STATE OF)
AFFIDAVIT
I, , declare under oath, under penalty of perjury, that I am lawfully qualified and acting officer and/or agent of (Firm’s Name) and that:
1. That the affiant has not been party to any collusion among proponents in restraint of freedom of competition by agreement to propose at a fixed price or to refrain from making a proposal; or with any official of the state or political subdivision of the State, including The City of Moore, as to quantity, quality, or price in the matter of the attached proposal, or any other terms of said prospective contract; or in any discussions between proponents and any official of the state, including the City of Moore, concerning the exchange of money or other thing of value for special consideration in the letting of a contract and,
2. , has not pled guilty to or been convicted of a (Firm’s Name) felony charge for fraud, bribery, or corruption involving sale of real or personal property to any state or any political subdivision of a state.
3. That no person, firm, corporation subsidiary, parent, predecessor or other entity affiliated with or related t o has been convicted of a felony (Firm’s Name) charge for fraud, bribery, or corruption relating to sale of real or personal property to any state or political subdivision of a state.
(Officer or Agent)
Subscribed and sworn to before me this day of , (SEAL)
.
My Commission Expires
(Notary Public)
Applicability
The Project or Program to which the construction work covered by this contract pertains is being assisted by the United States of America and the following Federal Labor Standards Provisions are included in this Contract pursuant to the provisions applicable to such Federal assistance.
A. 1. (i) Minimum Wages. All laborers and mechanics employed or working upon the site of the work, will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR Part 3), the full amount of wages and bona f ide f ringe benefits (or cash equivalents thereof) due at t ime of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona f ide f ringe benefits under Section l(b)( 2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of 29 CFR 5. 5(a)(1 )(iv); also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period.
Such laborers and mechanics shall be paid the appropriate wage rate and f ringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR 5.5( a)( 4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the t ime actually worked therein: Provided, That the employer's payroll records accurately set forth the t ime spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under 29 CFR 5. 5 (a)(1 )(ii) and the Davis-Bacon poster (WH1321 ) shall be posted at all t imes by the contractor and its subcontractors at the site of the work in a prominent and accessible, place where it can be easily seen by the workers.
(ii) (a) Any class of laborers or mechanics which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. HUD shall approve an additional classification and wage rate and f ringe benefits therefor only when the following criteria have been met:
(1) The work to be performed by the classification requested is not performed by a classification in the wage determination; and
(2) The classification is utilized in the area by the construction industry; and
(3) The proposed wage rate, including any bona f ide f ringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination.
(b) I f the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and HUD or its designee agree on the classification and wage rate (including the amount designated for f ringe benefits where appropriate), a report of the action taken shall be sent by HUD or its designee to the Administrator of the W age and Hour Division, Employment Standards Administration, U. S. Department of Labor, W ashington, D. C. 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise HUD or i ts designee or will notify HUD or i ts designee within the 30 -day period that additional t ime is necessary. (Approved by the Office of Management and Budget under OMB control number 12150140.)
(c) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and HUD or its designee do not agree on the proposed classification and wage rate (including the amount designated for f ringe benefits, where appropriate), HUD or i ts designee shall refer the questions, including the views of all interested parties and the recommendation of HUD or i ts designee, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise HUD or its designee or will notify HUD or its designee within the 30-day period that additional t ime is necessary. (Approved by the Office of Management and Budget under OMB Control Number 1215 -0140.)
(d) The wage rate (including f ringe benefits where appropriate) determined pursuant to subparagraphs (1)(ii)(b) or (c) of this paragraph, shall be paid to all workers performing work in the classification under this contract f rom the f irst day on which work is performed in the classification.
(iii) W henever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a f ringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona f ide f ringe benefit or an hourly cash equivalent thereof.
(iv) I f the contractor does not make payments to a t rustee or other third person, the contractor may consider as part
of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona f ide f ringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the DavisBacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. (Approved by the Office of Management and Budget under OMB Control Number 1215- 0140.)
2. Withholding. HUD or i ts designee shall upon i ts own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld f rom the contractor under this contract or any other Federal contract with the same prime contractor, or any other Federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same prime contractor so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, t rainees and helpers, employed by the contractor or any subcontractor the full amount of wages required by the contract In the event of failure to pay any laborer or mechanic, including any apprentice, t rainee or helper, employed or working on the site of the work, all or part of the wages required by the contract, HUD or i ts designee may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. HUD or i ts designee may, after written notice to the contractor, disburse such amounts withheld for and on account of the contractor or subcontractor to the respective employees to whom they are due. The Comptroller General shall make such disbursements in the case of direct Davis-Bacon Act contracts.
3. (i) Payrolls and basic records. Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work. Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona f ide f ringe benefits or cash equivalents thereof of the types described in Section l (b)(2 )(B) of the Davis-bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. W henever the Secretary of Labor has found under 29 CFR 5. 5 ( a)(1 )(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Section l(b)(2 )(B) of the DavisBacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is f inancially responsible, and that the plan or program has been
communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or t rainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of t rainee programs, the registration of the apprentices and t rainees, and the ratios and wage rates prescribed in the applicable programs. (Approved by the Office of Management and Budget under OMB Control Numbers 1215 -0140 and 1215- 0017.)
(ii) (a) The contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to HUD or its designee if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit the payrolls to the applicant sponsor, or owner, as the case may be, for transmission to HUD or i ts designee. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29 CFR 5. 5( a)( 3)(i) except that full social security numbers and home addresses shall not be included on weekly t ransmittals. Instead the payrolls shall only need to include an individually identifying number for each employee (e. g., the last four digits of the employee's social security number). The required weekly payroll information may be submitted in any form desired. Optional Form W H-347 is available for this purpose f rom the W age and Hour Division W eb site at http://ww w . dol.gov/esa / w hd/form s / w h347instr.htm or its successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to HUD or its designee if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit the payrolls to the applicant sponsor, or owner, as the case may be, for transmission to HUD or i ts designee, the contractor, or the W age and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. I t is not a violation of this subparagraph for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for its own records, without weekly submission to HUD or i ts designee. (Approved by the Office of Management and Budget under OMB Control Number 1215 -0149.)
(b) Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following:
(1) That the payroll for the payroll period contains the information required to be provided under 29 CFR 5. 5 (a)(3)(ii), the appropriate information is being maintained under 29 CFR 5. 5( a)(3)(i), and that such information is correct and complete;
(2) That each laborer or mechanic (including each helper, apprentice, and t rainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly f rom the full wages earned, other than permissible deductions as set forth in 29 CFR Part 3;
(3) That each laborer or mechanic has been paid not less than the applicable wage rates and f ringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract.
(c) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of Compliance" required by subparagraph A. 3.(ii)(b).
(d) The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under Section 1001 of Title 18 and Section 231 of Title 31 of the United States Code.
(iii) The contractor or subcontractor shall make the records required under subparagraph A. 3.(i) available for inspection, copying, or t ranscription by authorized representatives of HUD or its designee or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. I f the contractor or subcontractor fails to submit the required records or to make them available, HUD or its designee may, after written notice to the contractor, sponsor, applicant or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5. 12.
4. Apprentices and Trainees.
(i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona f ide apprenticeship program registered with the U. S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her f irst 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency ( where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who
is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified in the contractor's or subcontractor's registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid f ringe benefits in accordance with the provisions of the apprenticeship program. I f the apprenticeship program does not specify f ringe benefits, apprentices must be paid the full amount of f ringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved.
(ii) Trainees. Except as provided in 29 CFR 5. 16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant ', to and individually registered in a program which has received prior approval, evidenced by formal certification by the U. S. Department of Labor, Employment and Training Administration. The ratio of t rainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every t rainee must be paid at not less than the rate specified in the approved program for the t rainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid f ringe benefits in accordance with the provisions of the t rainee program. I f the t rainee program does not mention fringe benefits, trainees shall be paid the full amount of f ringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full f ringe benefits for apprentices. Any employee listed on the payroll at a t rainee rate who is not registered and participating in a t raining plan approved by
the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In addition, any t rainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a t raining program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved.
(iii) Equal employment opportunity. The utilization of apprentices, t rainees and journeymen under 29 CFR Part 5 shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR Part 30.
5. Compliance with Copeland Act requirements. The contractor shall comply with the requirements of 29 CFR Part 3 which are incorporated by reference in this contract
6. Subcontracts. The contractor or subcontractor will insert in any subcontracts the clauses contained in subparagraphs 1 through 11 in this paragraph A and such other clauses as HUD or its designee may by appropriate instructions require, and a copy of the applicable prevailing wage decision, and also a clause requiring the subcontractors to include these clauses in any lower t ier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower t ier subcontractor with all the contract clauses in this paragraph.
7. Contract termination; debarment. A breach of the contract clauses in 29 CFR 5. 5 may be grounds for termination of the contract and for debarment as a contractor and a subcontractor as provided in 29 CFR 5. 12.
8. Compliance with Davis-Bacon and Related Act Requirements. All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR Parts 1, 3, and 5 are herein incorporated by reference in this contract
9. Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR Parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and HUD or its designee, the U. S. Department of Labor, or the employees or their representatives.
10. (i) Certification of Eligibility. By entering into this contract the contractor certifies that neither it ( nor he or she) nor any person or f i rm who has an interest in the contractor's f irm is a person or f irm ineligible to be awarded Government contracts by virtue of Section 3 (a) of the Davis-Bacon Act or 29 CFR 5. 12 (a)(1 ) or to be
awarded HUD contracts or participate in HUD programs pursuant to 24 CFR Part 24.
(ii) No part of this contract shall be subcontracted to any person or f irm ineligible for award of a Government contract by virtue of Section 3 (a) of the Davis-Bacon Act or 29 CFR 5. 12( a)(1) or to be awarded HUD contracts or participate in HUD programs pursuant to 24 CFR Part 24 .
(iii) The penalty for making false statements is prescribed in the U. S. Criminal Code, 18 U. S. C. 1001. Additionally, U. S. Criminal Code, Section 1 01 0, Title 18, U. S. C., "Federal Housing Administration t ransactions", provides in part: "W hoever, for the purpose of . . . influencing in any way the action of such Administration..... makes, utters or publishes any statement knowing the same to be false..... shall be f ined not more than $5, 000 or imprisoned not more than two years, or both."
11. Complaints, Proceedings, or Testimony by Employees. No laborer or mechanic to whom the wage, salary, or other labor standards provisions of this Contract are applicable shall be discharged or in any other manner discriminated against by the Contractor or any subcontractor because such employee has filed any complaint or instituted or caused to be instituted any proceeding or has testified or is about to testify in any proceeding under or relating to the labor standards applicable under this Contract to his employer.
B. Contract Work Hours and Safety Standards Act. The provisions of this paragraph B are applicable where the amount of the prime contract exceeds $100,000. As used in this paragraph, the terms "laborers" and "mechanics" include watchmen and guards.
(1) Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which the individual is employed on such work to work in excess of 40 hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of 40 hours in such workweek.
(2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in subparagraph (1 ) of this paragraph, the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in subparagraph ( 1) of this paragraph, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of 40 hours without payment of the overtime wages required by the clause set forth in sub paragraph ( 1) of this paragraph.
(3) Withholding for unpaid wages and liquidated damages. HUD or i ts designee shall upon i ts own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, f rom any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contract, or any other Federally- assisted contract subject to the Contract W ork Hours and Safety Standards Act which is held by the same prime contractor such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in subparagraph (2) of this paragraph.
(4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in subparagraph ( 1) through (4 ) of this paragraph and also a clause requiring the subcontractors to include these clauses in any lower t ier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower t ier subcontractor with the clauses set forth in subparagraphs (1) through ( 4) of this paragraph.
C. Health and Safety. The provisions of this paragraph C are applicable where the amount of the prime contract exceeds $100,000.
(1) No laborer or mechanic shall be required to work in surroundings or under working conditions which are unsanitary, hazardous, or dangerous to his health and safety as determined under construction safety and health standards promulgated by the Secretary of Labor by regulation.
(2) The Contractor shall comply with all regulations issued by the Secretary of Labor pursuant to Title 29 Part 1926 and failure to comply may result in imposition of sanctions pursuant to the Contract W ork Hours and Safety Standards Act, (Public Law 91-54, 83 Stat 96). 4 0 U S C 3701 et s eq.
(3) The contractor shall include the provisions of this paragraph in every subcontract so that such provisions will be binding on each subcontractor. The contractor shall take such action with respect to any subcontractor as the Secretary of Housing and Urban Development or the Secretary of Labor shall direct as a means of enforcing such provisions.
Exhibit A ~ Prequalification Form
B IDDER'S PRE-QUALIFICATIONS CITY OF MOORE PUBLIC WORKS
IMPROVEMENTS AND EMERGENCY CONSTRUCTION SERVICES ON-DEMAND CONSTRUCTION SERVICES
HOUSING AND URBAN DEVELOPMENT PAVING, GRADING, DRAINAGE AND TRAFFIC SIGNAL
CITY PROJECT NO. 1516-005
As part of a three (3) phased process, the prospective Bidder shall submit to the Assistant City Manager at the date and time stated in the Notice to Bidders the data requested below for pre-qualification. 1. The city and the consulting engineer will examine the submitted date in detail to ensure the minimum requirements of the pre-qualification and proposal instruct ructions have been followed. 2. A scoring matrix review by the selection committee members will then rank all of the submitted qualifications to select the top ranked construction firms, per construction task, which may or may not result in in-person interviews of the contractor. 3. The submitted sealed proposals of typical construction pay item unit prices of the top ranked construction firms will then be opened and reviewed. The sealed unit price proposal will be for the following construction tasks: typical roadway, storm water drainage, traffic signal and emergency construction services. The pay items will be established by the City of Moore. These sealed unit price proposals will then become the basis of any on-demand construction services requested by the City from the top ranked construction firms.
DATE:
CONTACT:
COMPANY:
E-MAIL:
ADDRESS:
CITY, STATE
& ZIP:
DUNN's
Number:
PHONE:
As a prerequisite for this project, the prospective Bidder must be pre-qualified and in good standing with the City of Oklahoma City and the Oklahoma Department of Transportation. Additionally, the Bidder must certify to the best of its knowledge and belief that it and its principles:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency;
(b) Have not within a three year period preceding this proposal been convicted of or had a civil judgement rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a government entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and
(d) Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State, or local) terminated for cause or default.
I understand that a false statement on this certification may be grounds for rejection of this proposal or termination of the award. In addition, under 18 USC Sec. 1001, a false statement may result in a fine of up to $10,000 or imprisonment for up to 5 years, or both.
Typed Name, Company, & Title of Authorized Representative
Address of Company Representing
Signature of Authorized Representative
I am unable to certify to the above statements. My explanation is attached.
For each construction task experience specified in Parts A, B, C, and D of this form, the Bidder shall denote "NO DISPUTE" if the Owner and Contractor agreed the project had no disagreement, initially or otherwise, concerning whether the contract had been completed in a timely manner. The Bidder shall denote "DISPUTE" for any contact listed in this form in which a dispute occurred. The Contractor shall explain the nature and extent to the dispute as well as how it was resolved, and submit with this form.
A. ROADWAY EXPERIENCE: Bidders shall have previous roadway construction/rehabilitation experience and shall submit with this Exhibit information in conjunction with the last three (3) proj ts that provided that experience within the last five (5) years. If it is the intent of the Contractor to subcontract any portion of this construction task then the construction experience of the Subcontractor should be substituted in lieu of the Contractor's experience and the Subcontractor should be named. Bidders shall summarize the projects in the following spaces.
If the bidder does not want to perform this type of construction task, but wants to perform other construction tasks associated with this project, the bidder simply will not fill out this section of the prequalification form.
1. CITY/COMPANY NAME:
CONTACT NAME:
ADDRESS:
PHONE NUMBER:
DATE OF COMPLETION:
CONTRACT MOUNT:
BRIEF DESCRIPTION:
CIRCLE ONE:
DISPUTE / NO DISPUTE
2.
CITY/COMPANY NAME:
CONTACT NAME:
ADDRESS:
PHONE NUMBER:
DATE OF COMPLETION:
CONTRACT AMOUNT:
BRIEF DESCRIPTION:
CIRCLE ONE:
DISPUTE / NO DISPUTE
3.
CITY/COMPANY NAME:
CONTACT NAME:
ADDRESS:
PHONE NUMBER:
DATE OF COMPLETION:
CONTRACT AMOUNT:
BRIEF DESCRIPTION:
CIRCLE ONE:
DISPUTE / NO DISPUTE
B. DRAINAGE EXPERIENCE: Bidders shall have previous drainage construction/rehabilitation experience and shall submit with this Exhibit information in conjunction with the last three (3) projects that provided that experience within the last five (5) years. If it is the intent of the Contractor to subcontract any portion of this construction task then the construction experience of the Subcontractor should be substituted in lieu of the Contractor's experience and the Subcontractor should be named. Bidders shall summarize the projects in the following spaces.
If the bidder does not want to perform this type of construction task, but wants to perform other construction tasks associated with this project, the bidder simply will not fill out this section of the prequalification form.
1.
CITY/COMPANY NAME:
CONTACT NAME:
ADDRESS:
PHONE NUMBER:
DATE OF COMPLETION:
CONTRACT AMOUNT:
BRIEF DESCRIPTION:
CIRCLE ONE:
DISPUTE / NO DISPUTE
2. CITY/COMPANY NAME:
CONTACT NAME:
ADDRESS:
PHONE NUMBER:
DATE OF COMPLETION:
CONTRACT AMOUNT:
BRIEF DESCRIPTION:
CIRCLE ONE:
DISPUTE / NO DISPUTE
3.
CITY/COMPANY NAME:
CONTACT NAME:
ADDRESS:
PHONE NUMBER:
DATE OF COMPLETION:
CONTRACT AMOUNT:
BRIEF DESCRIPTION:
CIRCLE ONE:
DISPUTE / NO DISPUTE
C. TRAFFIC SIGNAL EXPERIENCE: Bidders shall have previous traffic signal construction/rehabilitation experience and shall submit with this Exhibit information in conjunction with the last three (3) projects that provided that experience within the last five (5) years. If it is the intent of the Contractor to subcontract any portion of this construction task then the construction experience of the Subcontractor should be substituted in lieu of the Contractor's experience and the Subcontractor should be named. Bidders shall summarize the projects in the following spaces.
If the bidder does not want to perform this type of construction task, but wants to perform other construction tasks associated with this project, the bidder simply will not fill out this section of the prequalification form.
1.
CITY/COMPANY NAME:
CONTACT NAME:
ADDRESS:
PHONE NUMBER:
DATE OF COMPLETION:
CONTRACT AMOUNT:
BRIEF DESCRIPTION:
CIRCLE ONE:
DISPUTE / NO DISPUTE
2.
CITY/COMPANY NAME:
CONTACT NAME:
ADDRESS:
PHONE NUMBER:
DATE OF COMPLETION:
CONTRACT AMOUNT:
BRIEF DESCRIPTION:
CIRCLE ONE:
DISPUTE / NO DISPUTE
3. CITY/COMPANY NAME:
CONTACT NAME:
ADDRESS:
PHONE NUMBER:
DATE OF COMPLETION:
CONTRACT AMOUNT:
BRIEF DESCRIPTION:
CIRCLE ONE:
DISPUTE / NO DISPUTE
D. EMERGENCY CONSTRUCTION SERVICES EXPERIENCE: Bidders shall have previous emergency construction service experience (snow/ice plowing and removal, storm debris pick up and removal, emergency traffic control) and shall submit with this Exhibit information in conjunction with the last three (3) projects that provided that experience within the last five (5) years. If it is the intent of the Contractor to subcontract any portion of this construction task then the construction experience of the Subcontractor should be substituted in lieu of the Contractor’s experience and the Subcontractor should be named. Bidders shall summarize the projects in the following spaces.
If the bidder does not want to perform this typ of construction task, but wants to perform other construction tasks associated with this project, the bidder simply will not fill out this section of the prequalification form.
1.
CITY/COMPANY NAME:
CONTACT NAME:
ADDRESS:
PHONE NUMBER:
DATE OF COMPLETION:
CONTRACT AMOUNT:
BRIEF DESCRIPTION:
CIRCLE ONE:
DISPUTE / NO DISPUTE
2.
CITY/COMPANY NAME:
CONTACT NAME:
ADDRESS:
PHONE NUMBER:
DATE OF COMPLETION:
CONTRACT AMOUNT:
BRIEF DESCRIPTION:
CIRCLE ONE:
DISPUTE / NO DISPUTE
3. CITY/COMPANY NAME:
CONTACT NAME:
ADDRESS:
PHONE NUMBER:
DATE OF COMPLETION:
CONTRACT AMOUNT:
BRIEF DESCRIPTION:
CIRCLE ONE:
DISPUTE / NO DISPUTE
ADDITIONAL EXPERIENCE MAY BE SUBMITTED IN THIS SAME FORMAT AND ATTACHED TO THIS EXHIBIT.
E. EXISTING CLAIMS: Each Bidder shall utilize the table below to demonstrate that all projects exceeding contract price of $50,000.00 performed by their firm in the last three (3) calendar years do not have any pending lawsuits, actions at law, or disputes continuing with the Owner. The Bidder shall denote "NO DISPUTE" if no pending lawsuits, actions at law, or disputes exist with the Owner concerning the project and shall denote "DISPUTE" for any contract listed in this form in which any pending lawsuits, action at law, or disputes exist. The Bidder shall explain the nature and extent of the dispute and submit with this form. The table can be reproduced as necessary to accommodate all projects exceeding the stipulated Contact price and performed within the stipulated time frame.
| Address | Phone No. | Contract |
|---|---|---|
| | | Amount |
F. FINANCIAL INFORMATION: Each Bidder shall furnish the following information.
1. Name of Bonding Company:
Bonding Company Agent:
Agent Address:
Agent Phone No.:
2. Bank where business accounts and/or operating loan is held:
Name:
Address:
Phone No. & Contact Person:
By submitting this application, Bidder hereby consents to the city and consulting engineer contacting the above listed bonding company and bank, furnishing them a copy of this application and requesting from and receiving information regarding Bidder's ability to perform the construction project anticipated herein timely and according to contract documents. Bidder hereby authorizes said entities and their agents and employs to discuss Bidder's financial qualifications, timeliness of payments and other matters which may reasonably be related to Bidder's ability to perform the construction contract contemplated herein and hereby release them, their agents and employees from any and all causes of action of Bidder which may arise therefrom. Bidder agrees that both bank and bonding company agent may keep the contents of their discussions confidential from Bidder.
STATEMENT AND RELEASE OF FINANCIAL INFORMATION
I being an agent of, do hereby attest that the foregoing Prequalification Statement of Experience and Financial Statement is true and accurate and authorizes The City of Moore to investigate all references and obtain credit and financial information regarding the Applicant as of the date hereof.
Dated this day of , 20 .
PRINTED NAME
SIGNATURE
TITLE
Subscribed and sworn to before me this day of , 20 .
NOTARY PUBLIC
My Commission Expires
G. CURRENT CONTRACTS: Using the table below, each Bidder shall furnish information regarding the latest ten (10) outstanding contracts, commenced but unfinished. The table can be reproduced as needed to provide additional space.
| Description of Work | Project Schedule | | Owner | Contract Amount |
|---|---|---|---|---|
| | Begin | End | | |
B
-
Q
1
0
H. EQUIPMENT: Each Bidder shall furnish a list of all construction equipment, and identify each equipment item as either owned or currently leased.
ADDITIONAL EQUIPMENT INFORMATION MAY BE ATTACHED TO THIS EXHIBIT.
I. SUBCONTRACT: Each Bidder shall utilize the following table and list what work for this project will be subcontracted and name the subcontractor to be used. If no portion of the work is to be subcontracted, Bidder shall enter the word "NONE" into the table.
Exhibit B ~ Unit Price Proposal
OKC
Spec
Pay Item
#
B k #
Description
Unit Unit Price
| 200 | 01 | Unsuitable Material Excavation | C.Y. |
|---|---|---|---|
| 201 | 00 | Embankment | C.Y. |
| 202 | 00 | Borrow | C.Y. |
| 211 | 00 | Dewatering | L.SUM |
| 212 | 01 | Trench Excavation & Backfill (0' to 10') | L.F. |
| 212 | 07 | Structural Excavation | C.Y. |
| 213 | 01 | Crushed Rock Foundation | C.Y. |
| 213 | 03 | Crushed Rock Foundation(Crusher Run)(1.5") | C.Y. |
| 215 | 07 | Crushed Rock (3") | TON |
| 215 | 08 | Rock Backfill | TON |
| 220 | 00 | Subgrade | S.Y. |
| 221 | 00 | Natural Soil Base | TON |
| 222 | 01 | Fly Ash | TON |
| 222 | 02 | Lime | TON |
| 222 | 03 | Cement Kiln Dust | TON |
| 222 | 04 | Portland Cement | TON |
| 222 | 05 | Cementitious Stabilized Subgrade | S.Y. |
| 225 | 00 | Aggregate Base (Type A) | C.Y. |
| 225 | 03 | Aggregate Base (Type B) | C.Y. |
| 301 | 28 | Asphalt Concrete Type A (PG 64‐22) | TON |
| 301 | 31 | Asphalt Concrete Type A (PG 70‐28) | TON |
| 301 | 32 | Asphalt Concrete Type B (PG 64‐22) | TON |
| 301 | 33 | Asphalt Concrete Type B (PG 70‐28) | TON |
| 302 | 04 | RHM‐Asphaltic Concrete Leveling Course | TON |
| 304 | 02 | Approach Slabs | S.Y. |
| 304 | 04 | Portland Cement Concrete Pavement (6") | S.Y. |
| 304 | 06 | Portland Cement Concrete Pavement (8") | S.Y. |
| 304 | 07 | Portland Cement Concrete Pavement (8")(Dowel Jointed) | S.Y. |
| 305 | 00 | Curb & Gutter (2'‐8")(6" Barrier) | L.F. |
| 305 | 01 | Curb & Gutter (2'‐8")(8" Barrier) | L.F. |
| 305 | 02 | Integral Curb (6 Inches) | L.F. |
| 305 | 04 | Integral Curb (Barrier)(8 Inches) | L.F. |
| 306 | 03 | High Early Strength Concrete Pavement W/2" AC | S.Y. |
| 306 | 04 | High Early Strength Concrete Pavement (6") | S.Y. |
| 309 | 00 | Cold Milling Pavement | S.Y. |
| 309 | 03 | Haul Out Milled Pavement | S.Y. |
| 310 | 00 | Concrete Joint Rehabilitation | S.Y. |
| 310 | 01 | Cleaning & Filling Joints & Cracks | L.F. |
| 312 | 00 | Diamond Grinding | S.Y. |
| 313 | 00 | Tack Coat | GAL. |
| 314 | 00 | Brick Pavers (SP) | S.F. |
| 403 | 01 | Channel Liner | S.Y. |
| 403 | 02 | Channel Liner (Transition) | S.Y. |
| 404 | 01 | Concrete Class A | C.Y. |
| 404 | 06 | Structural Concrete (Retaining Wall)(Type I A) | L.F. |
| 404 | 07 | Structural Concrete (Retaining Wall)(Type I B) | L.F. |
OKC Spec Pay Item
Book #
#
Description
Unit Unit Price
| 404 | 08 | Structural Concrete (Retaining Wall)(Type I C) | L.F. |
|---|---|---|---|
| 404 | 09 | Structural Concrete (Retaining Wall)(Type II A) | L.F. |
| 404 | 10 | Structural Concrete (Retaining Wall)(Type II B) | L.F. |
| 404 | 11 | Structural Concrete (Retaining Wall)(Type II C) | L.F. |
| 404 | 12 | Structural Concrete (Retaining Wall)(Type III A) | L.F. |
| 404 | 13 | Structural Concrete (Retaining Wall)(Type III B) | L.F. |
| 404 | 14 | Structural Concrete (Retaining Wall)(Type III C) | L.F. |
| 404 | 15 | Concrete Class AA | L.F. |
| 451 | 01 | (CGMP) Storm Sewer (18 In.) | L.F. |
| 451 | 02 | (CGMP) Prefab End Section (18 In.) | EA. |
| 451 | 05 | (CGMP) Storm Sewer (24 In.) | L.F. |
| 451 | 06 | (CGMP) Prefab End Section (24 In.) | EA. |
| 453 | 00 | Reinforced Concrete Pipe (18 Inches) | L.F. |
| 453 | 01 | Reinforced Concrete Pipe (24 Inches) | L.F. |
| 453 | 02 | Reinforced Concrete Pipe (36 Inches) | L.F. |
| 453 | 04 | Reinforced Concrete Pipe (48 Inches) | L.F. |
| 453 | 05 | Reinforced Concrete Pipe (54 Inches)( "O" Ring) | L.F. |
| 453 | 06 | Reinforced Concrete Pipe (60 Inches)("O" Ring) | L.F. |
| 453 | 12 | Reinforced Concrete Pipe 18 Inches "O" Ring | L.F. |
| 453 | 13 | Reinforced Concrete Pipe 24 Inches "O" Ring | L.F. |
| 453 | 14 | Reinforced Concrete Pipe 36 Inches "O" Ring | L.F. |
| 453 | 15 | Reinforced Concrete Pipe 48 Inches "O" Ring | L.F. |
| 453 | 19 | Reinforced Concrete Pipe End Section (18 Inches) | Ea. |
| 453 | 25 | Reinforced Concrete Pipe End Section (24 Inches) | Ea. |
| 453 | 28 | Reinforced Concrete Pipe End Section (48 Inches) | Ea. |
| 453 | 33 | Reinforced Concrete Pipe End Section (36 Inches) | Ea. |
| 453 | 57 | Reinforced Concrete Pipe End Section (54 Inches) | Ea. |
| 453 | | Reinforced Concrete Pipe End Section (60 Inches) | Ea. |
| 454 | 01 | Manhole (4' Dia.) | Ea. |
| 454 | 03 | Manhole (6' Dia.) | Ea. |
| 454 | 04 | Manhole (5' Dia.) | Ea. |
| 454 | 05 | Manhole Added Depth (4' Dia.) | V.F. |
| 454 | 06 | Manhole Added Depth (5' Dia.) | V.F. |
| 454 | 07 | Manhole Added Depth (6' Dia.) | V.F. |
| 454 | 30 | Junction Box (6' X 6') | V.F. |
| 454 | 34 | Design 2‐0 Inlet Complete in Place | Ea. |
| 454 | 37 | Design 2‐1 Inlet Complete in Place | Ea. |
| 454 | 38 | Design 2‐2 Inlet Complete in Place | Ea. |
| 454 | 45 | Design 2‐3 Inlet Complete in Place | Ea. |
| 454 | 63 | Grated Street Inlet | Ea. |
| 454 | 65 | Design 2‐5 Inlet Complete in Place | Ea. |
| 454 | 66 | Box Type Inlet (4' x 4') | Ea. |
| 454 | 72 | Design 2‐4 Inlet Complete in Place | Ea. |
| 454 | 80 | Junction Box (10' x 10') | Ea. |
| 456 | 01 | Removing Manhole | Ea. |
| 459 | 01 | Adjust Manhole to Grade | Ea. |
| 460 | 00 | Setting New Manhole Ring & Cover | Ea. |
OKC Spec Pay Item
Book # #
Description
Unit Unit Price
| 464 | 02 | HDPE Pipe (24 In.)(SP) | L.F. |
|---|---|---|---|
| 464 | 04 | HDPE Pipe (36 In.)(SP) | L.F. |
| 464 | 06 | HDPE Pipe (48 In.)(SP) | L.F. |
| 464 | 07 | HDPE Pipe (54 In.)(SP) | L.F. |
| 464 | 08 | HDPE Pipe (60 In.)(SP) | L.F. |
| 511 | 05 | Water Service Line Short (1") | Ea. |
| 511 | 06 | Water Service Line Long (1") | Ea. |
| 511 | 08 | Water Service Line Short (1‐1/2") | Ea. |
| 511 | 09 | Water Service Line Long (1 1/2") | Ea. |
| 511 | 11 | Water Service Line Short (2") | Ea. |
| 511 | 12 | Water Service Line Long (2") | Ea. |
| 511 | 24 | Water Service Line Short (5/8") | Ea. |
| 511 | 25 | Water Service Line Long (5/8") | Ea. |
| 512 | 00 | Meter Relocation (5/8") | Ea. |
| 512 | 01 | Meter Relocation (1") | Ea. |
| 512 | 02 | Meter Relocation (1 1/2") | Ea. |
| 512 | 03 | Meter Relocation (2") | Ea. |
| 520 | 03 | Valve Box Adjust to Grade | Ea. |
| 710 | 00 | Vehicle Actuated Traffic Signal Control Assembly | Ea. |
| 711 | 01 | Video Detection System (SP) | Ea. |
| 712 | 00 | Solid State Digital Inductive Loop Vehicle Detector | L.Sum |
| 712 | 01 | E.P.S. Optical Detector | Ea. |
| 712 | 02 | E.P.S. 2 Channel Phase Selector | Ea. |
| 713 | 04 | 1 1/2" Traffic Signal Conduit Trenched | L.F. |
| 713 | 05 | 1 1/2" Traffic Signal Conduit (Bored) | L.F. |
| 713 | 06 | 1 " Traffic Signal Conduit Trenched | L.F. |
| 713 | 07 | 1" Traffic Signal Conduit (Bored) | L.F. |
| 713 | 08 | 2 " Traffic Signal Conduit Trenched | L.F. |
| 713 | 09 | 2" Traffic Signal Conduit (Bored) | L.F. |
| 713 | 10 | 3 " Traffic Signal Conduit Trenched | L.F. |
| 713 | 11 | 3" Traffic Signal Conduit (Bored) | L.F. |
| 714 | 00 | (21) Conductor Traffic Signal Electrical Cable | L.F. |
| 714 | 01 | Two Conductor Shielded Loop Detector Lead‐In Cable | L.F. |
| 714 | 04 | (5) Conductor Traffic Signal Electrical Cable | L.F. |
| 714 | 05 | (15) Conductor Traffic Signal Electrical Cable | L.F. |
| 714 | 06 | (2) Conductor Traffic Signal Electrical Cable | L.F. |
| 714 | 07 | (7) Conductor Traffic Signal Electrical Cable | L.F. |
| 714 | 08 | (9) Conductor Traffic Signal Electrical Cable | L.F. |
| 714 | 09 | (12) Conductor Traffic Signal Electrical Cable | L.F. |
| 714 | 10 | (1 Conductor)(AWG No. 6) Electrical Conductor | L.F. |
| 714 | 11 | (1 Conductor)(AWG No. 10) Electrical Conductor | L.F. |
| 714 | 14 | Loop Wire 14 AWG (Type XHHW) | L.F. |
| 715 | 01 | Three (3) Section One Way Traffic Signal Head | Ea. |
| 715 | 02 | Four (4) Section One Way Traffic Signal Head | Ea. |
| 715 | 03 | Five (5) Section One Way Traffic Signal Head | Ea. |
| 717 | 00 | Pedestrian Signal Head | Ea. |
OKC Spec Pay Item
Book # #
Description
Unit Unit Price
| 722 | 01 | Pedestrian Push Button and Pole | Ea. |
|---|---|---|---|
| 724 | 03 | Pole and Specified 20' Mast Arm(S)(Installed) | Ea. |
| 724 | 04 | Pole and Specified 25' Mast Arm(S)(Installed) | Ea. |
| 724 | 05 | Pole and Specified 30' Mast Arm(S)(Installed) | Ea. |
| 724 | 06 | Pole and Specified 35' Mast Arm(S)(Installed) | Ea. |
| 724 | 07 | Pole and Specified 40' Mast Arm(S)(Installed) | Ea. |
| 724 | 08 | Pole and Specified 45' Mast Arm(S)(Installed) | Ea. |
| 724 | 09 | Pole and Specified 50' Mast Arm(S)(Installed) | Ea. |
| 724 | 10 | Pole and Specified 55' Mast Arm(S)(Installed) | Ea. |
| 724 | 19 | Pole and Specified 20' Mast Arm(S) and Luminaire (Installed) | Ea. |
| 724 | 20 | Pole and Specified 25' Mast Arm(S) and Luminaire (Installed) | Ea. |
| 724 | 21 | Pole and Specified 30' Mast Arm(S) and Luminaire (Installed) | Ea. |
| 724 | 22 | Pole and Specified 35' Mast Arm(S) and Luminaire (Installed) | Ea. |
| 724 | 23 | Pole and Specified 40' Mast Arm(S) and Luminaire (Installed) | Ea. |
| 724 | 67 | Pedestal Pole with 8' Mounting Height | Ea. |
| 724 | 68 | Pedestal Pole with 10' Mounting Height | Ea. |
| 725 | 00 | Structural Concrete | C.Y. |
| 725 | 01 | Reinforcing Steel | LBS. |
| 726 | 00 | Pull Box Type I | Ea. |
| 726 | 01 | Pull Box Type II | Ea. |
| 727 | 00 | Roadway Luminaire (250 Watt HPS) | Ea. |
| 728 | 00 | School Flashers | Ea. |
| 729 | 00 | Sheet Aluminum Panel Signs | S.F. |
| 729 | 02 | Mast Arm Mounted Signs | S.F. |
| 729 | 10 | Remove and Relocate Sign | Ea. |
| 729 | 11 | Remove Existing Sign | Ea. |
| 732 | 00 | Galvanized Steel Sign Post | Ea. |
| 733 | 00 | Square Steel Sign Post | Ea. |
| 734 | 00 | Traffic Stripe (Paint) | L.F. |
| 735 | 00 | Traffic Stripe (Plastic)(4 Inch Wide) | L.F. |
| 735 | 01 | Traffic Stripe (Plastic)(Arrows)(Single) | L.F. |
| 735 | 02 | Traffic Stripe (Plastic)(Arrow)(Double) | Ea. |
| 735 | 03 | Traffic Stripe (Plastic)(Words) | Ea. |
| 735 | 04 | Traffic Stripe (Plastic)(Symbols) | Ea. |
| 736 | 00 | Traffic Stripe (Plastic Tape)(4 Inch Wide) | L.F. |
| 736 | 01 | Traffic Stripe (Plastic Tape)(Arrow)(Single) | L.F. |
| 736 | 02 | Traffic Stripe (Plastic Tape)(Arrows)(Double) | Ea. |
| 736 | 03 | Traffic Stripe (Plastic Tape)(Words) | Ea. |
| 736 | 04 | Traffic Stripe (Plastic Tape)(Symbols) | Ea. |
| 736 | 06 | Construction Traffic Stripe (Paint)( 4 Inch Wide) | L.F. |
| 736 | 07 | Construction Traffic Stripe (Paint)( Arrow)( Single) | L.F. |
| 736 | 08 | Construction Traffic Stripe (Paint)( Arrows)(Double) | Ea. |
| 736 | 09 | Construction Traffic Stripe (Paint)(Words) | Ea. |
| 736 | 10 | Construction Traffic Stripe (Paint)( Symbols) | Ea. |
| 736 | 11 | Construction Traffic Stripe (Paint)( 8 Inch Wide) | Ea. |
| 737 | 00 | 12" Wide Crosswalk Striping | L.F. |
OKC Spec Pay Item
Book #
#
Description
Unit
Unit Price
| 07 | Pavement Markers, Type 2‐2 (Flex Tab) | Ea. |
|---|---|---|
| 08 | Remove Pavement Marking (Stripe) | Ea. |
| 09 | Remove Pavement Marking (Arrows) | Ea. |
| 10 | Remove Pavement Marking (Words) | Ea. |
| 11 | Remove Pavement Marking (Symbols) | Ea. |
| 02 | Arrow Display (Type C) | S.D. |
| 03 | Construction Signs (0 To 6.25 SF) | S.D. |
| 04 | Construction Signs (6.26 To 15.99 SF) | S.D. |
| 05 | Construction Signs (16.0 To 32.99SF) | S.D. |
| 06 | Construction Signs (33.0 SF and Over) | S.D. |
| 07 | Construction Barricades (Type I) | S.D. |
| 08 | Construction Barricades (Type II) | S.D. |
| 09 | Construction Barricades (Type III) | S.D. |
| 10 | Warning Lights (Type A) | S.D. |
| 11 | Warning Lights (Type C) | S.D. |
| 12 | Drums | S.D. |
| 13 | Tube Channelizers | S.D. |
| 14 | Channelizers Cones | S.D. |
| 00 | Optical Detector Cable | L.F. |
| 00 | Portable Changeable Message Sign | S.D. |
| 00 | Construction Staking (Construction Survey) L.SUM | Ea. |
| 00 | Mobilization (SP) | L.Sum |
| 01 | Mobilization (Emergency)(SP) | L.Sum |
| 15 | Structure Removal (Retaining Wall) | L.F. |
| 16 | Structure Removal (Concrete Flume) | L.F. |
| 19 | Remove Exist. Headwall & Wingwall | Ea. |
| 22 | Structure Removal (Junction Box) | L.F. |
| 01 | Remove Sidewalk (Width) | S.Y. |
| 02 | Remove Curb & Gutter | L.F. |
| 03 | Concrete Pavement Removal | S.Y. |
| 04 | Asphalt Pavement Removal | S.Y. |
| 00 | Remove Driveway | S.Y. |
| 01 | Pavement Cut & Repair (Asphalt) | S.Y. |
| 02 | Pavement Cut & Repair (Concrete) | S.Y. |
| 07 | Pothole Patching | S.Y. |
| 00 | Remove Alley Paving (Type) | S.Y. |
| 01 | Base Repair (Asphalt) | S.Y. |
| 02 | Base Repair (Concrete) | S.Y. |
| 00 | Sawcut Pavement (Loops) | L.F. |
| 01 | Sawcut Pavement | L.F. |
| 00 | Sidewalk (5') | S.Y. |
| | Sidewalk (4') | S.Y. |
| | Sidewalk (6') | S.Y. |
| 03 | 6" P.C. Conc. Driveway (HES) | S.Y. |
| 06 | Portland Cement Concrete Pavement(8")(Stamped)(SP) | S.Y. |
| 07 | Portland Cement Concrete Pavement(6")(Stamped)(SP) | S.Y. |
| OKC Spec | Pay Item # | Description | Unit |
|---|---|---|---|
| Book # | | | |
| 824 | 01 | Temporary Surface Course (TBSC) | Ton |
| 824 | 03 | Temporary Striping | L.F. |
| 824 | 04 | Temporary Surfacing (Asphalt) | Ton |
| 825 | 00 | 12" (Type 1) Plain Riprap | Ton |
| 825 | 01 | (18" Dia.) Plain Riprap | C.Y. |
| 825 | 02 | 3" (Type) Filter Blanket | Ton |
| 826 | 04 | Handrail (Steel)(3") | L.F. |
| 826 | 08 | Perforated Underdrain Pipe(6") | L.F. |
| 826 | 09 | Non‐Perforated Underdrain Pipe(6") | L.F. |
| 827 | 00 | Beam‐Type Guardrail (Single) | L.F. |
| 827 | 02 | Guardrail Anchor Unit, Type "A" (See Std. GRAU‐1‐1) | EA. |
| 828 | 08 | Remove & Replace Fence‐Type II(4' Chain Link) | L.F. |
| 828 | 12 | Remove & Replace Security Gate (6' Wooden) | L.F. |
| 828 | 15 | Remove & Replace Fence‐ Type III (6' Wood Panel | L.F. |
| 830 | 00 | Wheelchair Ramp | S.Y. |
| 830 | 01 | Tactile Markers/Truncated Domes | S.F. |
| 840 | 04 | Solid Slab Sodding (U‐3 Bermuda) | S.Y. |
| 846 | 02 | Remove & Replace Lawn Irrigation Pipe(1/2" to 2" Dia. PVC) | L.F. |
| 846 | 03 | Remove & Replace Lawn Irrigation Head | Ea. |
| 900 | 02 | Rock Bag Inlet Barrier | L.F. |
| 900 | 03 | Filter Fabric Silt Fence‐ Complete In Place | L.F. |
| 900 | 04 | Silt Dike | L.F. |
| 900 | 10 | Construction Entrance | EA. |
| 988 | 00 | Geotextile for Embankment Stabilization | S.Y. |
| 1000 | 00 | 12' Wide Asphalt Jogging Trail Complete in Place | S.Y. |
| 1000 | 44 | 10' Wide Asphalt Jogging Trail Complete in Place | S.Y. |
Exhibit C ~ Davis/Bacon Wage Determination
General Decision Number: OK150022 01/02/2015 OK22
Superseded General Decision Number: OK20140022
State: Oklahoma
Construction Type: Highway
Counties: Canadian, Cleveland, Grady, Lincoln, Logan and McClain Counties in Oklahoma.
HIGHWAY CONSTRUCTION PROJECTS (excluding tunnels, building structures in rest area projects & railroad construction; bascule, suspension & spandrel arch bridges designed for commercial navigation, bridges involving marine construction; and other major bridges).
DRAF Note: Executive Order (EO) 13658 establishes an hourly minimum wage of $10.10 for 2015 that applies to all contracts subject to the Davis-Bacon Act for which the solicitation is issued on or after January 1, 2015. If this contract is covered by the EO, the contractor must pay all workers in any classification listed on this wage determination at least $10.10 (or the applicable wage rate listed on this wage determination, if it is higher) for all hours spent performing on the contract. The EO minimum wage rate will be adjusted annually. Additional information on contractor requirements and worker protections under the EO is available at www.dol.gov/whd/govcontracts.
Modification Number 0
Publication Date 01/02/2015
* SUOK2011-009 04/18/2011
Rates
T 10/8/15
Fringes
Lincoln County.............$ 10.17
http://www.wdol.gov/wdol/scafiles/davisbacon/OK22.dvb?v=0
10/6/2015
McClain County.............$ 10.37
DRAF
T 10/8/15
TRUCK DRIVER
Dump Truck http://www.wdol.gov/wdol/scafiles/davisbacon/OK22.dvb?v=0
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Water Truck.................$ 12.00
WELDERS - Receive rate prescribed for craft performing operation to which welding is incidental.
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Unlisted classifications needed for work not included within the scope of the classifications listed may be added after award only as provided in the labor standards contract clauses (29CFR 5.5 (a) (1) (ii)).
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DRAF The body of each wage determination lists the classification and wage rates that have been found to be prevailing for the cited type(s) of construction in the area covered by the wage determination. The classifications are listed in alphabetical order of "identifiers" that indicate whether the particular rate is a union rate (current union negotiated rate for local), a survey rate (weighted average rate) or a union average rate (weighted union average rate).
Union Rate Identifiers
T 10/8/15 A four letter classification abbreviation identifier enclosed in dotted lines beginning with characters other than "SU" or "UAVG" denotes that the union classification and rate were prevailing for that classification in the survey. Example: PLUM0198-005 07/01/2014. PLUM is an abbreviation identifier of the union which prevailed in the survey for this classification, which in this example would be Plumbers. 0198 indicates the local union number or district council number where applicable, i.e., Plumbers Local 0198. The next number, 005 in the example, is an internal number used in processing the wage determination. 07/01/2014 is the effective date of the most current negotiated rate, which in this example is July 1, 2014.
Union prevailing wage rates are updated to reflect all rate changes in the collective bargaining agreement (CBA) governing this classification and rate.
Survey Rate Identifiers
Classifications listed under the "SU" identifier indicate that http://www.wdol.gov/wdol/scafiles/davisbacon/OK22.dvb?v=0
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no one rate prevailed for this classification in the survey and the published rate is derived by computing a weighted average rate based on all the rates reported in the survey for that classification. As this weighted average rate includes all rates reported in the survey, it may include both union and non-union rates. Example: SULA2012-007 5/13/2014. SU indicates the rates are survey rates based on a weighted average calculation of rates and are not majority rates. LA indicates the State of Louisiana. 2012 is the year of survey on which these classifications and rates are based. The next number, 007 in the example, is an internal number used in producing the wage determination. 5/13/2014 indicates the survey completion date for the classifications and rates under that identifier.
Survey wage rates are not updated and remain in effect until a new survey is conducted.
Union Average Rate Identifiers
Classification(s) listed under the UAVG identifier indicate that no single majority rate prevailed for those classifications; however, 100% of the data reported for the classifications was union data. EXAMPLE: UAVG-OH-0010 08/29/2014. UAVG indicates that the rate is a weighted union average rate. OH indicates the state. The next number, 0010 in the example, is an internal number used in producing the wage determination. 08/29/2014 indicates the survey completion date for the classifications and rates under that identifier.
DRAF A UAVG rate will be updated once a year, usually in January of each year, to reflect a weighted average of the current negotiated/CBA rate of the union locals from which the rate is based.
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WAGE DETERMINATION APPEALS PROCESS
* a survey underlying a wage determination
T 10/8/15 1.) Has there been an initial decision in the matter? This can be: * an existing published wage determination
* a Wage and Hour Division letter setting forth a position on a wage determination matter
* a conformance (additional classification and rate) ruling
On survey related matters, initial contact, including requests for summaries of surveys, should be with the Wage and Hour Regional Office for the area in which the survey was conducted because those Regional Offices have responsibility for the Davis-Bacon survey program. If the response from this initial contact is not satisfactory, then the process described in 2.) and 3.) should be followed.
With regard to any other matter not yet ripe for the formal process described here, initial contact should be with the Branch of Construction Wage Determinations. Write to:
http://www.wdol.gov/wdol/scafiles/davisbacon/OK22.dvb?v=0
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Branch of Construction Wage Determinations Wage and Hour Division U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210
2.) If the answer to the question in 1.) is yes, then an interested party (those affected by the action) can request review and reconsideration from the Wage and Hour Administrator (See 29 CFR Part 1.8 and 29 CFR Part 7). Write to:
Wage and Hour Administrator U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210
The request should be accompanied by a full statement of the interested party's position and by any information (wage payment data, project description, area practice material, etc.) that the requestor considers relevant to the issue.
3.) If the decision of the Administrator is not favorable, an interested party may appeal directly to the Administrative Review Board (formerly the Wage Appeals Board). Write to:
Administrative Review Board U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210
4.) All decisions by the Administrative Review Board are final.
DRAF
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END OF GENERAL DECISION
T 10/8/15
http://www.wdol.gov/wdol/scafiles/davisbacon/OK22.dvb?v=0
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Exhibit D ~ Byrd Amendment Certification
Exhibit D: Byrd Amendment Certification
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard FormLLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award documents for all sub-awards at all tiers (including subcontracts, subgrants, and contracts u der grants, loans, and cooperative agreements) and that all sub-recipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
Signature
Printed Name
Position
Date
Exhibit E ~ Certification Regarding Debarment, Suspension and Other Responsibility Matters
Exhibit E: Certification Regarding Debarment, Suspension, and Other Responsibility Matters
In accordance with 2 CFR Part 2424 and 24 CFR Parts 5, 6, et al (US Department of Housing and Urban Development: Implementation of OMB Guidance on Debarment and Suspension; Final Rule) the Respondent certifies, to the best of his or her knowledge and belief, that:
(1) No employee of the Respondent who will materially participate in the Respondent's delivery of labor or work product under this RFP is currently suspended or debarred under the applicable laws or regulations in effect on the date of certification;
(2) No sub-contractor, partner or other party who will materially p articipate in the Respondent's delivery of labor or work product under this RFP is currently s uspended or debarred under the applicable laws or regulations in effect on the date of certification.
(3) The undersigned Respondent shall require that the language of this certification be included in the award documents for all sub-awards at all tiers (including subcontracts, sub-grants, and contracts under grants, loans, and c ooperative agreements) and that all sub-recipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transact n imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
Signature
Printed Name
Position
Date
Exhibit F ~ Certification as a Minority Owned, Women Owned or Section 3 Business
Exhibit F:
Instructions: If the Respondent is a Minority Owned Business (MOB) or Women Owned Business (WOB) or qualifies as a Section 3 business, the Respondent completes Form F.1. If the Respondent intends to utilize a MOB/WOB or Section 3 business in the performance of the proposed contract, the respondent completes Form F.2
F.1: CERTIFICATION AS A MINORITY OWNED, WOMEN OWNED OR SECTION 3 BUSINESS
I, certify that is a Minority Owned, Women Owned or Section 3 Business.
Business Registered Name
Business Registered Address 1
Business Registered Address 2
State of Registration
Certificate or Registration Number
Certifying Agency
This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. The City reserves the right to withdraw or terminate the proposed contract should the representation of fact be false.
Signature
Printed Name
Position
Date
F.2: STATEMENT OF INTENT OF MOB/WOB/SECTION 3 UTILIZATION
I, certify that _will utilize Minority Owned Business (MOB) or Women Owned Business (WOB) as subcontractor(s), vendor(s), supplier(s), or professional service(s). The estimated dollar value of the amount that we plan to pay the MOB or WOB subcontractor(s), vendor(s), supplier(s), or professional service(s) is $
| Description of Work | MOB Amount | WOB Amount | Section 3 Amount |
|---|---|---|---|
This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. The City reserves the right to withdraw or terminate the proposed contract should the representation of fact be false
Signature
Printed Name
Position
Date
|
Problem tree
What is it?
The problem tree is a flow diagram which shows the cause and effect relations between different aspects of a particular issue or problem. It can help to build a picture of the major problems facing a community. It helps to identify the various impacts of a hazard and encourages community members to look into the root causes that have led or contributed to the problems. This helps to identify the issues that need to be addressed in order to reduce vulnerability. This tool can also help to give structure when analysing information obtained from other tools.
Use it to…
* Assess vulnerabilities by analysing the cause and effect of a hazard or problem
* Identify the various impacts of a hazard or problems and additional potential longterm effects
* Understand the root causes that need to be addressed to reduce vulnerability.
* It can also be used in the planning phase to create a solution tree to help find the solutions to the problems identified through the problem tree
When to use it
Since this tool dives deeper into root causes of the issues in the community it is advisable to use it at a later stage of the assessment after some of the main problems have been identified using other tools. In conjunction with the solution tree it can be used during the planning phase to identify solutions to reduce vulnerabilities.
Skills needed
The facilitator needs to be able to accurately capture and synthesize the information provided. He or she should have good analytical skills in sorting and grouping similar issues and helping to identify connections and linkages between issues. Most importantly he/she needs to be good in asking probing questions such as 'So what' and 'Why'?
The facilitator should have an understanding of the role and relationships of men and women and marginalized groups in the community to help participants identify differently impacts and root causes that might relate to unequal existing social structures.
.
How to do it
Step 1. Assign a problem or hazard to the group
* From the problem prioritized from the problem ranking tool (see step 5.3 in the EVCA), take each problem separately for a detailed analysis. From the information gathered through the use of other tools and interviews, various concerns and problems will have already been identified. Write down each of the major hazards on a separate piece of paper and then tape these on the wall (people can draw problems if they do not know how to read and write).
* Divide participants into groups and assign one hazard per group. If you have divided groups already by gender or other grouping, you might ask each group to focus on one specific problem that they would like to prioritize first or ask each group to work on all top hazards at the same time. Another option is to ask groups to rotate (world café style), so they can add onto what the previous group already wrote down and each group gets the opportunity to work on all problems .
Step 2. Determine how to divide the groups and participants
* It is critical that all participants get the chance to express the problems they find important. Depending on the context, it is recommended to first prepare separate trees for problems identified by women and men, as well as by different age groups and other groupings deemed important through the process of the EVCA. 1
* For example you could also divide participants into livelihoods groups (industry labourers, traders, farmers, etc.) or other subgroups (poor people, rich, medium) as their problems and vision of the situation may be very different.
* Young people might not feel free to talk when included in groups with adults but it's important to consider their point of view about problems and solutions, as they might have a different outlook on the future.
* At the end the separate trees can then be compared and analysed.
1 Gender and diversity sensitive VCA, p. 21.
Step 3. Draw a problem tree
Now ask each group to start drawing a "problem tree":
- The trunk represents a problem (or hazard or threat),
- the branches and leaves are the impacts and effects
- the roots are the causes.
The problem tree can be drawn on a flipchart or with digital tools like MindMap or Mindmeister on a laptop or computer.
Maldivian Red Crescent VCA Toolbox
3.1 Identify impacts
Discuss 'How is it affecting us?' Each branch can branch out in many further impacts that are resulting from the first impact and even long-term effects. Keep probing: So what? Then what? Are the impacts the same for everyone? Are there specific effects for women, children, and people with disabilities?
3.2 Identify causes
Ask the participants to discuss the possible causes to the problem 'Why is it affecting us?', what is causing the problem? There could be more than one cause to the main problem and each cause should be listed on a separate tree root. Based on the first level, the participants are to take each of the causes and underlying issues leading to this. This would provide a further level of causes. This process can be done until, a root cause is identified. This is observed when the participants feel that there are no more causes beyond what they mentioned.
These will develop dynamically as participants discuss the issues. As facilitator you should encourage people to probe further.
* When discussing the impact and root causes of the hazard in the community, you can use the resilience characteristics as guide to explore the different aspects of the problem. For example, what is the impact on people, on health, on their basic needs, on livelihoods and economic opportunities, social structures, infrastructure & services and natural assets. What are the underlying vulnerabilities for example in terms of health, who is more vulnerable, what is their reliance on certain types of livelihoods, is there a lack of quality
of infrastructure and services, degradation of natural resources etc. that are contributing risk factors (see example in table below)?
* If possible, try to cluster the roots (causes) and branches (impacts) by the characteristics of resilience. However, you might also find how they are interlinked, for example a direct impact of a drought might be scarcity of water (basic needs), which might lead to livestock death (economic) leading to a conflict over scarce water resources (social cohesion).
Tip!
Try to reflect on the six characteristics of resilience when considering the different impacts and root causes in relation to the hazards.
* As mentioned above, be sensitive about facilitating discussion about underlying vulnerabilities and root causes that might relate to social and cultural structures. These are important to identify and might require further dialogue. .
* Beware of not letting the discussion and participants "jump to conclusions" and just blame any hazard on the climate or climate change. 2 For example, increased flooding might be in part due to more intense rainfall events but there might be many other contributing factors that lead to a flood event. Verify from secondary sources what are the observed climatic changes in the area, but also probe for other contributing factors (e.g. land use changes, environmental degradation, clogged drainage, etc.)
2 Suggestions for VCA adaptation – for tools and approaches, 2016.
Example from Make the Change
Step 4. If different groups were made, bring the groups together to discuss the problem trees
Facilitators could discuss with each separate group the key issues before bringing the community together again.
Then different issues identified in the problem tree must be brought together to discuss the differences and similarities between women, men, disabled and other groups. Highlight commonalities and differences in the impacts identified and the vulnerabilities (root causes). This will create a discussion around different perceptions and priorities which will support the development of solutions in the community.
Next steps: Synthesize vulnerabilities
Once the problem tree has been created, you can check to see whether other sources of information have identified the same problems and root causes and thus verify and triangulate.
Add the issues identified to the synthesis summary of vulnerabilities in the analysis (see table 6.1.7 in Step 6 of the EVCA guide).
Resilience
| Health | | impacts on health including death, injury, psycho-social health. |
|---|---|---|
| Basic needs- Shelter | | impacts on houses and other shelter types |
| | Basic needs- | |
| | Shelter | |
| | Basic needs - | impact on food security and nutrition |
| | Food | |
| | Basic needs - | impact on quantity and quality of drinking water and sanitation |
| | Water | |
| Social cohesion | | Impact of disasters on family and community relations and support networks, different impacts depending on gender, age, disability or ethnic group; stress and violence due to psycho-social impact, conflict over scare resources, |
| Economic opportunity | | impacts on livelihood such as crops failure or livestock death, impact on business and trade, debt |
| Infrastructure and services | | impact on infrastructure e.g. destroyed bridges or damaged schools, disruption of services, |
| Natural assets | | destruction of natural assets |
| Connected | | loss of mobile connectivity, cut-off from support |
Constraints and pitfalls
* When discussing the causes in the problem tree, beware of not letting the discussion and participants "jump to conclusions". Keep probing. Don't let participants just blame any problem on the climate or topography. Probe for other underlying vulnerabilities that causes people and assets to be affected.
* Be respectful of belief systems. When asked why people think changes are occurring, often they might say 'because we have done something bad' or 'God is punishing us' or are 'Acts of God'. This kind of explanation can lead people to believe that things will soon return to normal or even worse, to fatalism or inaction. It is important to consider people's belief system and discuss other explanations and causes in sensitive ways. Most religion and belief systems do have stories that emphasise the importance of humans using their intelligence to take action 3 and have respect for nature.
* It is important to determine whether the different groups of people perceive the problem in the same way, if not, the problem might need to be reformulated. As a facilitator, be conscious though that the views by marginalized groups do not get dismissed by more dominant groups or participants.
Variation: Solution tree
What is it?
A solution tree is an activity we can use to help us find the solutions to the problems that we identified through the problem tree; in this way we are able to visualize our desired future situation for our community. Based on the solution tree, the community would be able to develop it's action plan (EVCA Step 8).
Use it to…
* help find solutions to identified problems
* identify capacities that can support these solutions
* develop objectives and activities for community led projects
* visualize desired outcomes
How to do it…
Step 1: Brainstorm ideas to solve the problems
Review the problem tree or other tools that identified main problems. Start by picking on of the priority problems and turn it into positive statement. For example 'lack of drinking water' becomes 'availability of adequate drinking water.'
On pieces of paper ask everyone to write or draw our individual ideas of the different activities and actions that they believe can contribute to solving our problems. Those participants who cannot read and write can present their thoughts through drawings. Stick these pieces of paper on the wall. Identify all those that are similar or are related and we group them together.
Step 2. Construct a new tree of solutions where:
- the solutions are represented in the trunk
- the actions to reach these solutions are in the roots.
- the positive results or consequences we wish for our community are in the leaves.
Step 3: Review and reflect with the participants:
Reflect on the following questions and make changes accordingly or decide how and who will get additional required information:
* Do we believe that the solutions are correct? What additional information or expertise might we need to check and develop them further?
* Have we considered the opinion of women and men, girls and boys? Do the objectives meet the needs of both men and women, and the needs of the most vulnerable? How can women, men, boys, girls, people with disabilities participate in the activities?
* Do no harm: could the proposed activities have negative consequences for other groups or communities? If yes, how could that be mitigated?
* Have we taken into consideration changing and emerging risks? Are the solutions and activities still going to be sufficient in the future (e.g. take into consideration changes in average conditions like sea level or temperatures, or changes in the frequency and severity of the disasters)? Would the proposed activities harm the environment or natural resources?
Next steps:
7 From the above information you can develop a theory of change, and turn ideas into community action plan or project plan with objectives, outputs and activities.
Coverage of
| Knowledgeable about risk |
|---|
| Health |
| Basic needs- Shelter |
| Basic needs - Food |
| Basic needs - Water |
| Social cohesion |
| Economic opportunity |
Problem tree
Infrastructure
and services
Natural assets
Connected
|
HELPGUIDE.ORG
Trusted guide to mental, emotional & social health
Adult ADHD and Relationships
Dealing with Symptoms Together and Overcoming Relationship Challenges
Relationships where one or both members of the couple have ADHD can be troubled by misunderstandings, frustrations, and resentments. This is especially likely if the symptoms of ADHD have never been properly diagnosed or treated. The good news is that you can turn these problems around. You can build a healthier, happier partnership by learning about the role ADHD plays in your relationship and how both of you can choose more positive and productive ways to respond to challenges and communicate with each other.
How does ADHD or ADD affect relationships?
While the distractibility, disorganization, and impulsivity of attention deficit hyperactivity disorder (ADHD or ADD) can cause problems in many areas of adult life, these symptoms can be particularly damaging when it comes to your closest relationships.
If you're the person with ADHD, you may feel like you're constantly being criticized, nagged, and micromanaged. No matter what you do, nothing seems to please your spouse or partner. You don't feel respected as an adult, so you find yourself avoiding your partner or saying whatever you have to in order to get them off your back. You wish your significant other could relax even a little bit and stop trying to control every aspect of your life. You wonder what happened to the person you fell in love with.
If you're in a relationship with someone who has ADHD, you may feel lonely, ignored, and unappreciated. You're tired of taking care of everything on your own and being the only responsible party in the relationship. You don't feel like you can rely on your partner.
They never seem to follow through on promises, and you're forced to constantly issue reminders and demands or else just do things yourself. Sometimes it feels as if your significant other just doesn't care.
It's easy to see how the feelings on both sides can contribute to a destructive cycle in the relationship. The non-ADHD partner complains, nags, and becomes increasingly resentful while the ADHD partner, feeling judged and misunderstood, gets defensive and pulls away. In the end, nobody is happy. But it doesn't have to be this way. You can find new ways to face the challenges of ADHD and improve how you communicate, adding greater understanding to your relationship and bringing you closer together.
Understanding the role of ADHD in adult relationships
Transforming your relationship starts with understanding the role that ADHD plays. Once you are able to identify how the symptoms are ADHD are influencing your interactions as a couple, you can learn better ways of responding. For the partner with ADHD, this means learning how to manage your symptoms. For the non-ADHD partner, this means learning how to react to frustrations in ways that encourage and motivate your partner.
Symptoms of ADHD that can cause relationship problems
Trouble paying attention. If you have ADHD, you may zone out during conversations, which can make your partner feel ignored and devalued. You may also miss important details or mindlessly agree to something you don't remember later, which can be frustrating to your loved one.
Forgetfulness. Even when someone with ADHD is paying attention, they may later forget what was promised or discussed. When it's your spouse's birthday or the formula you said you'd pick up, your partner may start to feel like you don't care or you're unreliable.
Poor organizational skills. This can lead to difficulty finishing tasks as well as general household chaos. Partners may feel like they're always cleaning up after the person with ADHD and shouldering a disproportionate amount of the family duties.
Impulsivity. If you have ADHD, you may blurt things out without thinking, which can cause hurt feelings. This impulsivity can also lead to irresponsible and even reckless behavior (for example, making a big purchase that isn't in the budget, leading to fights over finances).
Emotional outbursts. Many people with ADHD have trouble moderating their emotions. You may lose your temper easily and have trouble discussing issues calmly. Your partner may feel like they have to walk on eggshells to avoid blowups.
Put yourself in your partner's shoes
The first step in turning your relationship around is learning to see things from your partner's perspective. If you've been together a long time or you've had the same fights again and again, you might think that you already understand where your partner is coming from. But don't underestimate how easy it is to misinterpret your partner's actions and intentions. You and your partner are more different than you think—especially if only one of you has ADHD. And just because you've heard it all before doesn't mean you've truly taken in what your partner is saying. When emotions are running high, as they usually do around ADHD relationship issues, it's particularly difficult to maintain objectivity and perspective.
The best way to put yourself in your partner's shoes is to ask and then simply listen. Find a time to sit down and talk when you're not already upset. Let your partner describe how they feel without interruption from you to explain or defend yourself. When your partner is finished, repeat back the main points you've heard them say, and ask if you understood correctly. You may want to write the points down so you can reflect on them later. When your partner is finished, it's your turn. Ask them to do the same for you and really listen with fresh ears and an open mind.
Tips for increasing empathy in your relationship
Study up on ADHD. The more both of you learn about ADHD and its symptoms, the easier it will be to see how it is influencing your relationship. You may find that a light bulb comes on. So many of your issues as a couple finally make sense! Remembering that an ADHD brain is hardwired differently to a brain without ADHD can help the non-ADHD partner take symptoms less personally. For the partner with ADHD, it can be a relief to understand what's behind some of your behaviors—and know that there are steps you can take to manage your symptoms.
(/articles/add-adhd/adhd-attention-deficit-disorder-in-adults.htm) ADHD in Adults: (/articles/add-adhd/adhd-attention-deficit-disorder-in-adults.htm) Recognizing the Signs and Taking Action
Acknowledge the impact your behavior has on your partner. If you're the one with ADHD, it's important to recognize how your untreated symptoms affect your partner. If you're the non-ADHD partner, consider how your nagging and criticism makes your spouse feel. Don't dismiss your partner's complaints or disregard them because you don't like the way they bring it up or react to you.
Separate who your partner is from their symptoms or behaviors. Instead of labeling your partner "irresponsible," recognize their forgetfulness and lack of follow-through as symptoms of ADHD. Remember, symptoms aren't character traits. The same goes for the non-ADHD partner too. Recognize that nagging usually arises from feelings of frustration and stress, not because your partner is an unsympathetic harpy.
How the partner with ADHD often feels:
Different. The brain is often racing, and people with ADHD experience the world in a way that others don't easily understand or relate to.
Overwhelmed, secretly or overtly, by the constant stress caused by ADHD symptoms. Keeping daily life under control takes much more work than others realize. Even if it's not always apparent, ADHD can make someone feel like they're struggling to keep their head above water.
Subordinate to their spouses. Their partners spend a good deal of time correcting them or running the show. The corrections make them feel incompetent, and often contribute to a parent-child dynamic. Men can describe these interactions as making them feel emasculated.
Shamed. They often hide a large amount of shame, sometimes compensating with bluster or retreat.
Unloved and unwanted. Constant reminders from spouses, bosses, and others that they should "change" reinforce that they are unloved as they are.
Afraid to fail again. As their relationships worsen, the potential of punishment for failure increases. But ADHD inconsistency means this partner will fail at some point. Anticipating failure results in reluctance to try.
Longing to be accepted. One of the strongest emotional desires of those with ADHD is to be loved as they are, in spite of imperfections.
How the non-ADHD partner often feels:
Unwanted or unloved. The lack of attention is interpreted as lack of interest rather than distraction. One of the most common dreams is to be "cherished," and to receive the attention from one's spouse that this implies.
Angry and emotionally blocked. Anger and resentment permeate many interactions with the ADHD spouse. Sometimes this anger is expressed as disconnection. In an effort to control angry interactions, some non-ADHD spouses try to block their feelings by bottling them up inside.
Incredibly stressed out. Non-ADHD spouses often carry the vast proportion of the family responsibilities and can never let their guard down. Life could fall apart at any time because of the ADHD spouse's inconsistency.
Ignored and offended. To a non-ADHD spouse, it doesn't make sense that the ADHD spouse doesn't act on the non-ADHD partner's experience and advice more often when it's "clear" what needs to be done.
Exhausted and depleted. The non-ADHD spouse carries too many responsibilities and no amount of effort seems to fix the relationship.
Frustrated. A non-ADHD spouse might feel as if the same issues keep coming back over and over again (a sort of boomerang effect).
Adapted from The ADHD Effect on Marriage: Understand and Rebuild Your Relationship in Six Steps, by Melissa C. Orlov
Take responsibility for your role
Once you've put yourself in your partner's shoes, it's time to accept responsibility for your role in the relationship. Progress starts once you become aware of your own contributions to the problems you have as a couple. This goes for the non-ADHD partner as well.
While the ADHD partner's symptoms may trigger an issue, the symptoms alone aren't to blame for the relationship problem. The way the non-ADHD partner responds to the bothersome symptom can either open the door for cooperation and compromise or provoke misunderstandings and hurt feelings. If you're the one with ADHD, you're also responsible for the way you react to your partner's concerns. Your reaction can either make your significant other feel validated and heard or disregarded and ignored.
Break free of the parent-child dynamic
Many couples feel stuck in an unsatisfying parent-child type of relationship, with the nonADHD partner in the role of the parent and the partner with ADHD in the role of the child. It often starts when the partner with ADHD fails to follow through on tasks, such as forgetting to pay the cable bill, leaving clean laundry in a pile on the bed, or leaving the kids stranded after promising to pick them up. The non-ADHD partner takes on more and more of the household responsibilities.
The more lopsided the partnership becomes, the more resentful they feel. It becomes harder to appreciate the ADHD spouse's positive qualities and contributions. Of course, the partner with ADHD senses this. They start to feel like there's no point to even trying and dismisses the non-ADHD spouse as controlling and impossible to please. So what can you do to break this pattern?
Tips for the non-ADHD partner:
You can't control your spouse, but you can control your own actions. Put an immediate stop to verbal attacks and nagging. Neither gets results.
Encourage your partner when they make progress and acknowledge achievements and efforts.
When possible, try to focus on your partner's intentions, rather than what they actually do. They may lose concentration when listening to you, for example, but that doesn't mean they don't care about what you have to say.
Stop trying to "parent" your partner. It is destructive to your relationship and demotivating to your spouse.
Tips for the partner with ADHD:
Acknowledge the fact that your ADHD symptoms are interfering with your relationship. It's not just a case of your partner being unreasonable.
Explore treatment options. As you learn to manage your symptoms and become more reliable, your partner will ease off.
If strong emotions derail conversations with your partner, agree in advance that you need to take a time out to calm down and refocus before continuing.
Find ways to spoil your spouse. If your partner feels cared for by you—even in small ways—they will feel less like your parent.
Stop fighting and start communicating
As you've already seen, communication often breaks down between partners when ADHD is in the mix. One partner feels overburdened. The other feels attacked. They end up fighting each other rather than tackling the issue.
To improve communication, do what you can to defuse emotional volatility. If need be, take time to cool off before discussing an issue. When you have the conversation, listen closely to your partner. Ask yourself what you're really arguing about. What's the deeper issue?
Example: A couple fights over dinner being an hour late. The husband, who doesn't have ADHD, is upset over more than his empty stomach. He feels frustrated with his wife's lack of reliability and attention (I work hard to provide for her! Why don't I ever get any TLC? If she cared for me, she'd make more of an effort.). The ADHD wife feels overwhelmed and unfairly judged (I have so much to take care of around the house. It's hard for me to keep on top of everything and I lost track of time. How does that make me a bad wife?).
Once you identify the real issue, it's much easier to resolve the problem. In this example, the husband would be less upset if he realized that his wife's chronic lateness and disorganization isn't personal. It's a symptom of untreated ADHD. For her part, once the wife understands that a timely dinner makes her husband feel loved and appreciated, she'll be more motivated to make it happen.
(/articles/relationships-communication/relationship-help.htm) Relationship Help: (/articles/relationships-communication/relationship-help.htm) Building Relationships that Last
Don't bottle up your emotions. Fess up to your feelings, no matter how ugly. Get them out in the open where you can work through them as a couple.
You're not a mind reader. Don't make assumptions about your partner's motivations. Avoid the "if my spouse really loved me…" trap. If your partner does something that upsets you, address it directly rather than silently stewing.
Watch what you say and how you say it. Avoid critical words and questions that put your partner on the defensive ("Why can't you ever do what you said you would?" or "How many times do I have to tell you?").
Find the humor in the situation. Learn to laugh over the inevitable miscommunications and misunderstandings. Laughter relieves tension and brings you closer together.
Improving your communication skills when you have ADHD
ADHD symptoms can interfere with communication. The following tips can help you have more satisfying conversations with your partner and other people.
Communicate face to face whenever possible. Nonverbal cues such as eye contact, tone of voice, and gestures communicate much more than words alone. To understand the emotion behind the words, you need to communicate with your partner in person, rather than via phone, text, or email.
Listen actively and don't interrupt. While the other person is talking, make an effort to maintain eye contact. If you find your mind wandering, mentally repeat their words so you follow the conversation. Make an effort to avoid interrupting.
Ask questions. Instead of launching into whatever is on your mind—or the many things on your mind—ask the other person a question. It will let them know you're paying attention.
Request a repeat. If your attention wanders, tell the other person so as soon as you realize it and ask them to repeat what was just said. If you let the conversation go too long when your mind is elsewhere, it will only get tougher to re-connect.
Manage your emotions. If you're unable to discuss certain subjects without flying off the handle or saying things you later regret, consider practicing mindfulness meditation. As well as helping to lower impulsivity and improve focus, regular mindfulness meditation can offer you greater control over your emotions and prevent the emotional outbursts that can be so damaging to a relationship. HelpGuide's free Emotional Skills Toolkit (/articles/mental-health/emotional-intelligence-toolkit.htm) can show you how.
Work together as a team
Just because one partner has ADHD doesn't mean you can't have a balanced, mutually fulfilling relationship. The key is to learn to work together as a team. A healthy relationship involves give and take, with both individuals participating fully in the partnership and looking for ways to support each other.
Take some time on both sides to identify what you're good at and which tasks are most challenging for you. If your spouse is strong in an area in which you're weak, perhaps they can take over that responsibility, and vice versa. It should feel like an equal exchange. If you're both weak in a certain area, brainstorm how to get outside help. For example, if neither of you are good with money, you could hire a bookkeeper or research money management apps that make budgeting easier.
(/articles/add-adhd/managing-adult-adhd-attention-deficit-disorder.htm) Tips for Managing Adult ADHD: (/articles/add-adhd/managing-adult-adhdattention-deficit-disorder.htm) Improve Symptoms, Enhance Focus and Organization
Divide tasks and stick to them. The non-ADHD partner may be more suited to handling the bills and doing the errands, while you manage the children and cooking.
Schedule weekly sit-downs. Meet once a week to address issues and assess progress you've made as a couple.
Evaluate the division of labor. Make a list of chores and responsibilities and rebalance the workload if either one of you is shouldering the bulk of the load.
Delegate, outsource, and automate. You and your partner don't have to do everything yourselves. If you have children, assign them chores. You might also consider hiring a cleaning service, signing up for grocery delivery, or setting up automatic bill payments.
Split up individual tasks, if necessary. If the partner with ADHD has trouble completing tasks, the non-ADHD partner may need to step in as the "closer." Account for this in your arrangement to avoid resentments.
Create a practical plan
If you have ADHD, you probably aren't very good at organizing or setting up systems. But that doesn't mean you aren't able to follow a plan once it's in place. This is an area where the non-ADHD partner can provide invaluable assistance. They can help you set up a system and routine you can rely on to help you stay on top of your responsibilities.
Start by analyzing the most frequent things you fight about, such as chores or chronic lateness. Then think about practical things you can do to solve them. For forgotten chores, it might be a big wall calendar with checkboxes next to each person's daily tasks. For chronic lateness, you might set up a calendar on your smartphone, complete with timers to remind you of upcoming events.
Helping your partner with ADHD
Develop a routine. Your partner will benefit from the added structure. Schedule in the things you both need to accomplish and consider set times for meals, exercise, and sleep.
Set up external reminders. This can be in the form of a dry erase board, sticky notes, or a to-do list on your phone.
Control clutter. People with ADHD have a hard time getting and staying organized, but clutter adds to the feeling that their lives are out of control. Help your partner set up a system for dealing with clutter and staying organized.
Ask the ADHD partner to repeat requests. To avoid misunderstandings, have your partner repeat what you have agreed upon.
Author: Melinda Smith, M.A. Last updated: October 2018.
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Shigellosis Linked to Sex Venues, Australia
Belinda O'Sullivan,* Valerie Delpech,* Giulietta Pontivivo,† Thomas Karagiannis,‡ Debbie Marriott,‡ John Harkness,‡ and Jeremy M. McAnulty*
From January 1 to July 31, 2000, 148 cases of Shigella infection were reported in New South Wales, Australia, compared with an annual average of 95 cases. Of reported cases, 83% were confirmed as Shigella sonnei biotype G infections; 80% were in homosexual men. Visiting a sex venue in the 2 weeks before onset of illness was the only factor significantly associated with shigellosis.
n 2000, a major inner-city hospital laboratory in Sydney, New South Wales (NSW), reported to local health authorities an unexpected increase in the incidence of shigellosis in homosexual men. Shigellosis outbreaks have commonly been reported related to person-to-person contact (1), child-care centers, food sources (2), institutionalized populations (3), and contaminated water (4). The infectious dose is low, with 10– 100 organisms/mL sufficient for infection (5). In the United States, reports in the 1970s linked shigellosis transmission to orogenital and oral-anal sexual contact between men in bathhouses (6–7) and more recently with underlying HIV infection (8). Recent clusters of Shigella sonnei infection have been identified in Canada (9) and San Francisco (10) in men who have sex with men. I
Sex venues in Australia are commercial establishments or bathhouses where men pay an entry fee to engage in casual sex with other men. Such establishments may provide bondage equipment, cubicles for anonymous sex, saunas, lounges, douching facilities, and toilets. At the time of the outbreak, no guidelines governed infection control in these venues.
The Study
We contacted all public and private microbiology laboratories in inner Sydney as well as state and national reference laboratories to identify cases of shigellosis in NSW and determine the average number of cases per year. We defined outbreakassociated cases as shigellosis in homosexual men resident in NSW, aged 19–66 years, and identified by laboratories to have Shigella sonnei biotype G (SSBG) infection or untyped S. sonnei (if the laboratory did not routinely biotype S. sonnei) from April 1 to July 31, 2000. A patient questionnaire, piloted in 1999, included demographic details and history of illness, sexual activity, dining out, and overseas travel. Physicians from
*New South Wales Health Department, New South Wales, Australia; †Prince of Wales Hospital, Sydney, Australia; and ‡St. Vincent's Hospital, Sydney, Australia
five key medical centers in inner Sydney specializing in homosexual men's health agreed to seek verbal consent from patients to either complete the questionnaire or be contacted by the investigators by telephone.
We compared reported risk exposures of patients with controls who completed the same questionnaire (all self-administered) at the same medical centers from March 1 to July 31, 1999 (Delpech, unpub. data). Controls were defined as homosexual or bisexual male residents of NSW who did not report any diarrhea in the previous 3 months.
We contacted all sex venues in inner Sydney by telephone to request permission to conduct an audit of hygiene and infection control practices. An infection control nurse inspected each venue, completing a standard audit tool that covered the appropriateness of lighting and surfaces for cleaning, cleaning regimens, hand washing, douching facilities, condom availability, and staff education. Microbiologic swabs were taken from contact surfaces including mattresses, cubicle walls, bondage equipment, door handles, and lubricant dispensers and placed in transport medium.
Aerobic cultures were performed on blood agar and MacConkey agar plates. Organisms were identified on Gram stain and routine biochemical testing. Antimicrobial susceptibility was performed by the National Committee of Clinical Laboratory Standards method with ciprofloxacin, co-trimoxazole, ampicillin, and cefotaxime. Clonality was demonstrated by using pulsed-field gel electrophoresis, enterobacterial repetitive intergenic consensus, and random-amplified polymorphic DNA polymerase chain reaction.
Univariate and multivariate logistic regression analysis was conducted by using Statistical Analytic Software (SAS; SAS Institute Inc., Cary, NC). Variables with p values <0.25 were applied to the multivariate model initially, and the backward stepwise elimination method was used. "Casual sexual partners" were defined by reporting "having casual sex partners in the last 3 months."
One hundred forty-eight patients with Shigella infection were identified from January 1 to July 31, 2000, in NSW; 123 (83%) were confirmed as having SSBG infections, compared with an annual average of 95 cases, with about 50% typed as SSBG (11). Most of the patients were reported during April and May (N=89) (Figure). Of the 123 patients with confirmed SSBG, 98 were identified as homosexual men ages 16–66 years and were defined as outbreak-associated cases. Of these, 15 (15%) were excluded because they had no physician-contact details, as these details were not routinely collected by state and national reference laboratories.
Questionnaires were completed by 42 (51%) of the remaining 83 patients; 33% of 42 questionnaires were completed by telephone interview with the investigators. Similar proportions of patients who completed a questionnaire (N=42) lived in inner Sydney (64%) compared with all outbreak-associated cases (N=148) (58%); both groups had a median age of 38 years. The main reason questionnaires were not completed was refusal to participate.
All 42 patients reported diarrhea, 19 (45%) bloody diarrhea, 35 (83%) fever, 38 (90%) cramps, and 12 (29%) vomiting. Illness lasted a mean of 13 days (range 2–90 days), and eight (19%) were hospitalized. Twenty-two (52%) reported that they were HIV infected. HIV-infected patients were no more likely to be hospitalized (odds ratio [OR] 0.9; 95% confidence interval [CI] 0.2 to 5.3).
cantly more likely to report diarrhea than those not reporting HIV infection (OR 2.9; 95% CI 1.5 to 5.9).
In univariate analysis, patients were more likely than controls to report having casual sex partners; visiting a sex venue in the previous 3 months; visiting a sex venue and having more than one sex partner in previous 2 weeks; and dining out in the last 3 days (Table). Age, either expressed as a continuous variable or in categorical 5-year age groups (OR 1.0; 95% CI 1.0 to 1.1); not always washing hands after sex in the previous 2 weeks; traveling overseas; and specific sexual behaviors or HIV status were not associated with illness. In multivariate analysis, visiting a sex venue in the previous 2 weeks was the only significant independent risk factor for shigellosis (p=0.002; OR 4.8; 95% CI 1.8 to 12.6).
All 15 identified sex-venue chains in inner Sydney were inspected during July 1 through August 1, 2000. Six (40%) of 15 had dim lighting that would prevent adequate cleaning. Ten (67%) had inadequate cleaning products and surfaces that were in a state of disrepair, including chipped, cracked, or damaged floors, wall surfaces, and furniture. Only four (27%) had a routine cleaning regimen during operational hours.
Sixty-five controls were included in the case-control study. Controls had a mean age of 38 years. Sixty-four percent of patients and 55% of controls resided in inner Sydney (OR 1.5; 95% CI 0.6 to 3.5). More patients (52%) than controls (48%) reported that they were infected with HIV (OR 1.2; 95% CI 0.6 to 2.6). Patients who reported HIV infections were signifi-
Six (40%) sex venues had no hand-washing basins, and two (13%) had basins that were inaccessible to patrons in sex activity areas. Five (33%) had anal-douching facilities, all of which sold douching tubing that was not designed for anal insertion. Only two venues with douching facilities reported routine cleaning of douching facilities after use. In one venue, fecally contaminated douching tubing was found stored in the douching room, suggesting re-use.
Seven (47%) venues offered unlimited access to condoms
a 95% CI, 95% confidence intervals.
c For controls, this question was asked in relation to previous 2 weeks rather than the 2 weeks before onset of illness.
b Significant at p<0.05
d Missing values were excluded from the analysis except for sexual activity variables (e.g., oral insertive sex), for which participants were asked to indicate "yes" if they did the specified activity. As such, failure to answer these questions was considered a "no" response.
and lubricants, and eight (47%) dispensed one condom and lubricant sachet on entry. Only two venues reported that staff members received infection control education.
A total of 63 microbiologic swabs were taken from 11 venues. No Shigella species were isolated, but 18 (29%) cultures, including 6 of 12 sites from one venue, grew coliform bacteria, indicating fecal contamination. Eight (57%) of 14 mattress swabs from different venues grew coliforms. Environmental organisms were isolated from 36 (57%) swabs. Ninety percent of case isolates were resistant to ampicillin and cotrimoxazole, and 98% showed a similar pattern of clonality.
Given the variability of standard infection-control practices across sex venues, Shigella may have been transmitted either directly during casual sex or indirectly from contact with contaminated surfaces or douching equipment. While visiting a sex venue was the only significant risk factor associated with shigellosis, 40% of patients reported not having attended a sex venue. Other factors that we did not measure may have led to transmission in these persons, including casual or sexual contact with other people with shigellosis outside sex venues, contact with fomites, or eating contaminated food. The foodborne route is unlikely, as this outbreak did not affect the general community.
Despite active surveillance, some underreporting of cases is likely in this outbreak because not all patients would have consulted a physician or had a fecal specimen obtained. However, the rate of physician visits for shigellosis is likely to be higher than for other less severe diarrheal illnesses (12). While the use of historical controls makes evaluating food- and waterborne risk factors for shigellosis difficult, we believe that the evaluation of sexual behaviors in homosexuals is likely to be reliable as they show little variation over the study period (13).
An interagency approach was used to develop and conduct plans to control the outbreak. Actions included a health promotion campaign focused on homosexual men; a shigellosis forum attended by owners, managers, and cleaners of sex venues; and the interagency development of infection control guidelines for such establishments. Guidelines for infection control should be followed and equipment and surfaces in sex venues should be cleaned regularly in adequate lighting. Patrons should have easy access to and be encouraged to use hand-washing facilities to minimize the likelihood of transmission of enteric pathogens. Homosexual men should routinely be given information about the ongoing risk of transmission of enteric pathogens.
Acknowledgments
We thank the physicians, local public health and local government authorities, microbiology laboratories, the AIDS Council of NSW, and sex venue owners and managers for their work on this outbreak.
Ms. O'Sullivan has a masters in public health from the University of Sydney and has worked in a range of public health settings as part of the New South Wales Public Health Officer Training Program coordinated by the NSW Health Department. Her interests are in epidemiology, research, and health promotion.
References
1. Givney R, Darzenos J, Davos D. Shigella at a wake in Adelaide, June 1998. Commun Dis Intell 1998;22:297.
2. An outbreak of infection with Shigella flexneri in South East England. Commun Dis Rep Wkly 1998;8:297–300.
3. Ryan MJ, Wall PG, Adak GK, Evans HS, Cowden JM. Outbreaks of infectious disease in residential institutions in England and Wales 1992– 1994. J Infect 1997;34:49–54.
4. Keene WE, McAnulty J, Hoesly FC, Williams P Jr, Hedberg K, Oxman GL, et al. A swimming-associated outbreak of hemorrhagic colitis caused by Escherichia coli O157:H7 and Shigella sonnei. N Engl J Med 1994;331:579–84.
5. Chin J. Control of communicable diseases manual. 17th ed. Washington: American Public Health Association; 2000.
6. Bader M, Pedersen AHB, Williams R, Spearman MN, Anderson H. Venereal transmission of shigellosis in Seattle-King County. Sex Trans Dis 1977;4:89–91.
7. Dritz SK, Ainsworth TE, Back A, Boucher LA, Palmer RD, River E. Patterns of sexually transmitted enteric diseases in a city. Lancet 1977;2:3–4.
8. Baer JT, Vugia DJ, Reingold AL, Aragon T, Angulo F, Bradford W. HIV infection as a risk factor for shigellosis. Emerg Infect Dis 1999;5:820–3.
9. Strauss B, Kurzac C, Embree G, Sevigney R, Fyfe M. Preliminary report: clusters of Shigella sonnei in men who have sex with men, British Columbia, 2001. Can Commun Dis Rep 2001;27:109–10.
10. Centers for Disease Control and Prevention. Shigella sonnei outbreak among men who have sex with men—San Francisco, California, 2000– 2001. MMWR Morb Mortal Wkly Rep 2002;50:922.
11. Microbiological Diagnostic Unit Melbourne. Melbourne: National Enteric Pathogen Surveillance System Human Quarterly Reports; 1999– 2000.
12. Wheeler JG, Sethis D, Cowden JM, Wall P, Rodrigues LC, Tompkins DS, et al. Study of infectious intestinal disease in England: rates in the community, presenting to general practice, and reported to national surveillance. BMJ 1999;318:1046–50.
13. Prestage G, Van de Ven P, Knox S, Grulich A, Kippax S, Crawford J. The Sydney gay community 1996–1999. changes over time. Sydney: National Center in HIV Social Research; 1999. p. 11–23.
Address for correspondence: Valerie Delpech, Communicable Diseases Branch, Level 7 NSW, Health Department, 73 Miller Street, Locked Mail Bag 961, North Sydney 2059, New South Wales, Australia; fax: 02-9391-9189; email: email@example.com
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SPACES aims to present conceptual frameworks and empirical studies on economic action in spatial perspective to a wider audience. The interest is to provide a forum for discussion and debate in relational economic geography.
Editor
Harald Bathelt
Managing Editors
Heiner Depner
Katrin Griebel
ISSN
1612-0205 (Printausgabe)
ISSN
1612-8974 (Internetausgabe)
© Copyright
Economic Geography, Faculty of Geography,
Philipps-University of Marburg, Germany
Gordon L. Clark and Nigel Thrift
FX Risk in Time and Space:
Managing Dispersed Knowledge in Global Finance
SPACES 2003-05
Authors' Information
Gordon L. Clark, School of Geography & the Environment, and Said Business School, University of Oxford, Oxford OX 1 3TB, UK. E-Mail: firstname.lastname@example.org
Nigel Thrift, School of Geographical Sciences, University of Bristol, Bristol BS8 1SS, UK. E-Mail: email@example.com
FX Risk in Time and Space:
Managing Dispersed Knowledge in Global Finance
Abstract. This paper considers the ways in which foreign currency trading is managed within multinational financial service companies. At issue is the management of risk by firms over time (24 hours) and space (around the world) with reference to foreign exchange transactions. We distinguish between risk management as an issue of incremental adaptation within known parameters and risk management as an issue of innovation and response to unexpected market movements. How these modes of risk management are institutionally organised around the world on a 24 hour basis not only affects the performance of such firms as investment managers but may also affect the volatility of global financial markets themselves. We pay particular attention to the apparently mundane issues of from where the management process is centred, the actual mechanics of handing trading books on from market to market within the firm, and the calculation and communication of risk profiles from one market to the next. The paper emphasizes the problem of the management of dispersed information within the firm and relies upon both published empirical research on the patterns of foreign exchange volatility and a detailed study of the management processes of one global financial house.
Key words: foreign exchange, time and space, management, bureaucracy
JEL codes: F31, G15, G24
1. Introduction
In the public mind, the paraphernalia of international finance are well-known: the trading floor full of shouting, brightly coloured bodies, the dealing room full of macho adrenaline addicts, periodic financial crises signalled by serious-looking commentators standing outside the headquarters of a financial institution, and so on. It would be fair to say that these kinds of images are foremost in many academic minds as well as the underlying processes that they are assumed to represent: a frantic search for profit, the hyper-speed of communication driven by remorseless technological advance, and the crisis-prone nature of capitalism.
First amongst exemplars of these developments is the global foreign exchange (FX) market. Lone traders hunched over their desks secretly trading enormous amounts of other people's money around the world in the search for personal wealth is a recurrent image. By many accounts, these traders are cowboys (at best) or renegades (at worst) putting in play not only the fortunes of their banks, but also the stability of national currencies and the entire financial world. Respectable versions of much the same idea are found in commentaries on the role and status of financiers like George Soros, and the hedge fund industry that has followed in his wake and is now deeply embedded in the global investment strategies of the largest institutional investors. At the limit, FX trading is the deus ex machina of 'hot money' undermining the stability of whole countries and regions, thereby cementing the well-worn prejudices of critics concerning the tyranny of global finance and financialization in general.
In this paper, we suggest that these kinds of accounts are both problematic in their own terms and historically outdated in a number of key aspects. We argue that the freest of free markets, which foreign exchange markets are often presumed to represent, is more accurately represented as a bureaucratic process of risk management that is dependent upon assessing dispersed knowledge about market conditions and response within the firm and across the globe. As such, its purposes are really quite mundane and are characteristic of many firms and industries in which knowledge management and recursive learning are core components of competitive strategy (Nooteboom 2001). Perhaps more than in many other firms and industries, this kind of bureaucratic process is essential to corporate financial integrity and performance; indeed, these kinds of activities may also be essential to global financial stability given the apparent less-attractive alternatives (see generally Stiglitz 2002).
The paper is in four main parts. The next part sets out a series of four myths that continue to beset social commentaries on international financial markets, drawn from the experience of the 1980s, and the combination of forces that have now called them in to question. We seek to dispel these myths through close study of the global foreign exchange market. In the subsequent part of the paper, we introduce the foreign exchange market and consider its contemporary mechanics. 1 We show that FX trading is a continuous but time-sensitive process and is a global but also a spatially-sensitive process. Understanding the time and space of FX markets is vital in understanding how the FX trading process and its attendant risks are institutionally managed. Thereafter, we go on to document and explain how private financial institutions manage the trading process on a 24 hour basis around the globe. In developing this account, we are conscious of the need to understand both the routine management of currency trading and the responsiveness of private institutions to events within the 24 hour cycle of markets opening and closing one after the other.
At the core of the paper is a basic proposition: global FX trading is a deliberate process of managing dispersed knowledge so as to account for and control total institutional risk exposure. While individual greed is always present, seeking-out unrecognised black spots in the management process, we contend that the real issue is institutional coordination and management and especially the maintenance of bureaucratic procedures that control trading exposures across time and space. The penultimate part of the paper considers the growth of bureaucratic procedures in large international financial services firms. This growth is associated with increased technological sophistication, new systems of risk management, and ever more demanding regulatory requirements regarding compliance. Thus, modern FX corporate trading floors are nearer to process-regulated accounting machines than entrepreneurial bear pits. Finally, we provide a summary of our argument and its implications.
The paper utilises three main sources of evidence. The first source is published quantitative research on global trading patterns and volatilities. The second source consists of insights gleaned from our own detailed interviews taken from a study of the foreign exchange operations of one global banking operation. We believe this operation to be representative of the large commercial organizations that now encircle the globe. 2 The third source is our
1 /. Here, we are particularly interested in institutional investors, recognising their importance in the FX trading process (Chinn 2003; Davis and Steil 2001). We do not consider their clients in any detail.
2 /. At the end of 2001, this institution had approximately $13.9 billion in revenues, $10 billion in equity and $406 billion in assets. It operated in 77 locations across more than 36 countries and was involved in a variety of activities including securities underwriting, sales and trading services, investment banking, private equity,
knowledge of the internal structures of large multinational financial institutions drawn from our own interaction with the international financial sector over twenty years or more (see, for example, Clark, Thrift and Tickell 2004). In any event, our paper is deliberately exploratory as much as it is designed to report evidence and findings from close dialogue. 3
2. Leaving behind the 1980s
Much of the critical literature on international financial markets is predicated on a set of myths for our time that retain a strong grip on the imagination. One myth finds its wellspring in a particular historical period being based on studies carried out in the 1980s, the high-noon of a particular set of entrepreneurial practices and representations. This was the time of Thatcher's 'big bang' in the City of London described in Churchill's (2002) Serious Money, and Reagan's Wall Street boom brought compellingly to life in Tom Wolfe's (1990) Bonfire of the Vanities and Auletta's (2001) Greed and Glory on Wall Street. It was the time of 'greed is good', of red ties and braces, of champagne and oysters, of barrow-boy traders and star bosses, of unlimited masculinity and its accompanying sexism. It laid down a particular set of interpretations of international finance which haunt us today (reinforced, of course, by the TMT (technology, media and telecommunications) boom of the 1990s and the related activities of analysts in the Wall Street based financial institutions). These interpretations even have grip within international finance: some of its participants would have us believe that this is still the swashbuckling world to which they belong. 4
A second myth takes it that the world of international finance lurches from boom to bust, from unbridled optimism to scandal and to irrational pessimism This myth is usually framed as a moral lesson about the iniquities and necessary failures of neoliberal capitalism. Whether it is Orange County derivatives, the LTCM crash, a rogue trader bringing down a bank, or some other manifestation, all are grist for the moral mill. The result is that financial advisory services, investment research, venture capital, correspondent brokerage services and asset management.
3 /. This kind of inductive process of both empirical analysis and theoretical speculation is increasingly important in the social sciences, and is characteristic of recent developments in economic geography and finance (see Clark 1998, Thrift 1997, and Wrigley, Currah and Wood 2003). But it is also a vital research tool in finance and economics in helping to build a better understanding of the behavioural structures underpinning global financial markets (see Shiller 2000; 2003).
4 /. It is instructive to pick one of the above mentioned books and view its contents on web sites like bn.com and amazon.com. These sites often list the related books bought by consumers who purchased one of those listed. There is a veritable market for the guts and gore of global financial malfeasance.
exceptional events are written about to a much greater degree than the ordinary but vital day-to-day operations of international finance. The mechanics of everyday reproduction are ignored or lost in a rush to demonise the unruly nature of financial capitalism.
The third myth centres around speed. According to many commentators, international finance has become a set of continuously moving markets, sustained by the seamless spread of information and the increasing speed of modern communications technology. Mythically, the world of international finance has become a uniform landscape over which money flows like mercury in response to the slightest variation in expectations. And the future holds out the promise of more of the same: it is supposed that each and every financial market which does not operate on this basis will gradually be forced to accommodate the imperatives of global integration. It may be a myth, but it is also a claim made about the functioning of financial markets now (O'Brien 1992) and in the future (Shiller 2003).
The fourth myth centres on the presumed ubiquity of information. And yet, commentators point to a paradox: on one side, the power of privileged forms of information exchange that still rely on unmediated communication whether these be the buzz of dealing floors or the power of gossip retailed in pubs and wine bars. On the other side, an environment characterised by more and more mediated electronic communication from the telephone to the screen, from instant messaging to electronic data display etc. At the limit, this myth would have it that it does not matter where in time and space we are located - we can all trade in the global marketplace on equal terms not withstanding the evidence to the contrary (see Clark and Wojcik 2004 on related commentaries regarding the value of trading location in pricing the integration of European capital markets).
In this paper we seek to show through a detailed case study of global foreign exchange trading that each of these four myths is suspect. They persist because of a curious lack of attention to changing circumstances, a tendency to hyperbole instead of empirical analysis, and a large dollop of technological determinism. In particular, we wish to show how four forces have become so intertwined to produce a global foreign exchange market rather different from the one commonly found in the critical social science literature if not in the expert studies of market performance.
The first and most obvious of these forces is the gathering global recession accentuating competitive pressures and scale. Since the burst of the TMT bubble at the end of 2000, the world's financial markets have been subject to a marked slowdown in the growth of transactions. Coupled with declining demand for advanced financial products and traded securities, the slowing rate of growth has introduced great pressure on the cost structures of international financial firms. In turn, this has been particularly problematic for smaller firms that do not have the operational reach or depth of liquidity to participate fully in markets where very large sequential trades across the globe are used to pick up the slightest of profits from the smallest differences of a few basis points.
The second force is technological efficiency. Since the 1980s, information technology has continued to grow in scale, effectiveness, and price. In turn, firms must now operate at much the same electronic speeds, have access to many of the same products (and, if they do not have them, be able to catch up more quickly than in the past), and have access to much the same information and expertise. Even though the set-up or sunk costs associated with market position have greatly increased in significance, competitive edge is much more difficult to have and to hold. Similarly, markets are less likely to be characterized by systematic inefficiencies than in the past. High levels of information flows and the application of advanced technology have ironed-out arbitrage opportunities, making for fewer of those opportunities while reducing the size of pay-offs when such opportunities arise.
The third force is increasing market concentration. The largest international financial firms dominate global market trading and dominate many developed domestic markets. Furthermore, market concentration measured in terms of the share of all transactions held by the largest firms is remorselessly increasing within and between capital markets and is especially apparent in the US and Europe (Davis and Steil 2001). These firms are not the swashbuckling entities of folklore. They are very large and complex bureaucracies which depend on highly-articulated hierarchies of control, management, and the flow of information. Their best interests are served by knowing what every one of their traders are doing on a near to continuous basis.
The fourth force is regulation. The intrusion of regulation on firms' operations is much greater than is often realised and is growing - the product of the crises of the 1990s and the concern of multilateral and national institutions charged with global financial stability. Not only do the requirements of regulatory compliance strengthen the bureaucratic impulse of corporate managers, not least by strengthening the hand of back-office oversight, it also produces its own bureaucratic layers with their own agendas outside of trading and making an immediate profit. In other words, regulation has become a corporate force in its own right, a point that, like the others, we use in subsequent sections of the paper.
3. Foreign exchange markets
Foreign exchange trading is reckoned to be a vital cog in the global economy. It is essential for cross-border business transactions, trade and commodity exchange, and the flow of portfolio and direct foreign investment. It is also essential for governments of all political persuasions, and is especially important when offering sovereign debt. No national economy is immune from its effects. 5 At a most mundane level, and usually unnoticed by most people, FX trading greases the wheels of vacation travel and the like. In all, the unadjusted foreign currency cross-border assets of banks reporting to the Bank for International Settlements in September 2002 were just over $7 trillion (compared with $6.5 trillion in December 2001) (BIS 2003, Table 5A, p. A16). Average daily turnover on traditional foreign exchange markets is of an order of magnitude larger: the latest confirmed data were $1.2 trillion per day for April 2001 (BIS 2002; compare Roberts 1995 with Harris 2002). Large numbers indeed.
FX trading comprises a series of markets which are usually bundled up together. Not only does it consist of standard trades between currencies (so-called vanilla) but it also takes in a series of more specialised sub-markets. For example, in the large financial institution we studied, there were dedicated teams involved in fixed income and various kinds of exotics ranging from vanilla FX options to far more complex options which involved several varieties of derivatives and spread betting. Each of these markets had their own range (for example, exotics were rarely traded in more than seven or eight currencies), skills (for example, exotics typically demand much higher levels of quantitative expertise to both develop and run), tempo, and spatial distribution.6
By contrast, much of the academic research devoted to FX is about long-term macroeconomic fundamentals such as relative money supply or relative velocity of circulation. However, of late, more and more research time has been devoted to analysing and modelling the microstructure of FX markets, recognising that the management of information and the behavioural responses to information are vital elements in all financial markets (Wilhelm and Downing 2001). This paper focuses on short-term volatility in currency exchange rates, being conscious of the fact it is short-term volatility rather than long-term trends that preoccupies FX traders around the world. Further, and like KnorrCetina and Bruegger (2002a, 2002b), our contribution to understanding FX trading is focused on the management of the trading process, even if we conclude that bureaucracies
5 /. To illustrate, consider the November issue of the OECD's (2002) Financial Market Trends. Therein, after a page devoted to broad trends and prospects, the report looks in detail at FX markets before considering recent developments in interest rates, equity and bond markets, and the management of global market volatility. Financial stability, domestic and international, is driven in part by FX markets.
6 /.The latest confirmed data on FX derivatives trading indicated that daily average turnover was in the order of $1.4 trillion for April 2001 (BIS 2002).
and teams are more important than sole traders (perhaps the product of our particular focus).
Another contribution of the paper is our argument that the management process is both systematic and is characterised by deliberate attempts at fostering intra-bank learning within and between related teams operating in markets over time, an issue dealt with by many analysts including Nooteboom (2002). Individuals are, of course, assessed in terms of their own performance. But, despite all the furore sparked by the large salaries and bonuses generated by some individual traders, the overall performance of FX trading within international financial institutions is much more a function of the formal and informal mechanisms of fostering teamwork and managing the shared knowledge and expertise that teams corporately generate and own (while recognising that there are also substantial competitive pressures between individuals in teams and between teams; see Ackerman, Pipek and Wulf, 2002). Without the collaborative support of team members, all would be the poorer.
3.1 Global FX market structure
Over the 1980s and 1990s, Western industrialised countries deregulated their currency exchange markets. Previous attempts at fixing exchange rates were shown to be problematic amongst the developed economies; witness the experience of Great Britain with the European exchange-rate mechanism (ERM) during the early 1990s. More recently, successive regional crises (in Asia, Russia, and Latin America) have also shown that nation-state attempts at global currency management are extremely difficult in the face of enormous financial flows around the world, notwithstanding the fact that many countries outside the OECD use administrative systems to dampen currency inflows and outflows.
At its core, the global FX currency market is a private market that uses the US dollar as the reference currency. Evans (2002) characterised the structure of the FX market as follows. It is a decentralised, multi-dealer market with three types of FX trading: direct inter-dealer trading, brokered inter-dealer trading, and non-bank customer-dealer trading. The FX 'market' is actually a virtual set of sequentially-related regional markets linked together by high-speed electronic systems (the Reuters system dominates all other systems). Being a system of exchange, it allows for simultaneous bids, offers, and trades wherein dealers 'call' one another for quotes on pairs of currencies with the expectation of acceptance or decline of those bids within seconds. In sum, the market is open 24 hours-a-day and 365 days a year, and is in theory accessible to traders from virtually any location in space and time. But, of course, most traders are the employees of large financial institutions just as the
overwhelming volume of FX transactions come from those institutions rather than individuals trading on their own account.
The academic literature has focused upon currency exchange rates, being concerned about long-term macro-economic trends in the value of individual countries' currencies in relation to the US dollar and the other core reference currencies, including the British pound, the Japanese yen, and the Euro. Over the long term, it is arguable that exchange rates should reflect nation-state comparative advantage in the trade of commodities and services (Sarno and Taylor 2000). Thus long-term exchange rates should reflect nation-state economic growth potentials including expected rates of economic growth, labour productivity, and innovation. Indeed, much of the literature on national rates of economic growth and comparisons between national growth potentials assume there is no FX effect on those fundamentals. In other words, FX rates are assumed to be the medium through which national growth potentials are priced. For example, recent debate about the relative growth prospects of the US economy in relation to its European competitors suggests that the price of the US dollar in relation to the Euro fully reflects its potential.7
To illustrate, Figure 1 displays daily closing exchange rates for three pairs of currencies: the Euro in relation to the US dollar, the British pound in relation to the US dollar, and the Japanese yen in relation to the US dollar. This is a useful way of representing longer-term trends, recognising that the daily closing price at London is just a moment in time. Therein, we can easily discern for the Euro and the British pound the slow discounting of both currencies in relation to the US dollar over the last phases of the boom and bubble in TMT stocks. Thereafter, we can also discern the slow discounting of the US dollar against the Euro and the British pound as investors came to terms with the cost and consequences of the TMT bubble in the United States. Over this same period of time, it is apparent that the Japanese yen was less dominated by long-term expectations and more often affected by shorter-term shifts in expectations as Japanese government policy has failed time and again to deal with the stagnation slowly enveloping Japan. Other interpretations are possible, and may be adjudicated by reference to macroeconomics assuming a relationship between observed short-term patterns and long-term fundamentals (Sarno and Taylor 2000).
7 /. This is the lifeblood of global investment banks. There is a premium for informed commentaries on the relative value of the US dollar compared to the Euro, GBP, and Japanese Yen which mix together current issues like the prospects and consequences of war with the productivity effects of the new economy and labour and capital market flexibility in the United States. See the recent reports by Quinlan and McCaughrin (2002), and McCaughrin et al. (2002) from Morgan Stanley Dean Witter (New York) on these issues and more.
One step further, however, takes us to Figure 2 which displays exchange rate volatility for the same pairs of currencies. Again, this figure is based on daily closing prices using a 60day moving average to smooth the observed patterns. Most notably, the Euro and sterling experienced very similar levels of volatility compared with the volatility of the Japanese yen in relation to the US dollar. In simple terms, Table 1 presents estimates of these similarities and differences as measured by the standard deviation and variance for the three sets of currencies. Since volatility is measured in percentage terms, underlying differences in exchange rate value are removed from the picture. Consequently, comparing volatility for the three currency pairs, it is apparent that there is far greater volatility in the Japanese exchange rate than the other two European currency exchange rates. Again, it is possible to think of reasonable theoretically-informed explanations of these long-term trends in volatility. But we must be cautious not to exaggerate the significance of theoreticallyreferenced long-term trends, whether in terms of exchange rates or their volatility.
In fact, the available evidence suggests that much of the observed variance in exchange rates is short-term rather than long-term and is to be found within the day rather than between days, weeks, months and years. Furthermore, it is widely conceded that theoretical models based on economic fundamentals are very poor predictors of short-term exchange rates and are virtually irrelevant to the question of exchange rate volatility. 8 It is not possible to work backwards from long-term patterns in exchange rates to predicting intraday exchange rate volatility. Whereas most theoretical models are focused upon exchange rates, the volatility of intra-day exchange rates is the issue that dominates the trading process. Not surprisingly, then, stochastic time series models clearly out-perform econometric models when intra-day data is taken into account. As a consequence, there is increasing interest in the micro-economic and behavioural processes that drive global dayto-day FX operations.
8 /. See Sarno and Taylor (2000, 136) who conclude their review of the value of theoretical models of long-term exchange rates with the observation that "empirical work on exchange rates has not produced models that are sufficiently statistically satisfactory to be considered reliable and robust".
Table 1: Summary statistics: Euro, Sterling and Yen exchange rate and volatility statistics (based on 5 years sample of daily data. Source: Credit Suisse First Boston)
3.2 Temporal and spatial trading patterns
At the same time, it should be recognised that there is detailed information on both the temporal and geographical structure of FX trading patterns. In fact, recent statistical studies can provide us with a clear characterisation of the various components that make up intra-day FX volatility; see Andersen et al. (1998, 1999, 2000), Evans (2002), and many others for further details. Most importantly, such characterisations depend a great deal upon knowledge of the opening and closing as well as their moments of overlap of the three core global FX markets: in order of GMT, Tokyo, London, and New York. To illustrate, Andersen et al. (1998, 221) characterised the spot DM-US dollar market in the following terms: "a 24-hour market composed of sequential and partially overlapping trading in regional centres worldwide, so it has no definite closures, except those generated endogenously by the market. This allows for the study of the volatility process over periods that would be non-trading intervals under centralised market structures...".
Evans (2002) showed that in each of these markets the 'home' currency is the most traded currency in relation to the US dollar, recognising that London is both the centre for trading in sterling and the Euro. In describing FX trade over the course of a day, he suggested that it can be characterised as 'triple-humped'. Beginning about 1am GMT in Tokyo, the first hump is relatively low volume. That is followed by the opening at about 7am GMT in London for trade in sterling and the Euro which records the highest volume of trade over the day, which is followed in turn at about 12:30pm GMT by the opening of New York at a lower volume of trade than London. In terms of the management of the trading process within many FX companies, the close of trade in New York effectively closes the book for that day on FX operations. 9 This is customary practice for many such firms in the industry and around the world. We noted above that trade is anonymous in the market, and that the volume and volatility of trading is closely associated with the entry and exit of market traders by region. In fact, although trading can be continuous second by second, minute by minute, and hour by hour throughout the 24 hour cycle it is commonly observed that trade peaks at the opening and closing of each of the three markets.
Notice that London has an especially important place in the 24-hour cycle of FX trading. This is partly because of its historical role as a centre of calculation collecting diverse market interests from around the world, and providing an unmatched depth of liquidity and range of risk preferences (Clark 2003). The role of London has also been important in recent financial history, being particularly associated with the 'big-bang' in the 1980s, the subsequent float of major European currencies, and the introduction of the Euro. Furthermore, London is very important as a switching point between Asia and Europe and Europe and North America being a place where financial deals can be packaged and priced in terms of their currency exposure. As has been suggested many times in interview, if London didn't exist it would have to be invented at much the same place in time and space between Tokyo and New York. 10 It could be in Paris or Frankfurt, but for all these reasons, reinforced by the concentration of related banks and trading talent, flexibility and technological capacity, London remains the dominant international financial centre. 11
9 /. In fact, in our global financial institution, close of play was taken to be 1615 EST with all subsequent trades going on to the next day. The situation is even more complicated because common books are not really passed on in the way depicted in many accounts. In our global financial institution, each region still had its own books even if positions were passed on between markets.
10 /. It has also been suggested that London is important because the Pacific Ocean is too wide (in time). If it were narrower, presumably New York would be able to bridge the gap thereby being able to compete directly with London. Geography in this sense is a marvellously simple idea.
11 /. We would suggest, moreover, that the traditional virtues associated with London as being a place of gossip and face-to-face contact is less relevant than often assumed, given the significance of electronic linkages and networks on a second-by-second basis. In any event, like Cheung, Chinn and Marsh (2000) we have not found any discernable firm-specific or market-specific collective view about the significance or otherwise of the determinants of long-term trends.
Considerable research has focused upon the role of information flow and sources in driving trading volume and volatility on an intra-day, daily, weekly, and calendar-basis. Anticipated public disclosures of relevant macro-economic and monetary information have an impact upon FX trading by region. In some cases, especially those associated with news from New York, the impact of this kind of news can be distributed in time over the day. However, it has also been observed that anticipated public news has a limited temporal and spatial impact upon trading intensity even if public news may have an immediate and significant affect on the FX market concerned (Galati and Ho 2001). This type of information is thought to underpin long-term patterns embedded in observed short-run high-frequency volatility. Even so, since such announcements are regular, they are also, more often than not, anticipated in terms of their likely effects upon regional markets as well as the turnover between markets. Expectations are an essential ingredient in FX trading especially if there are marked differences between markets in the meaning attributed to anticipated announcements.
On the other hand, it appears that unanticipated private information has the biggest impact upon trading volume and intensity in FX markets. For Evans (2002), this is because of the apparent anonymity of FX markets and the fact that FX trades cannot be directly observed by third parties not involved in those trades. As a consequence, at any point in time there is a distribution of exchange rates and an intensive search by traders for an approximate reference point in making subsequent trades. In other words, just as there is a distribution of FX prices at any point in time and space that distribution is itself partially dependent upon previous distributions of FX prices. More technically, it is observed that FX markets are characterised by informational asymmetries, by heterogeneous expectations, and by an ever-present need to trade when others trade so that current conditions are revealed to traders by sequential pairs of currency trades. By this logic, traders cannot afford to 'sit-out' the market awaiting new information that would propel local market traders to an expected equilibrium point in the relationship between currencies.
The exact temporal and spatial decay function is therefore less important at this juncture than the realisation that the significance of this component also varies by trading intensity. Although the electronic trading system is available for FX trading every second of every day, FX trading is not continuous but marked by identifiable trading peaks and troughs within each day by market. Evans' (2002) observations and arguments provide a compelling rationale for strong intra-day patterns. What is not often realised is that the significance of the 'sampling' component of FX volatility varies in terms of the volume of trading. Whereas it is the dominant component in normal market conditions, it declines in significance when trading intensity is very high suggesting that in these circumstances the distribution of FX prices narrows and converges towards a shared reference point only to diverge and once again spread as trading intensity declines. There appears to be no necessary intra-day temporal pattern of high activity except for the fact that all traders are aware of the peaks in trade associated with market opening and closing. Under conditions of uncertainty, traders bunch together at those moments in time and space for more information (characteristic of all securities markets; see Shin 2003). 12
Added to this problem of managing the 24-hour market structure is the problem of managing speed. It cannot be gainsaid that, under pressure from improvements in information and communications technology, financial markets have tended to demand more and more rapid response, especially in markets like FX which depend on arbitrage to such a degree. But the problems presented by speed should not be overplayed for at least two reasons. First, the markets are only nominally 24 hours. There is still, in reality, a gap of an hour or so in the global 24 hour clock between New York and Tokyo. As well, there is the problem of settlement. We were constantly told that managing 24-hour books 'would be a nightmare'. Like the noonday sight at sea, there has to be a close of business in order to assess net positions. In any event, handing on a book from one market to another takes a considerable amount of time. The process is not instant: it occupies several hours each day, involving regional and global members of the FX team in constant conversation and what can often be a complex series of negotiations (see Table 2).
Table 2: A typical FX dealing timetable for London
12 /. In fact, the search for information by sampling others' expectations and positions is reputedly one explanation for the enormous volume of FX trading day in and day out (Harris 2002).
4. Corporate management of FX trading
Having outlined the nature of the FX markets, we can now consider the management problem that this poses for participants. We hope to identify the basic elements of the FX management problem by drawing upon the observations made above about the temporal and spatial patterns apparent in global FX trading. In doing so, we focus upon three kinds of 'agents and institutions': individual traders, their firms, and the markets in which they operate. Most importantly, we focus upon how global financial firms manage time and space on a 24 hour basis by being responsive to anticipated and expected events arising market by market, as well as the unexpected and surprising events that may drive high levels of intra-day market volatility. In the first instance, this requires conceptualising the FX management problem. In the second instance, it allows us to emphasize the bureaucratic nature of corporate decision-making.
Of course, bureaucracies have had a notoriously bad press of late. In the face of 1990s management paradigms focused around concepts like networks and communities of practice, hierarchical bureaucracies have often been depicted as shallow and energy-sapping forms of organization, sets of mundane routines that are inimical to the production of enterprising cultures and persons (Leavitt 2003): at odds, one might think, with what is often depicted as the free-wheeling nature of trading. In fact, as we have argued, the FX markets rely on vast swathes of bureaucratic routine to function, from the day-to-day minutiae of settlement and compliance to the larger issues of regulation and general managerial oversight. Further, it is doubtful that bureaucracy is simply useful background for more entrepreneurial activities: most entrepreneurial activities like trading rely on bureaucratic routines for sustenance, whether these are embedded in software packages, organisational knowledge or highly complex logistics. Indeed, du Gay (2000) goes as far as to argue that bureaucracy ought to be seen as a substantial ethical domain in its own right and not just an impoverished set of checks and balances on the real business of entrepreneurial effort.
Yet, in a series of descriptions of financial markets dating from Bagehot and Weber, it has become commonplace to regard financial markets as the very opposite of bureaucracies. As we have tried to show, the scale of the management task of collecting and synthesizing dispersed financial knowledge is now so great that for the main corporate players who constitute so much of the market this no longer amounts to a realistic or even desired description. Large financial firms are highly structured, hierarchical operations that try to impose order and security as well as make a profit (the two by no means being inimical to one another). Though regional FX teams may work quasi-independently, they are all overseen by an inevitably authoritarian management hierarchy whose task is to manage risk on a global scale in organizations which may have been put together through mergers and acquisitions and therefore may have a mix of quite different cultures and even quite serious rivalries. Thus the managerial imperative is consistently towards a classical nested organisational hierarchy with each team head reporting upwards in a formal fashion to the global manager (see also, and generally, Thompson 2003).
4.1 Managing dispersed knowledge
At the most general level, FX management is a problem of managing dispersed knowledge. This issue has been the subject of increasing research in the management literature, and is the subject of Becker's (2001) seminal paper, and related research by writers like Girard and Stark (2002). 13 In essence, Becker contends that the issue of dispersed knowledge is representative of a most important aspect of modern economies, that being the utilization of knowledge where economic agents are themselves decentralised and coordinated through market exchange. Becker cites the relevant literature and goes on to reference Hayek and his argument to the effect that in market economies characterised by the division of labour knowledge must be organised, codified, and deliberately managed if agents and their institutions are to be competitive with one another. Further, Becker suggests that this issue is now "more salient than ever" (p. 1039). Because many markets and systems of production and exchange are global rather than local, and because networks of communication allow access to markets by people from many more locations in space and time than ever before, dispersed knowledge is now one of the most important management issues preoccupying firms and their managers.
Assume that FX trading firms and their employees seek to maximise, respectively, reported profit (by division) and earned income (including yearly bonuses) while minimising firm costs and potential catastrophic losses. Also assume that, given the robustness of firms' reporting practices and monitoring functions, it is difficult for any individual trader to build up over time positions that threaten the financial integrity of their firm. We must assume, however, that firms have an interest in allowing their traders sufficient discretion that firms may benefit from their employees' exploitation of market knowledge, experience, and intuition. In other words, the most important imperative driving the FX trading process is the interest of traders and their firms in making money day after day, week after week, and
13 /. We use the term 'dispersed knowledge' because it captures succinctly the geography we wish to analyse. But other related conceptual reference points would work as well including 'cognitive distance' and the 'cycle of discovery' (see Gilsing and Nooteboom 2002).
year after year. In this respect, traders and their institutions cannot afford to sit out market trading in the hope that collecting and organising market knowledge will allow them an opportunity to make 'excess' profit out of a limited set of trades. For any firm seeking to maximize profit from FX trading, achieving this goal is a function of the strategic collection and dissemination of knowledge to and from their own traders located in different markets around the globe. This is an essential management function, and an issue of managerial control. It goes beyond the issue of setting correct incentives to the organisation of the firm itself. 14
This issue can be characterised in the following ways. With respect to intra-day FX trading, firms must manage the flow of knowledge (1) within each market and between their traders (within the firm), (2) between each market and between their market-based traders (within the firm), and (3) within and between markets with reference to external (non-firm) traders. They must do so in ways that sustain mutual learning between team members and recursive response to changing conditions across the globe. It is a deliberately managed process because the costs of individual discretion and competition between team members are too high, even potentially catastrophic for the firm and the global financial system.
Before carrying out these tasks, firms must decide whether traders trade on their own account or trade as members of market-specific teams, and whether the geographical and temporal segmentation of FX markets should carry over into the accounting structure of the day-to-day performance of the firm itself. For the moment, let us assume that traders trade as members of market-specific teams and that those teams are held to account in terms of their contribution to the day-to-day performance of the firm in foreign exchange currency markets. We will explain how and why this is the case in the next section. All we need suggest at the moment is that knowledge management and integration is more efficient if individual traders have a clear responsibility to their market-specific teams and if each team has a responsibility to the subsequent market team (in time and space). In essence, our experience is that there is an operational hierarchy that culminates in just one FX team in the firm, a team that is global in scope.
14 /. By contrast, much of the literature in finance when dealing with similar issues emphasizes the cognitive and behavioural biases apparent in many individuals when dealing with risk and return, the valuation of reward and loss, and the response to time-dependent events. In this respect, the finance literature ignores the institutional management of knowledge and behaviour. It is pre-occupied with 'star-traders' rather than institutional structure (see Clark 2000 on related issues relevant to pension fund and investment decision making).
4.2 Bureaucracy and regulation
This kind of managerial imperative has only been underlined by three further developments which strengthen the hold of hierarchy and general bureaucratic procedure. The first of these is the capacity for technological oversight of each trader and team's performance. The growth of information and communications technology and, much more importantly, the increasing ability to stitch together often quite diverse systems into a functioning whole, has gradually allowed key managers to gain oversight of performance at all relevant points (in time and space) of the firm. 15 Thus, the global FX manager knows the position of every trader at the end of each day and should be able to pick up rogue traders within one day or a few days at most. Whereas some analysts of related phenomenon emphasize the development of trust between related individuals as a crucial social regulatory determinant of information flow, it is clear that this kind of device is fragile at best in the face of temptation.
The second development is the growth of risk management which is meant to constantly monitor and assess risk exposure. All large international financial services firms have large risk measurement and management divisions which usually monitor trading according to limits set by a Senior Management Committee or equivalent. These divisions are hungry for data with which they assess the state of play of the firm at selected points in time and space. They use various software packages to help them achieve this goal, some of which are written in-house and some of which are proprietary. The goal is to speed up the system of monitoring so as to get as close to the close of business as possible. Even so, this has not proved easy. There have been significant problems in handling the flow of data.
The third development is the growth of regulation. The enormous growth in regulatory demands has in large part grown out of periodic financial scandals which have underlined the need for more control, as well as adding new semi-independent layers of bureaucracy. In our case study, trading teams may have acted to an entrepreneurial stereotype but this stereotype was encased in bureaucratic systems of oversight and regulation, much of which the teams themselves seemed to be only partially aware of. What seems clear, however, is that there has been a shift in the balance of power between the front and back office. The back office has become more important, partly because of all the requirements of oversight
15 /. This has proved an enormous problem in most international financial services firms. For example, in the firm we studied computer systems had been quite different in different world regions and there were still substantial problems with legacy systems. It is no surprise, then, that very large amounts of effort still go into developing software. Even a small team may have ten people on its IT side. Mainline FX teams may have upwards of 120.
and regulation, partly because front and back offices have become 'closer' through electronic booking, partly because more senior managers have had to take on certain back office functions, and partly because the entrepreneurial ethic, though still valued, has been in part subsumed under the imperatives of safety.
Perhaps the best means of symbolizing this change is through what has happened to trading floors. Ten or even five years ago trading floors were often noisy places. Traders existed in a noisy hubbub as information, rumour and mood were passed back and forth as means of finding opportunities for arbitrage. That has now changed. Most trading floors are quiet. Most FX trading takes place through the medium of the screen and electronic booking systems. Most information also comes through the screen – through proprietary services (and especially Bloomberg) or through e-mail and bulletin boards to which all the traders on the floor can contribute 16 – and through telephone conversations on open lines with company dealers in other locations. 17 Rumours no longer have the same place they once had in this world of 'response presence' in which much interaction is at a distance but, through the medium of teams and screens, can be gathered at one 'place' of management and control (see also Knorr-Cetina and Bruegger 2002a). They very rarely move the market because so many of them can be verified as true or false through a combination of the modern media and internal assessment within five minutes of their launch. 18
The focus is therefore much more on 'sampling' market prices by reference to expected market-specific moments of collectivity and overlap, thereby providing those companies with the most resources (money and management) the opportunity to arbitrage around unexpected events. 19 Of course, speed is still vital on the trading floor. Indeed, given the paucity of opportunities in recession and the accelerating impact of technological change, the discipline of speed on FX trading may have even become greater. But, speed is mediated to a much greater degree than ever before by technological and team backup so that its effects may be rather less than are often envisaged.
16 /. One major rite of passage now is inserting information on the very public bulletin board: if it is proved wrong the contributor's credibility obviously declines.
17 /. Open lines are crucial when, for example, London traders may be spending up to two hours a day on the line to their counterparts in New York and half-an-hour to an hour on the line to their counterparts in Tokyo handing on the book and generally talking business.
18 /. The focus is therefore much more on set economic events (like interest rate changes) and analyses and arbitrage opportunities around these events.
19 /. Similarly, it has become much easier to make educated guesses about the sources of activity in the market when relatively few key traders from relatively few financial services firms are making most of the running.
This does not mean there is no role for social glue, of course. But most of that glue is no longer the residue of local boozy nights out; FX traders may just as easily be a part of teams that stretch around the world. A good part of these dispersed teams will not therefore be physically present in the London trading room. Sociality is therefore deliberately engineered. Globally dispersed teams meet-up on a yearly basis and meet one-to-one much more frequently than that in order to talk strategy, swap new expertise, and hone existing communication skills. 20 Thus, at any one time, the trading floor consists of intra- and interfloor linkages which cannot be separated out. The floor is partly a virtual society but one run on the assumption that teams interact face-to-face on occasion and learn the social assumptions and cues typical of other team members. Team membership is spun out of these assumptions and provides the cues for 'local' decision-making based upon certain well-defined parameters of shared experience (in ways consistent with Nooteboom's 2002 emphasis on managing the costs and consequences of 'cognitive distance').
Thus a crucial point that we want to end this section with is that it is dangerous to concentrate on just the traders and the trading floor, as has become common in a number of recent ethnographies which track the market as it is made. As we have tried to show, the management of these floors is more and more dictated from without by bureaucratic procedure which may or may not be crystallised in technological interfaces like the screen. Knorr-Cetina and Bruegger (2002a, 2002b) make this point but perhaps do not develop it far enough. In stressing the role of individual traders who are partially set apart from the rest of the corporate organization, they may have produced an account which is now historically misleading (Mitchell 2002). Whilst it is clearly the case that traders constitute the market they also increasingly represent corporate goals and organization, either in the form of codified rules of procedure, forms of oversight, and membership of a team which may stretch well beyond local traders code (Thrift and French 2002). There are more and more 'traffic cops' within firms with the result that the boundary between explicit and tacit knowledge of the markets is shifting in the former's direction (Wilhelm and Downing, 2001). In particular, as new metrics are invented and implemented (eg measures of overall corporate exposure), so they have become constitutive of organizations' work and new kinds of information and as new opportunities for control (all the way from new higher management meetings called to consider them to a raft of new additions to the corporate rule book for traders).
20 /. For example, the manager of one small team goes to Tokyo at least once a year to meet team members and to New York at least twice a year.
5. Conclusions
In this paper, we have tried to puncture four myths about global financial markets by appealing to a mix of our own observations and existing empirical work. We used the FX market on the grounds that, if it were possible to find counter-narratives in even this fastmoving and in many ways stereotypical financial market, then existing accounts of the pathologies of individual decision-making and market volatility might require considerable adjustment.
What we found was a market which is increasingly co-ordinated by large bureaucracies that attempt to make money by threading a large number of administrative procedures through individual entrepreneurial behaviour. Some of these bureaucratic procedures are activated through the medium of teams which are dispersed around the globe. Others involve overarching corporate organizational structures which are similarly global. In other words, maximising profit and minimising risk involves organising time and space on a global scale which in turn has prompted these organisations to manage how proprietary knowledge of FX markets is dispersed through the organization and then put to best use; dispersed knowledge is both a problem and a solution. 21 In the process of dealing systematically and on a global scale with dispersed knowledge and expertise, the balance of power in large international institutions has subtly but inexorably shifted towards bureaucratic procedures of synthesis, oversight, and regulation and away from the kind of untrammelled entrepreneurialism often associated with FX dealers.
Of course, all this can be overdone. Large international financial institutions are still driven by competition, regional divides and at times untrammelled entrepreneurialism is still allowed to let rip. But our argument is that large international financial institutions are learning how to do global finance and, as this process continues, so many international financial markets, markets which are so often depicted as the domain of the get rich quick, are becoming the haunt of large bureaucracies. As more and more of the activity of these
21 /. Consider, for example, the management 'solution' to this problem implemented at Barclays Global Investors (BGI): "two global co-CEOs-located 5,371 miles apart" (London and San Francisco). When asked about how they divide their responsibilities, one of the CEOs indicated that the divide was functional along "regional and product lines". As for co-ordination, the other CEO responded as follows. "One of (the) things that has helped is that the two of us have worked together for a long period of time and we know each other extremely well…." As for the advantages of such an arrangement, "the business benefits from having the leverage of two people who act as CEOs in different time zones. But it only works if we are joined at the hip in the way in which we are communicating". Reported in the industry newspaper Pensions & Investments April 14th 2003, p.14.
markets is taking place within these organizations, so this argument becomes more and more relevant. Though markets are still fast-moving and, at least to a degree opaque, it would not do to over-emphasize these features. International financial markets are not being domesticated but many of them are now moving into a new phase of co-ordination in which the broad contours of activity are understood and subject to the power of bureaucratic routine.
Acknowledgements. This paper was prepared for presentation at the Social Studies of Finance conference held in Konstanz in May 2003. It has benefited from previous presentations at the Philipps-University of Marburg and the University of Bonn. Our thanks go to Harald Bathelt (Marburg), Gernot Grabher (Bonn) and Alexandru Preda (Konstanz) for their invitations to present versions of the paper. Comments on the paper were provided by Dariusz Wojcik, Tessa Hebb and Terry Babcock-Lumish. Support for revising and presenting this paper was provided, in part, by the Deutscher Akademischer Austausch Dienst.
Most importantly, the paper was made possible by the insight and knowledge provided by Simon Ford and his colleagues at CS First Boston (London). Data on foreign exchange trends and volatility were also provided by CSFB and in particular Christian Baraldo and Peter von Maydell. None of the above should be held responsible for any errors or omissions. Comments made about firms and the management process in this paper are intended to represent larger processes rather than the particular events or circumstances faced by any one company.
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No. 08-67
In the Supreme Court of the United States
F. SCOTT YEAGER, PETITIONER
v.
U
NITED
S
TATES OF
A
MERICA
ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE FIFTH CIRCUIT
BRIEF FOR THE UNITED STATES
EDWIN S. KNEEDLER Acting Solicitor General Counsel of Record RITA M. GLAVIN Acting Assistant Attorney General MICHAEL R. DREEBEN Deputy Solicitor General MATTHEW D. ROBERTS Assistant to the Solicitor General JOSEPH C. WYDERKO Attorney Department of Justice Washington, D.C. 20530-0001 (202) 514-2217
QUESTION PRESENTED
Whether, under the collateral estoppel component of the Double Jeopardy Clause, the jury's verdict that petitioner was not guilty on some counts bars the government from retrying petitioner on other counts on which the jury was unable to reach a verdict.
TABLE OF CONTENTS
TABLE OF AUTHORITIES
In the Supreme Court of the United States
No. 08-67 F. SCOTT YEAGER, PETITIONER
v.
U
NITED
S
TATES OF
A
MERICA
ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE FIFTH CIRCUIT
BRIEF FOR THE UNITED STATES
OPINIONS BELOW
The opinion of the court of appeals (Pet. App. 1a-28a) is reported at 521 F.3d 367. The opinion of the district court (Pet. App. 29a-66a) is reported at 446 F. Supp. 2d 719.
JURISDICTION
The judgment of the court of appeals was entered on March 17, 2008. A petition for rehearing was denied on April 14, 2008 (Pet. App. 68a-70a). The petition for a writ of certiorari was filed on July 14, 2008 (Monday), and was granted on November 14, 2008. The jurisdiction of this Court rests on 28 U.S.C. 1254(1).
STATEMENT
In November 2004, petitioner was charged in a fifth superseding indictment with conspiracy to commit wire
(1)
fraud and securities fraud, in violation of 18 U.S.C. 371; securities fraud, in violation of 15 U.S.C. 78j(b) (1994), 15 U.S.C. 78ff (2000), and 17 C.F.R. 240.10b-5; four counts of wire fraud, in violation of 18 U.S.C. 1343 (2000); 20 counts of insider trading, in violation of 15 U.S.C. 78j(b) (1994), 15 U.S.C. 78ff (2000), and 17 C.F.R. 240.10b-5; and 99 counts of money laundering, in violation of 18 U.S.C. 1957 (2000). J.A. 6-26, 31-32, 37-56. After a trial in the United States District Court for the Southern District of Texas, the jury found petitioner not guilty on the conspiracy, securities fraud, and wire fraud charges. J.A. 161-162. The jury failed to reach a verdict on the other counts, and the district court declared a mistrial on those counts. Pet. App. 4a.
1. Between 1998 and 2001, petitioner was the Senior Vice President of Strategic Development at Enron Broadband Services (EBS), a unit of Enron Corporation (Enron) engaged in the telecommunications business. J.A. 6-8; Tr. 1493-1494, 1496, 1638. During that time, EBS sought to develop an advanced fiber-optic commu-
Thereafter, in November 2005, the government obtained an eighth superseding indictment charging petitioner with five counts of insider trading, in violation of 15 U.S.C. 78j(b) (1994), 15 U.S.C. 78ff (2000), and 17 C.F.R. 240.10b-5; and eight counts of money laundering, in violation of 18 U.S.C. 1957 (2000). J.A. 188-200. All of the charges in the eighth superseding indictment were counts from the fifth superseding indictment on which the jury had not reached a verdict. Pet. App. 31a34a. Petitioner moved to dismiss all of the counts on the ground that the collateral estoppel component of the Double Jeopardy Clause barred further prosecution. Id. at 4a-5a & n.4. The district court denied the motion. Id. at 29a-66a. The court of appeals affirmed. Id. at 1a-28a.
nications network known as the Enron Intelligent Network (EIN), which was to include a network control software layer that would provide the "intelligence." The fifth superseding indictment alleged that petitioner and several co-defendants purposely sought to deceive the public and drive up the price of Enron stock by making false statements about EBS's progress on the EIN while at the same time enriching themselves by selling millions of dollars of Enron stock. J.A. 6-20.
The securities fraud count charged that petitioner, together with Hirko and Shelby and others, committed a. The conspiracy count charged that petitioner— along with others, including co-defendants Joseph Hirko and Rex Shelby, who were also senior officers at EBS— purposely sought to deceive the public about the technological capabilities, value, revenue, and business performance of EBS. J.A. 6-24. The conspirators allegedly executed their scheme to defraud by "(i) causing Enron to issue materially false and misleading press releases; (ii) making and causing others to make materially false and misleading statements to equity analysts and others; (iii) using fraudulent means to generate revenue so that EBS and Enron could appear to reach publicly declared financial targets; and (iv) failing to disclose material adverse information about EBS's poor business performance." J.A. 9. More specifically, petitioner, Hirko, Shelby, and others allegedly made or caused to be made false and misleading statements about EBS's development of the EIN and network control software at Enron's annual equity analyst conference in 2000 and in press releases before and after the conference. J.A. 1013. At the same time, petitioner, Hirko, and Shelby allegedly sold large quantities of Enron stock, generating huge profits for themselves. J.A. 9, 20.
securities fraud by making false statements about EBS and the technological capabilities of the EIN and related software at the analyst conference. J.A. 6-20, 22, 25. The wire fraud counts charged that, after the conference, petitioner, along with Hirko and Shelby and others, caused Enron to issue four materially false and misleading press releases about EBS. J.A. 13, 22, 26. The insider trading counts charged that petitioner, while in possession of material, non-public information about the technological capabilities, value, revenue, and business performance of EBS and Enron, sold more than $54 million worth of Enron stock. J.A. 6-20, 31-32. The money laundering counts charged that petitioner knowingly engaged in monetary transactions in criminally derived property worth more than $10,000 with the proceeds of the alleged frauds and insider trading. J.A. 6-20, 37-56. 1 b. The evidence at trial showed that petitioner attended meetings, exchanged e-mails, and participated in planning and preparing the presentation on EBS at the 2000 analyst conference. Tr. 1627-1629, 1735-1736, 1745, 1796. Petitioner helped craft an explanation of how the EIN would resolve problems with existing Internet and telecommunications technology. Tr. 1710-1711. In the months preceding the presentation, petitioner and other EBS employees had internal discussions about technological problems with the EIN and related products, as
1 The court of appeals focused its collateral estoppel analysis on the jury's acquittal on the securities fraud count. See Pet. App. 21a-22a & n.20. If that acquittal precludes retrial on the insider trading counts, it will also bar retrial on the money laundering counts because they are based on transactions with the proceeds of petitioner's alleged insider trading. See id. at 21a n.19. Accordingly, the discussion in this brief of the evidence at trial concentrates on the evidence relevant to the securities fraud and insider trading counts.
well as organizational problems at EBS. Tr. 1423, 1535, 1542-1548, 1761, 1766, 1772-1773, 1792-1793, 1798-1799, 1813-1816, 1835, 3569-3573, 3592-3598, 3634-3638, 36563678; see Pet. App. 53a-54a. Petitioner attended the EBS portion of the conference, but he did not make a presentation. Tr. 1795-1796.
The government introduced evidence at trial to prove that EBS had not yet fully developed the advanced network control software layer and that the EIN did not possess most of the advanced features and capabilities claimed during the presentation at the conference. Tr. 926-934, 1116-1117, 1152-1157, 1207-1209, 1220, 1565, 1596-1597, 1605-1606, 1711-1717, 1753-1766, 1835-1836, 2788-2789, 2791-2795, 2799-2801, 2812-2823, 3198-3217,
The EBS presentation was made by co-defendants Hirko and Shelby, as well as Jeffrey Skilling, Enron's chief operating officer, and Kenneth Rice, one of EBS's chief executive officers. J.A. 8; Tr. 1430, 1626-1627, 1709-1710. Hirko, Shelby, Skilling, and Rice made numerous claims about the technological capabilities and performance of the EIN and related products. Tr. 17801805, 1810-1835, 1841-1850. Among other things, they claimed that EBS had developed advanced network control software with unique features that made the EIN superior to the networks of EBS's competitors. Tr. 1419-1430, 1791-1792, 1813-1817, 1830-1834, 2812-2819. 2
2 At trial, the government introduced two videotapes of the conference. Tr. 1419-1420, 1782-1783; Gov't Exhs. V-1-20-00 A and B. Rice testified on direct examination that a video made by Shelby about EBS's Broadband Operating System software that was included on the second videotape was shown at the conference. Tr. 1835-1841. On cross-examination, however, Rice conceded that he was mistaken and that the video was not shown to the equity analysts at the conference. Tr. 2512-2527, 2597-2609.
3569-3573, 3608-3611, 3732-3744, 3853-3865; see Pet. App. 51a-52a. In particular, Rice, who testified as a cooperating witness, stated that many of the representations about the EIN and the network control software layer were false. Tr. 1397-1398, 1416-1417, 1423-1430, 1582-1583, 1622-1623, 1670-1671, 1757-1759, 1923-1924, 2116-2118. Rice testified that EBS never fully developed the network control software. Tr. 1759, 1764, 1830.
Petitioner testified on his own behalf, presenting several defenses. Tr. 9907-10,080, 10,121-10,249, 10,26010,384, 10,396-10,453. He denied personally making any false statements about the development of the EIN at the conference or in the press releases. Tr. 9910-9914, 9918, 10,055-10,056. He also denied entering into an agreement with his co-defendants to defraud investors. Tr. 9920-9921. Petitioner denied having any role in the preparation of the press releases, and he claimed that his participation in planning the conference presentation was limited to the creation of two videos that were not shown. Tr. 9910-9911, 9913-9917, 9920, 9929-9944. In particular, petitioner denied having any role in preparing the presentation on the network control software
Rice also testified that the purpose of the false statements at the conference was to increase the market valuation of Enron stock. Tr. 1399-1401, 1562-1570, 15821583. On the day of the conference, the share price of Enron stock rose from $54 to $67. Tr. 6389, 6395. The next day, the share price rose to $72. Tr. 6395. That same day, petitioner sold 100,000 shares of Enron stock. Tr. 6704-6705; Gov't Exh. 3155B. Over the next seven months, petitioner sold an additional 600,000 shares, generating total proceeds of more than $54 million and a total profit of more than $19 million. Gov't Exh. 3155B.
layer. Tr. 9941-9947, 9952-9953. In addition, petitioner claimed that he honestly believed in good faith that the problems with the EIN did not exist or were being remedied. Tr. 9920-9925, 9977-9980, 10,013-10,015, 10,02110,022, 10,051-10,053. Petitioner denied that he used any insider information about problems at EBS when he sold Enron stock. Tr. 10,175-10,180; see Pet. App. 55a56a.
c. On the securities fraud count, the district court instructed the jury that the government was required to prove beyond a reasonable doubt that, "in connection with the purchase or sale of Enron Stock, [petitioner] did any one or more of the following: (1) employed a device, scheme, or artifice to defraud as charged in the Indictment; or (2) made any untrue statement of a material fact or omitted to state a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading as charged in the Indictment; or (3) engaged in an act, practice, or course of conduct that operated, or would operate, as a fraud and deceit on any person as charged in the Indictment." J.A. 104-105. The court explained that "[a] 'device, scheme, or artifice to defraud[,]' as used in these instructions, * * * means the forming of some contrivance, plan, or design to trick or to deceive in order to obtain money or something of value." J.A. 106. The court emphasized that the jury could not find petitioner guilty unless the government proved that he "participated in the scheme or fraudulent conduct" or that he "caused [a false] statement to be made or [a material] fact to be omitted." J.A. 107; see J.A. 111 (instructing the jury that, "if you find that [petitioner] was not a knowing participant in the scheme[,] * * * you should acquit").
The court instructed the jury that the government was also required to prove beyond a reasonable doubt, as the second element, that petitioner "acted willfully, knowingly, and with the intent to defraud." J.A. 105. The court explained that "good faith on the part of a defendant is a complete defense to a charge of securities fraud, because such an honest or 'good faith' belief is inconsistent with a fraudulent intent." J.A. 109.
The district court instructed the jury that the instructions on the securities fraud count applied to the insider trading counts as well. J.A. 125. In addition, on the insider trading counts, the court instructed the jury
Finally, the court instructed the jury that the government was also required to prove beyond a reasonable doubt, as the third element, that petitioner "used, or caused to be used, any means or instrumentality of interstate commerce or of the mails." J.A. 105. 3
3 On the wire fraud charges, the court instructed the jury that the government was required to prove four elements beyond a reasonable doubt: (1) that petitioner "knowingly devised or intended to devise a scheme to defraud, as described in the indictment"; (2) that he "acted with a specific intent to defraud"; (3) that he "used or caused another person to use interstate wire communications facilities for the purpose of carrying out the scheme"; and (4) that "the scheme to defraud employed false material representations." J.A. 116. On the conspiracy charge, the court instructed the jury that the government was required to prove beyond a reasonable doubt that (1) "[petitioner] and at least one other person made an agreement to commit the crime of wire fraud or securities fraud"; (2) "[petitioner] knew the unlawful purpose of the agreement and joined in it willfully"; and (3) "one of the conspirators during the existence of the conspiracy knowingly committed at least one of the overt acts described in Count One of the Indictment, in order to accomplish some object or purpose of the conspiracy." J.A. 90. The court stressed that, if the jury found that petitioner "was not a member of the conspiracy to commit securities fraud or wire fraud as charged in the indictment, then [it] must find [petitioner] not guilty." J.A. 92.
that "[t]he 'device, scheme, or artifice' that the government alleges [petitioner] employed in this case is known as insider trading." Ibid. The court explained that "[a]n insider is one who comes into possession of material, confidential, non-public information about a stock by virtue of a business relationship which involves trust and confidence" and that "the law forbids him from using that inside information in buying or selling the securities in question." Ibid.
2. Petitioner was subsequently charged in the eighth superseding indictment with some, but not all, of the counts from the fifth superseding indictment on which the jury had deadlocked. Specifically, the eighth superseding indictment charged petitioner with five counts of insider trading and eight counts of money laundering. J.A. 188-200. Like the insider trading counts in the earlier indictment, J.A. 31, the insider trading counts in the eighth superseding indictment allege that petitioner sold Enron stock "while in possession of material, non-public information regarding the technological capabilities, value, revenue and business performance" of EBS and Enron. J.A. 195. The money laundering counts in the eighth superseding indictments are based on monetary transfers involving funds derived from the sales of Enron stock charged as insider trading. J.A. 196-197; see note 1, supra. Unlike the earlier indictment, J.A. 913, the eighth superseding indictment does not allege that petitioner participated in a scheme to defraud, and
d. The jury acquitted petitioner on the conspiracy, securities fraud, and wire fraud counts. J.A. 161-162. The jury was unable to reach a verdict on the insider trading and money laundering counts. J.A. 162-187. The district court therefore declared a mistrial on those counts. Pet. App. 4a.
the government would not have to establish such participation in order to secure a conviction.
The district court denied petitioner's motion. Pet. App. 29a-66a. The court found that the acquittals at the initial trial did not collaterally estop the government from retrying petitioner on the counts on which the jury hung. "In light of (1) the massive amount of circumstantial evidence presented by the government, and (2) the direct testimony of [petitioner] that he did not participate in the crafting of the message at the 2000 Analyst Conference, drafting of press releases, or agreement to defraud investors," the court concluded that "the jury[,] by choosing [petitioner's] version of events, necessarily determined that [he] did not knowingly and willfully participate in the scheme to defraud described in the
3. Petitioner moved to dismiss all of the counts in the eighth superseding indictment (as well as the mistried counts in the fifth superseding indictment). Pet. App. 4a-5a & n.4. He contended that the collateral estoppel component of the Double Jeopardy Clause bars prosecution on the insider trading counts because the government could obtain a conviction on those counts only by proving that he used material, non-public information in his sales of Enron stock, and the jury at the first trial necessarily found that he did not possess such insider information when it acquitted him on the conspiracy, securities fraud, and wire fraud counts. Id. at 39a-40a, 49a-50a. Petitioner further argued that, if the insider trading counts are barred, the money laundering counts also must be dismissed, because they are predicated on the alleged insider trading violations. Id. at 40a.
conspiracy, securities fraud, and wire fraud counts." Id. at 57a-58a. 4
4. The court of appeals affirmed the district court's judgment. Pet. App. 1a-28a. Without addressing the government's argument that Richardson v. United States, 468 U.S. 317 (1984), permitted the retrial of the mistried counts despite the acquittals on the other counts, the court of appeals held that petitioner had not
That determination, the court observed, did not "negate the government's evidence and contention that [petitioner] possessed and used material nonpublic information at the time he made trades of Enron stock." Pet. App. 59a. Instead, it "only establish[ed] that [petitioner] did not participate in the overall scheme to defraud," i.e., the false and misleading statements allegedly made at the 2000 analyst conference and in the press releases. Ibid. Because the government was not required to prove petitioner's participation in the scheme to defraud in order to convict him on the insider trading counts, the court ruled that the acquittals did not collaterally estop the government from retrying petitioner on the insider trading and money laundering counts charged in the eighth superseding indictment. Id. at 58a-59a, 62a.
4 The district court concluded that the jury's acquittals were not based on petitioner's "good faith" defense, which "operate[d] as a valid and complete defense to both securities fraud and insider trading" under the court's jury instructions. Pet. App. 58a. The court observed that, "[i]f the jury necessarily acquitted [petitioner] [on the securities fraud count] based on the 'good faith' defense, they would have had to acquit [petitioner] of insider trading as well." Id. at 59a. "Because the jury did not acquit [petitioner] of both securities fraud and insider trading, but instead chose only to acquit [petitioner] of conspiracy, securities fraud, and wire fraud," the court found that "the most realistic, rational and practical analysis of the verdicts is that the jury did not acquit [petitioner] based on the defense of 'good faith.'" Ibid.
made the showing necessary to invoke collateral estoppel. Pet. App. 18a-28a. In analyzing petitioner's collateral estoppel claim, the court focused on the jury's acquittal on the securities fraud count. See id. at 18a-22a & n.20. The court concluded that, even though the acquittal, when viewed in isolation, appeared to reflect a jury finding that petitioner did not possess insider information, collateral estoppel analysis also requires consideration of the hung counts. Id. at 18a-23a. Taking into account those counts, the court held that petitioner had not met his burden of showing that the jury necessarily decided that he did not have insider information. Id. at 23a-28a.
The court further determined that the jury could have acquitted petitioner based on the second element only by finding, consistent with petitioner's "good faith" defense, that he did not knowingly make material mis-
Based on its review of the record, the court of appeals first concluded that the jury must have decided, in acquitting petitioner on the securities fraud count, that the government did not prove either the first element of the offense—i.e., that petitioner participated in making material misrepresentations or omissions—or the second element—i.e., that petitioner acted willfully, knowingly, and with the intent to defraud. Pet. App. 19a. The court next determined that the jury could have acquitted petitioner based on the first element only by finding that no misrepresentations or omissions were made at the 2000 analyst conference, and not by finding that petitioner did not participate in the scheme to defraud. Id. at 19a-20a. In reaching that determination, the court reasoned that petitioner had not disputed the government's claims at trial that he shaped the message of the EBS presentation at the conference. Id. at 20a.
representations or omissions, and not by finding that he acted negligently. Pet. App. 20a. In reaching that determination, the court again relied on its belief that petitioner had not disputed that he helped plan the conference message. Ibid.
The court ruled, however, that its precedent required it to consider the hung counts, along with the acquitted counts, in ascertaining what the jury actually determined. Pet. App. 22a-23a (citing United States v. Larkin, 605 F.2d 1360, 1370 (5th Cir. 1979), modified on other grounds, 611 F.2d 585 (5th Cir.), cert. denied, 446 U.S. 939 (1980)). Conducting that analysis, the court observed that, "if [petitioner] is correct that the jury found that he did not have insider information, then the jury, acting rationally, would have acquitted him of insider trading and money laundering." Id. at 23a-24a. The fact that the jury instead hung, the court concluded,
The court then reasoned that, whether the jury acquitted (1) based on a finding that no material misrepresentations or omissions were made at the conference or (2) based on a finding that petitioner acted in good faith, "the jury must have found * * * that [petitioner] himself did not have any insider information." Pet. App. 21a. The court therefore concluded that, if the acquittals are viewed in isolation, the jury "seemingly made a finding that precludes the Government from now prosecuting [petitioner] on insider trading and money laundering." Ibid. 5
5 Because the court agreed with petitioner that the jury's acquittal on the securities fraud count, viewed in isolation, was based on a finding that he did not possess insider information, the court found it "unnecessary * * * to determine whether the jury made the same conclusion when it acquitted [petitioner]" on the conspiracy and wire fraud counts. Pet. App. 22a n.20.
presented a "potential inconsistency." Id. at 22a. The court considered various possible explanations for the "discrepancy," including that "the jury was irrational and came to two inconsistent conclusions" and that "the jury decided that [petitioner] had insider information when considering both" the acquitted counts and the hung counts, "but, for some unknown reason, it nonetheless acquitted [petitioner] on some of them." Id. at 24a. Because it was "impossible" to determine why the jury reached the mixed verdict, the court concluded that petitioner had not carried his burden of establishing that the jury necessarily decided that he did not possess insider information. Id. at 23a-24a. The court therefore held that collateral estoppel does not bar a retrial on the hung counts. Id. at 24a.
In concluding, the court explained that it had not accepted the government's argument, based on United States v. Powell, 469 U.S. 57 (1984), that collateral estoppel never bars a retrial when a jury hangs on some counts but acquits on others. Pet. App. 25a. The court expressed agreement with those courts of appeals that have rejected that argument. Id. at 26a-27a. The court stated, however, that it parted ways with those circuits to the extent that "they ignored the mistried counts after they determined that Powell does not apply." Id. at 27a. Accordingly, the court affirmed the district court's denial of petitioner's motion to dismiss. Id. at 28a.
SUMMARY OF ARGUMENT
The jury's acquittals at petitioner's first trial do not collaterally estop the government from retrying him on other counts on which the same jury hung.
A. The Double Jeopardy Clause provides that no person shall be "subject for the same offence to be twice put in jeopardy of life of limb." U.S. Const. Amend. V. Although the text and common-law origins of the Clause suggest that it prohibits successive prosecutions only for the same offense, this Court has held that it also embodies collateral estoppel, which prohibits a successive prosecution on a related offense if an acquittal in the initial prosecution necessarily decided a factual issue in the defendant's favor that the government must prove to convict him on the related offense. Ashe v. Swenson, 397 U.S. 436, 443-445 (1970). At the same time, this Court has consistently recognized that the Double Jeopardy Clause does not guarantee a defendant that a prosecution will be completed in a single trial. Instead, the Clause affords the government "one full and fair opportunity" to obtain a conviction of those who have violated the law. Arizona v. Washington, 434 U.S. 497, 505 (1978).
B. The jury's failure to agree on a verdict has long been recognized as the classic example of when the Double Jeopardy Clause permits retrial. See United States v. Perez, 22 U.S. (9 Wheat.) 579, 580 (1824). Because "retrial following a 'hung jury' does not violate the Double Jeopardy Clause," Richardson v. United States, 468 U.S. 317, 324 (1984), the collateral estoppel component of the Clause does not bar retrial on hung counts when the jury acquits on other counts. Retrial on the hung counts is an integral part of the government's "one complete opportunity to convict," ibid. (citation omitted); that is, it represents a continuation of the initial prosecution that produced both the hung counts and the acquittals. It is not a successive prosecution that raises the concerns underlying the Double Jeopardy Clause and its collateral estoppel component.
This Court has never applied collateral estoppel across counts to bar retrial on charges for which the defendant remains in jeopardy. All of the Court's cases applying the doctrine have involved seriatim prosecutions. "[W]here the State has made no effort to prosecute the charges seriatim," this Court has rejected application of collateral estoppel, reasoning that "continuing prosecution on the remaining charges" does not implicate "the principles of finality and prevention of prosecutorial overreaching" that animate the double jeopardy protection. Ohio v. Johnson, 467 U.S. 493, 500 n.9, 501 (1984).
C. A jury's acquittal on one count cannot estop the government from retrying the defendant on another count on which the same jury hung for an independent reason. That kind of mixed verdict has only two possible explanations, and neither possibility supports applying collateral estoppel. The acquittal may rest on a jury finding that the government failed to prove a fact that, although essential for conviction on the count on which the jury acquitted, was not essential for conviction on the count on which the jury deadlocked. Collateral estoppel does not apply in that situation, because an acquittal on one charge collaterally estops the government from prosecuting another charge only if the jury, in finding the defendant not guilty, necessarily decided some fact that the government must prove beyond a reasonable doubt in order to convict on the second charge. See Ashe, 397 U.S. at 443-445. Alternatively, the acquittal may rest on a jury finding that the government failed to prove a fact that was essential for conviction on both the acquitted count and the hung count. Collateral estoppel does not apply in that circumstance, because the jury's failure to acquit on the hung count is inconsistent with the jury's acquittal on the other count. That inconsistency vitiates "the assumption that the jury acted rationally," which is a necessary predicate for applying collateral estoppel. United States v. Powell, 469 U.S. 57, 68 (1984).
D. Petitioner argues (Br. 16-23) that he should not be subjected to the costs and anxiety of a second trial. But a defendant must endure those costs and anxiety whenever the government retries charges following a hung jury. Acquittals on other counts should not deprive the government of its one complete opportunity to obtain a conviction on the hung counts. Nor will allowing retrial on the hung counts, where the jury could not agree, undermine "the traditional deference accorded jury acquittals." Id. at 16; see id. at 23-27. The acquittal still bars reprosecution on the same offense, and its collateral estoppel effect can be asserted in subsequent prosecutions. Nor will allowing retrial on hung counts in the circumstances here encourage overcharging. Cf.
Petitioner argues (Br. 26) that a mixed verdict of acquittals and hung counts is not facially inconsistent like the mixed verdict of acquittals and convictions in Powell. But if a single finding of fact would dictate acquittal on two counts, and the jury acquits on one and hangs on the other, the jury has not acted consistently or rationally. Collateral estoppel cannot be applied in that situation without giving effect to an irrational decision. Petitioner also argues (Br. 15, 34-44) that, because hung counts are not formal jury decisions, they cannot be considered at all in the collateral estoppel analysis. But that contention cannot be squared with this Court's command in Ashe that the analysis consider "all the circumstances" of the prior proceedings. 397 U.S. at 444 (citation omitted).
id. at 27-34. Prosecutors already have substantial incentives not to overcharge in order to avoid jury confusion and the potential for mistrial on all counts. And, if such policy concerns have any weight in answering the constitutional question, the controlling policy should be the public's interest in having one full and fair opportunity for a conviction on the hung counts.
E. Even if acquittals may sometimes preclude retrial on counts on which the same jury hangs, this Court should affirm the judgment of the court of appeals. As the district court found, the jury's acquittals on the conspiracy, securities fraud, and wire fraud charges may have rested on a finding that petitioner did not participate in the fraudulent statements or omissions made at the 2000 analyst conference and in the press releases following the conference. The government need not prove that petitioner participated in those frauds to convict him on the insider trading and money laundering charges. Accordingly, petitioner cannot carry his burden of showing that the jury, in acquitting him on the conspiracy and fraud charges, necessarily found a fact in his favor that the government must prove to convict him on the charges on which it seeks to retry him.
ARGUMENT
THE JURY'S ACQUITTALS AT PETITIONER'S FIRST TRIAL DO NOT PRECLUDE HIS RETRIAL ON THE COUNTS ON WHICH THE SAME JURY HUNG
The collateral estoppel component of the Double Jeopardy Clause cannot preclude retrials where the jury rendered a mixed verdict of acquittals and hung counts. That is so for two basic reasons. First, permitting preclusion would conflict with the established rule that when a jury hangs, the government may retry the case in order to have a complete opportunity for a verdict on a charged offense. Second, a mixed outcome presupposes either that the jury's two results (acquittals and hung counts) are consistent—in which case the factual predicate for collateral estoppel is missing—or that the two results are inconsistent and irrational—in which case the logical predicate for collateral estoppel is missing. In any event, even if acquittals could sometimes preclude retrials on counts on which the same jury hung, petitioner has not established that preclusion is warranted here. He has not shown that the jury, in acquitting him on the conspiracy and fraud charges, necessarily found a fact in his favor that the government must prove in order to convict him on the insider trading and money laundering counts on which it seeks to retry him.
A. The Double Jeopardy Clause Affords The Government One Complete Opportunity To Convict Those Who Have Violated The Law
1. The Double Jeopardy Clause provides that no person shall "be subject for the same offence to be twice put in jeopardy of life or limb." U.S. Const. Amend. V. The Clause protects a defendant against "a second prosecution for the same offense" after acquittal or conviction and against multiple punishments for the same offense. North Carolina v. Pearce, 395 U.S. 711, 717 (1969).
The Double Jeopardy Clause "affords the defendant who obtains a judgment of acquittal * * * absolute immunity from further prosecution for the same offense." Lockhart v. Nelson, 488 U.S. 33, 39 (1988); see United States v. Ball, 163 U.S. 662, 671 (1896); see also United States v. Scott, 437 U.S. 82, 91 (1978) (government cannot appeal an acquittal); United States v. Martin Linen Supply Co., 430 U.S. 564, 571 (1977) (same). An acquittal is accorded "special weight" for two reasons. United States v. DiFrancesco, 449 U.S. 117, 129 (1980). "The public interest in the finality of criminal judgments is so strong that an acquitted defendant may not be retried even though 'the acquittal was based upon an egregiously erroneous foundation.'" Arizona v. Washington, 434 U.S. 497, 503 (1978) (quoting Fong Foo v. United States, 369 U.S. 141, 143 (1962) (per curiam)). In addition, permitting retrials after acquittals would present an unacceptable "risk that the Government, with its vastly superior resources, might wear down the defendant," Scott, 437 U.S. at 91, through "repeated attempts to convict," Green v. United States, 355 U.S. 184, 187 (1957).
Ashe's holding that the Double Jeopardy Clause embodies collateral estoppel was an innovation. The Clause by its terms applies only to multiple jeopardy "for the same offence." U.S. Const. Amend. V. Collateral estoppel, by definition, applies only when two offenses are different, but share a common issue. See United States v. Dixon, 509 U.S. 688, 704-705 (1993). In addition, as a
2. In Ashe v. Swenson, 397 U.S. 436, 445 (1970), this Court held that the principle of collateral estoppel is also "embodied" in the Double Jeopardy Clause. As the Court explained, collateral estoppel "means simply that when an issue of ultimate fact has once been determined by a valid and final judgment, that issue cannot again be litigated between the same parties in any future lawsuit." Id. at 443. The burden is "on the defendant to demonstrate that the issue whose relitigation he seeks to foreclose was actually decided in the first proceeding." Dowling v. United States, 493 U.S. 342, 350 (1990); see Schiro v. Farley, 510 U.S. 222, 232-233 (1994).
matter of history, the Double Jeopardy Clause was intended to embody the common-law pleas of autrefois acquit and autrefois convict, which likewise were offense-specific. See Scott, 437 U.S. at 87; United States v. Wilson, 420 U.S. 332, 340-342 (1975); 4 William Blackstone, Commentaries *330; Edward Coke, The Third Part of the Institutes of the Laws of England; Concerning High Treason, and Other Pleas of the Crown and Criminal Causes *213. As the Court acknowledged in Ashe, the Court had never before held that collateral estoppel is constitutionally mandated in criminal cases. 397 U.S. at 445 n.10. Indeed, collateral estoppel first developed in civil litigation, and the Court did not apply the doctrine to bar a federal criminal prosecution until 1916, in United States v. Oppenheimer, 242 U.S. 85. 6 See Ashe, 397 U.S. at 443.
Nonetheless, in Ashe, the Court concluded that collateral estoppel is a necessary component of the Double Jeopardy Clause's protection against successive prosecutions. The Court explained that, "whatever else that constitutional guarantee may embrace, it surely protects a man who has been acquitted from having to 'run the gantlet' a second time." Ashe, 397 U.S. at 445-446 (citations omitted). The Court noted that the increasing
6 In fact, Oppenheimer actually involved claim preclusion, rather than issue preclusion, which is the modern term for collateral estoppel. See Taylor v. Sturgell, 128 S. Ct. 2161, 2171 & n.5 (2008). In Oppenheimer, an indictment was dismissed as barred by the statute of limitations; the government later reindicted the defendant after a decision of this Court revealed that the limitations ruling was wrong. 242 U.S. at 86. The Court applied the doctrine of res judicata to affirm the dismissal of the second indictment. Id. at 87. The Court later applied common-law issue preclusion, or collateral estoppel, to bar a substantive charge after acquittal on a conspiracy charge in Sealfon v. United States, 332 U.S. 575 (1948).
number of overlapping statutory offenses has created potential for unfair, seriatim prosecutions for related offenses. Id. at 445 n.10. The Court viewed collateral estoppel as a necessary safeguard against such successive prosecutions. Ibid. Otherwise, the Court stated, the government could use a trial for one offense "as no more than a dry run for [a] second prosecution" for another crime that turns on the same ultimate facts. Id. at 447.
Accordingly, this Court has repeatedly held that the Double Jeopardy Clause does not stand in the way of "affording the prosecutor one full and fair opportunity" to obtain a conviction of those who have violated the law. Washington, 434 U.S. at 505. The Court has therefore recognized numerous situations in which retrial is appropriately viewed as a continuation of the initial prosecution rather than a prohibited successive prosecution. Those situations include retrial after a mistrial justified by "manifest necessity," such as the jury's inability to reach a verdict, or trial error that cannot otherwise be corrected, United States v. Perez, 22 U.S. (9 Wheat.)
3. Despite rules against successive prosecutions, this Court has consistently recognized that the Double Jeopardy Clause "does not offer a guarantee to the defendant that the State will vindicate its societal interest in the enforcement of the criminal laws in one proceeding." Oregon v. Kennedy, 456 U.S. 667, 672 (1982). "There may be unforeseeable circumstances that arise during a trial making its completion impossible, such as the failure of a jury to agree on a verdict. In such event the purpose of the law to protect society from those guilty of crimes would be frustrated by denying courts power to put the defendant to trial again." Wade v. Hunter, 336 U.S. 684, 689 (1949).
579, 580 (1824); Illinois v. Somerville, 410 U.S. 458, 464 (1973); retrial after a mistrial granted on the defendant's motion (unless the government intended to provoke the mistrial request), Kennedy, 456 U.S. at 678679; and retrial after the defendant has obtained reversal of his conviction because of trial error, Ball, 163 U.S. at 671-672, because his guilty plea was involuntary, United States v. Tateo, 377 U.S. 463, 463-464 (1964), or because the conviction was against the weight of the evidence, Tibbs v. Florida, 457 U.S. 31, 47 (1982).
In those situations, the "criminal proceedings against [the] accused have not run their full course." Price v. Georgia, 398 U.S. 323, 326 (1970). He remains in "continuing jeopardy" from the initial prosecution and is subject to retrial without offending the Double Jeopardy Clause. Ibid.; see Richardson v. United States, 468 U.S. 317, 325-326 (1984); Justices of the Boston Mun. Court v. Lydon, 466 U.S. 294, 308-309 (1984).
B. Because A Defendant Remains In Continuing Jeopardy On Hung Counts, The Collateral Estoppel Component Of The Double Jeopardy Clause Does Not Bar Retrial On Those Counts When The Jury Acquits On Other Counts
This Court has long held that the failure of the jury to agree on a verdict is "[t]he classic example" of a situation in which the Double Jeopardy Clause permits a retrial. Downum v. United States, 372 U.S. 734, 736 (1963); see, e.g., United States v. Sanford, 429 U.S. 14, 16 (1976) (per curiam); Keerl v. Montana, 213 U.S. 135, 137-138 (1909); Dreyer v. Illinois, 187 U.S. 71, 86 (1902); Logan v. United States, 144 U.S. 263, 297-298 (1892); Perez, supra. Because "retrial following a 'hung jury' does not violate the Double Jeopardy Clause," Richardson, 468 U.S. at 324, the collateral estoppel component of the Clause does not bar retrial on a hung count when the jury acquits on another count.
Richardson makes clear that retrial on hung counts under the circumstances here does not implicate the concern about successive prosecutions that underlies the collateral estoppel component of the Double Jeopardy Clause. As Richardson establishes, when the government brings a group of related counts together in one prosecution, and the jury hangs on some counts but acquits on others, the defendant's "original jeopardy" on the hung counts does not terminate. 468 U.S. at 326. Retrial on the hung counts is a continuation of the initial proceeding that produced both the hung counts and the acquittals. It is an integral part of the government's
1. In Richardson, the jury acquitted the defendant on one count but was unable to reach a verdict on two other counts. 468 U.S. at 318-319. After the district court declared a mistrial on those counts, the defendant moved to bar a retrial, arguing that a second trial would violate the Double Jeopardy Clause because the government had not presented sufficient evidence at the first trial to convict on the hung counts. Id. at 318. This Court rejected the defendant's double jeopardy claim. Id. at 322-326. The Court explained that "the protection of the Double Jeopardy Clause by its terms applies only if there has been some event, such as an acquittal, which terminates the original jeopardy," id. at 325, but "a mistrial following a hung jury is not an event that terminates the original jeopardy," id. at 326. Noting "society's interest in giving the prosecution one complete opportunity to convict those who have violated its laws," id. at 324 (citation omitted), the Court explained that "[t]he Government, like the defendant, is entitled to resolution of the case by verdict from the jury," id. at 326.
"one complete opportunity to convict," not a successive prosecution designed to harass or to oppress the defendant. Id. at 324 (citation omitted).
In contrast, "where the State has made no effort to prosecute the charges seriatim," this Court has rejected
This Court has never applied collateral estoppel across counts to bar retrial on charges for which the defendant remains in jeopardy. Instead, all of the Court's cases applying collateral estoppel have involved seriatim prosecutions. See Turner v. Arkansas, 407 U.S. 366 (1972) (per curiam); Harris v. Washington, 404 U.S. 55 (1971) (per curiam); Simpson v. Florida, 403 U.S. 384 (1971) (per curiam); Ashe, supra; Sealfon v. United States, 332 U.S. 575 (1948); United States v. Adams, 281 U.S. 202 (1930); Oppenheimer, supra. Ashe is a typical example. In Ashe, a group of masked men robbed six men playing poker in a home. 397 U.S. at 437. The defendant was initially prosecuted for robbing one of the poker players, but the jury acquitted him. The State then brought to trial a second prosecution against the defendant for robbing a different poker player. Id. at 438-440. Reversing the defendant's conviction, this Court held that collateral estoppel barred the second prosecution because the jury's acquittal in the first prosecution must have rested on a finding that the defendant was not one of the robbers. Id. at 445-446. Ashe thus involved a deliberate strategy by the State to prosecute sequentially multiple offenses arising out of a single criminal episode in order to evaluate and strengthen its evidence, spread its risk among several juries, or wear down the defendant. The Court concluded that such successive prosecutions involve the kind of government oppression that the Double Jeopardy Clause forbids. Id. at 447.
application of collateral estoppel. Ohio v. Johnson, 467 U.S. 493, 500 n.9 (1984). The Court has explained that, in that circumstance, "the considerations of double jeopardy protection implicit in the application of collateral estoppel are inapplicable." Ibid. In Johnson, the Court rejected the defendant's claim that his guilty pleas on two of the charges brought against him collaterally estopped the State from trying him on two other charges brought in the same prosecution. Ibid. The Court noted that "continuing prosecution on the remaining charges" did not implicate "the principles of finality and prevention of prosecutorial overreaching" underlying the double jeopardy prohibition. Id. at 501. "On the other hand," the Court stressed, "ending [the] prosecution" in midstream "would deny the State its right to one full and fair opportunity to convict" the defendant on the remaining charges. Id. at 502.
Precluding retrial on the hung counts would deprive the government of "its right to one full and fair opportunity to convict" the defendant on those counts. Johnson,
The same considerations counsel against applying collateral estoppel to bar retrial on hung counts based on the jury's acquittal on other counts brought in the same prosecution. Retrial on the hung counts does not intrude on finality, because it merely completes the original prosecution. Retrial on the hung counts also presents "none of the governmental overreaching that double jeopardy is supposed to prevent." Johnson, 467 U.S. at 502. The government attempted to bring all the charges in a single proceeding, but it was forced to retry some of the charges because the jury hung. The government is therefore not trying to "wear down the defendant," Scott, 437 U.S. at 91, through "repeated attempts to convict," Green, 355 U.S. at 187.
467 U.S. at 502. Respect for that governmental interest is the principal reason for the longstanding rule permitting retrial on charges on which a jury deadlocks. See Washington, 434 U.S. at 509. Applying collateral estoppel across counts in mixed verdict cases to bar retrial on hung counts would therefore undermine "the public's interest in fair trials designed to end in just judgments." Kennedy, 456 U.S. at 672 (quoting Wade, 336 U.S. at 689). And it would inappropriately allow the defendant to transform his partial victory in the jury room into a complete victory that the jury refused to give him.
2. Petitioner contends that relying on Richardson to permit retrial on hung counts in a mixed verdict would "conflate[] traditional double jeopardy and the related doctrine of collateral estoppel" and "overrule Ashe." Br. 43-44. That contention is incorrect.
The public interest in allowing retrial on hung counts is particularly strong in the mixed verdict context because the government has no ability to challenge the acquittals. See Green, 355 U.S. at 188 ("[O]ne of the elemental principles of our criminal law" is "that the Government cannot secure a new trial by means of an appeal even though an acquittal may appear to be erroneous."). In the civil context, collateral estoppel does not apply at all when the party that would be precluded had no legal right to obtain review of the judgment. Restatement (Second) of Judgments § 28(1) (1982). Although the government's inability to appeal from an acquittal does not prevent the application of collateral estoppel in the criminal context, it counsels strongly against allowing a jury's acquittal to bar retrial on a hung count when the jury itself refused to acquit on that very count.
Collateral estoppel will continue to have effect independent of traditional double jeopardy principles even if the Court holds that Richardson's continuing jeopardy principle precludes applying collateral estoppel here. Whenever the government actually pursues seriatim prosecutions, the Richardson principle will not prevent collateral estoppel from barring a successive prosecution that requires proof of a fact necessarily decided against the government in a prior prosecution. Collateral estoppel will preclude the successive prosecution even if it is for a different offense and is therefore not barred under traditional double jeopardy analysis. See, e.g., Sealfon, supra.
Petitioner's attempt to wholly divorce collateral estoppel from the surrounding and independently valid double jeopardy principles—such as the longstanding rule permitting retrials of hung counts—cannot be squared with this Court's holding in Ashe that collateral estoppel is not a freestanding constitutional guarantee but is "embodied" in the Double Jeopardy Clause itself. Ashe, 397 U.S. at 445. Ashe's holding that the Double Jeopardy Clause embodies collateral estoppel is settled law, even if it is difficult to reconcile Ashe with the text and common-law origins of the Clause. See pp. 20-21, supra. But it is one thing to leave Ashe intact and quite another to allow collateral estoppel to overcome other established double jeopardy doctrines that afford the government a complete opportunity to convict those who have violated the laws. Ashe should therefore not be permitted to displace the Richardson rule. Indeed, under Richardson, the rule permitting retrials of hung counts prevails even where the jury should have acquitted because of insufficient evidence. A defendant should not be better off when the government introduces sufficient evidence to convict on all counts, but the jury for reasons of its own acquits on some but cannot agree on others.
C. The Rationale Behind Collateral Estoppel Does Not Apply When A Jury Acquits On Some Counts And Hangs On Other Counts At The Same Trial
1. Even if collateral estoppel could apply in the absence of a successive prosecution, a jury's acquittal on one count would not estop the government from retrying the defendant on another count on which the same jury hung. That kind of mixed verdict has only two explanations, neither of which permits the application of collateral estoppel.
The acquittal may rest on a jury finding that the government failed to prove a fact that, although essential for conviction on the count on which the jury acquitted, was not essential for conviction on the count on which the jury deadlocked. For example, in this case, the district court concluded that "the most realistic, rational and practical analysis of the verdicts" is that the acquittals on the conspiracy and fraud counts rested on the jury's conclusion that the government did not prove that petitioner participated in the fraudulent statements made at the analyst conference and in the press releases—a fact that the government need not prove to convict him on the insider trading and money laundering counts on which the jury hung. Pet. App. 59a. Collateral estoppel is not applicable in that situation, because an acquittal on one charge collaterally estops the government from prosecuting another charge only if the jury, in finding the defendant not guilty, necessarily decided some fact that the government must prove beyond a reasonable doubt in order to convict on the second charge. See Dowling, 493 U.S. at 347-348, 350-352; Ashe, 397 U.S. at 443-445.
2. The conclusion that a jury's acquittal on one count cannot collaterally estop the government from retrying a count on which the same jury deadlocks follows directly from Powell. In Powell, the jury acquitted the defendant on two drug charges but found her guilty on charges that she used a telephone to commit or to facilitate those drug offenses. 469 U.S. at 59-60. The defendant argued that "collateral estoppel should apply * * * to preclude acceptance of a guilty verdict on a telephone facilitation count where the jury acquits the defendant of the predicate felony." Id. at 64. This Court rejected that argument.
Alternatively, the acquittal may rest on a jury finding that the government failed to prove a fact that was essential for conviction not only on the acquitted count but also on the hung count. For example, in this case, the court of appeals concluded that the acquittal on the securities fraud count "seemingly" rested on the jury's conclusion that the government did not prove that petitioner possessed insider information—a fact that the government also had to prove to convict him on the hung counts. Pet. App. 21a. Collateral estoppel would not apply in that circumstance, however, because the jury's failure to acquit on the hung counts would be inconsistent with the jury's acquittal on the other count. A rational jury that found the common fact against the government would have to acquit on both sets of counts. That inconsistency vitiates "the assumption that the jury acted rationally," which is a necessary predicate for application of collateral estoppel. United States v. Powell, 469 U.S. 57, 68 (1984).
The Court explained that the inconsistent verdicts "should not necessarily be interpreted as a windfall to the Government at the defendant's expense" because it is "equally possible" that the acquittal was the result of "mistake, compromise, or lenity." Powell, 469 U.S. at 65. When the jury returns an acquittal on one count that is inconsistent with a guilty verdict on another count, the Court observed, it is impossible to tell which verdict "the jury 'really meant.'" Id. at 68. "[A]ll we know is that the verdicts are inconsistent," and, "once that is established[,] principles of collateral estoppel—which are predicated on the assumption that the jury acted rationally and found certain facts in reaching its verdict—are no longer useful." Ibid.
3. Powell's conclusion that a rational jury decision is a necessary predicate for applying collateral estoppel follows from Ashe. In Ashe, the Court stated that, to determine whether collateral estoppel applies, a court must "examine the record of [the] prior proceeding," taking into account all "relevant matter," and "conclude whether a rational jury could have grounded its verdict upon an issue other than that which the defendant seeks to foreclose from consideration." 397 U.S. at 444 (citation omitted; emphasis added). Focusing the inquiry on what a rational jury could have done only makes sense if it is reasonable to presume that the jury in fact acted rationally.
The same reasoning applies when a jury's acquittals on some counts are inconsistent with its failure to reach a verdict on other counts. In that situation as well, it is impossible to impute rationality to the jury. All a court can conclude is that the jury acted inconsistently and irrationally. Accordingly, the logical predicate for applying collateral estoppel is missing.
A rule that collateral estoppel does not apply when the prior verdict reflects inconsistent determinations is also supported by this Court's decision in Standefer v. United States, 447 U.S. 10 (1980). In Standefer, the Court held that non-mutual collateral estoppel does not apply against the government in criminal cases. Id. at 21-25. In reaching that conclusion, the Court noted that the particular jury verdict for which the defendant was seeking preclusive effect included convictions on some counts that were inconsistent with acquittals on other counts. Id. at 23 n.17. The Court stated that "[t]his inconsistency [was] reason, in itself, for not giving preclusive effect to the acquittals." Ibid.
Indeed, in civil cases, courts may decline to apply collateral estoppel where it is "evident from the jury's verdict that the verdict was the result of compromise," rather than a rational decision that accords with the jury instructions and the law. Restatement (Second) of Judgments § 28 cmt. j (1982); see 18 Charles Alan Wright et al., Federal Practice and Procedure § 4420, at 523-525 (2d ed. 2002). When the record indicates that the same jury reached inconsistent determinations on an issue, a court cannot conclude that the issue "was 'necessarily
As Standefer makes clear, collateral estoppel "is premised upon an underlying confidence that the result achieved in the initial litigation was substantially correct." 447 U.S. at 23 n.18; see Restatement (Second) of Judgments § 29 cmt. f (1982). "Where a determination relied on as preclusive is itself inconsistent with some other adjudication of the same issue, that confidence is generally unwarranted." Ibid. (explaining rationale for rule that non-mutual collateral estoppel does not apply when the judgment that would be given preclusive effect is inconsistent with another prior judgment).
determined' against the Government, as is required to support a later holding of collateral estoppel." Harary v. Blumenthal, 555 F.2d 1113, 1116 (2d Cir. 1977). That reasoning precludes application of collateral estoppel under the Double Jeopardy Clause when a jury inconsistently acquits on some counts and hangs on others. Applying collateral estoppel in that circumstance would require the "oddly surrealistic and irrational" conclusion that "the jury necessarily decided that which it confessed it could not decide." United States v. Romeo, 114 F.3d 141, 145 (9th Cir. 1997) (O'Scannlain, J. dissenting).
This case illustrates the point. A rational jury would not have returned the mixed verdict if it found a fact in petitioner's favor that was essential to conviction on both the acquitted counts and the hung counts. Petitioner claims (Br. 45-51) that collateral estoppel bars a retrial on the insider trading and money laundering counts on which the jury hung because the government must prove that he possessed insider information to obtain a conviction on those counts and the jury, in acquitting him on the conspiracy and fraud counts, necessarily determined that he did not possess insider information. But, if the jury in fact acquitted on the conspiracy and
4. Petitioner argues that the reasoning in Powell and Standefer does not foreclose application of collateral estoppel to bar a retrial here "because a mixed verdict of acquittals and hung counts does not create the same inconsistency as a mixed verdict of acquittals and convictions." Br. 26. But a verdict of acquittals and hung counts creates an equally powerful inference of irrationality if it is assumed that the jury's acquittals rejected a fact that the government also had to prove on the hung counts. And collateral estoppel applies only if that assumption is true.
fraud counts because it determined that petitioner did not possess insider information, and that determination also requires acquittal on the insider trading and money laundering counts, then a rational jury should have acquitted on those counts as well. Because the jury did not acquit on those counts, if petitioner's theory of the verdict is correct, the jury must have acted inconsistently and irrationally. Thus, as in Powell and Standefer, principles of collateral estoppel are "no longer useful," and the acquittals cannot be given preclusive effect. Powell, 469 U.S. at 68; see Standefer, 447 U.S. at 23 n.17.
The contention that hung counts should not be considered in collateral estoppel analysis is also at odds with Ashe. Ashe emphasized that, to determine whether a defendant's prosecution is barred by the collateral estoppel component of the Double Jeopardy Clause, a court must "examine the record of [the] prior proceed-
Petitioner and his amici (Pet. Br. 15, 34-44; NACDL Br. 10-11; Crim. Law Professors Br. 17-21) try to avoid that conclusion by arguing that courts have "attributed no meaning" to hung counts (Pet. Br. 38) so they should not be considered in the collateral estoppel analysis. That argument is mistaken. In asserting that a hung count is a meaningless "non-event" (NACDL Br. 10), petitioner and his amici rely on cases like Richardson. See Pet. Br. 42-43; NACDL Br. 10. But Richardson does not suggest that hung counts never have any significance. Richardson held that "the failure of the jury to reach a verdict is not an event which terminates jeopardy" and therefore "retrial following a 'hung jury' does not violate the Double Jeopardy Clause." 468 U.S. at 324-325. As discussed above, that holding supports retrial on the hung counts in this case.
ing, taking into account the pleadings, evidence, charge and other relevant matter." 397 US. at 444 (citation omitted). The Court stressed that "[t]he inquiry 'must be set in a practical frame and viewed with an eye to all the circumstances of the proceedings.'" Ibid. (quoting Sealfon, 332 U.S. at 579). The jury's failure to reach a verdict on certain counts is certainly "relevant matter" in the record of the prior proceeding. Refusal to consider that information would flout this Court's plain command that the collateral estoppel inquiry consider "all the circumstances" of that proceeding.
Petitioner and his amici also err in arguing (Pet. Br. 26-27, 34; NACDL Br. 12-13.; Crim. Law Professors Br. 17-19) that, unless hung counts are ignored entirely in the collateral estoppel analysis, courts will be required to examine the hung counts in each case in an effort to determine why the jury failed to reach a verdict. The court of appeals did engage in that kind of analysis in this case. Pet. App. 24a-28a. But the court did so only because it rejected the government's argument that collateral estoppel never bars retrial on a hung count based on an acquittal by the same jury on another count. See id. at 25a. 7 If this Court accepts that argument (see pp. 23-33, supra), courts will not have to attempt to deter-
7 Instead, the court concluded that, in each individual case, the hung counts must be considered along with the acquittals in an attempt to ascertain what facts, if any, the jury necessarily found in the defendant's favor. The government agrees with petitioner and his amici (Pet. Br. 44-45; NACDL Br. 3, 11; TCDL Br. 7) that the court of appeals' approach will in practice produce the same result as a categorical rule that collateral estoppel never applies. For that reason, and because the categorical approach is dictated by logic and precedent, this Court should not adopt the court of appeals' case-by-case approach.
mine the actual reasons why the jury hung in any particular case.
D. Petitioner's Policy Arguments Cannot Justify Extension Of Collateral Estoppel Principles To Bar Retrial Of Hung Counts
1. Petitioner argues (Br. 16-23) that allowing retrial on the hung counts would unfairly subject him to the costs and anxiety of a second trial and permit the government to hone its case after it failed to obtain a conviction on those counts in the first trial. That argument ignores this Court's repeated holdings that the prohibition on double jeopardy "does not mean that every time a defendant is put to trial before a competent tribunal he is entitled to go free if the trial fails to end in a final judgment." Wade, 336 U.S. at 688. On the contrary, "a defendant's valued right to have his trial completed by a particular tribunal must in some instances be subordinated to the public's interest in fair trials designed to end in just judgments." Id. at 689.
A hung jury has long been considered "the classic basis for a proper mistrial" that "require[s] the defendant to submit to a second trial." Washington, 434 U.S. at 509. Whenever a defendant faces a retrial after a hung jury, he must endure the costs and anxiety of a second trial and the risk that the government may learn from mistakes it made in the first trial. But that is an unavoidable cost of honoring "society's interest in giving the prosecution one complete opportunity to convict those who have violated its laws." Ibid. This is not a case like Ashe in which the government held back related counts so that it could try them later if the first trial ended in an acquittal. Instead, it is a case in which the government seeks one full and fair opportunity to convict on charges that it brought in a single prosecution. 8
Allowing retrial on hung counts when the jury simultaneously acquits on other counts would not infringe the longstanding principle that a verdict of acquittal provides "absolute immunity from further prosecution for the same offense," Nelson, 488 U.S. at 39, and "may not be appealed," Scott, 437 U.S. at 91. The government thus cannot retry the acquitted conspiracy and fraud counts, even if it could proceed on a different legal theory or new factual proof.
2. Petitioner and his amici also contend (Pet. Br. 16, 23-27; NACDL Br. 9-14; Crim. Law Professors Br. 2125) that allowing retrial on the hung counts in this case would undermine "the traditional deference accorded jury acquittals." Pet. Br. 16. That contention is incorrect.
Allowing retrial on the hung counts in the circumstances here also would not inappropriately curtail the collateral estoppel effect of acquittals. Collateral estoppel would continue to apply if the government sought to bring seriatim prosecutions and an acquittal in the initial prosecution necessarily determined an issue of fact in the defendant's favor that the government must prove to obtain a conviction in the subsequent prosecution.
8 Petitioner contends (Br. 22) that the government improperly "tailor[ed]" the charges in the eighth superseding indictment "to avoid making the same mistakes with a second jury" that it purportedly made in the first trial. The eighth superseding indictment, however, merely omitted certain factual allegations from the prior indictment to reflect the jury's acquittals on the conspiracy, securities fraud, and wire fraud counts and reduced the number of insider trading and money laundering counts. The government's decision to omit extraneous allegations and to abandon certain counts that it could have legally retried does not offend double jeopardy principles.
Even an acquittal that was accompanied by hung counts could have collateral estoppel effect in a successive prosecution involving new counts that were not brought in the initial prosecution. For example, if the jury, in acquitting petitioner on the wire fraud charges at his first trial, necessarily found that he did not participate in preparing the press releases issued by Enron or EBS, those acquittals would collaterally estop the government from bringing a new prosecution charging petitioner with mail fraud based on those press releases.
Those contentions ignore the substantial risks faced by a prosecutor who "charge[s] as many overlapping counts as possible." A prosecutor who loads down his case with unnecessary charges makes the case more difficult for the jury to comprehend and increases the likelihood that the jury will acquit the defendant "through mistake, compromise, or lenity." Powell, 469 U.S. at 65. Indeed, prosecutorial overcharging tempts the jury to use its unreviewable power to acquit "as a check against arbitrary or oppressive exercises of power by the Executive Branch." Ibid.; see Standefer, 447 U.S. at 22. Prosecutors are unlikely to add charges that may increase the likelihood of acquittals on some counts
3. Petitioner and his amici also argue (Pet. Br. 2733; NACDL Br. 14-21; Crim. Law Professors Br. 28-30) that allowing retrial on hung counts in these circumstances will encourage prosecutorial overcharging. They assert that prosecutors will take advantage of the numerous overlapping offenses in modern criminal codes "to charge as many overlapping counts as possible, thereby paving the way for a retrial[,]" in order to "evad[e] the collateral estoppel consequences of * * * an acquittal." NACDL Br. 14.
in order to "evad[e] the collateral estoppel consequences of * * * an acquittal" on those counts.
In part because of these practical concerns, federal prosecutors are instructed to "bring as few charges as are necessary to ensure that justice is done." United States Attorneys' Manual § 9-27.320(B) (Jan. 2007). Those instructions reflect the government's recognition that overcharging undermines "the fair and efficient administration of justice." Ibid. Given the obvious costs to the government of bringing unnecessary charges, and the clear guidance discouraging that conduct, allowing retrials on hung counts in the mixed verdict context is unlikely to result in the strategic overcharging suggested by petitioner and his amici.
Petitioner and his amici also ignore the substantial risks to the government that overcharging could produce jury confusion and a mistrial on all counts. As this Court has noted, "[i]t is possible that new evidence or advance understanding of the defendant's trial strategy will make the State's case even stronger during a second trial," but "[i]t is also possible * * * that the passage of time and the experience of defense counsel will weaken the prosecutor's presentation." Tibbs, 457 U.S. at 43 n.19; see United States v. Loud Hawk, 474 U.S. 302, 315 (1986) ("The passage of time may make it difficult or impossible for the Government to carry [its] burden [of proving its case beyond a reasonable doubt]."); Engle v. Isaac, 456 U.S. 107, 127-128 (1982) ("Passage of time, erosion of memory, and dispersion of witnesses may render retrial difficult, even impossible.").
Petitioner (Br. 28) and amicus NACDL (Br. 17 n.2) contend that the government overcharged the offenses against petitioner, but that claim is misguided. The fifth superseding indictment broke down the counts into four logically distinct units. The indictment charged (1) one count of conspiracy based on securities and wire fraud; (2) one count of substantive securities fraud based on the false statements in the analyst conference; (3) three counts of wire fraud based on false press releases; and (4) remaining counts growing out of petitioner's alleged insider trading, in which he used undisclosed material information to sell Enron stock, and his alleged money laundering by investing the proceeds in other financial holdings. See Pet. App. 30a-31a. The number of the insider trading and money laundering counts was large only because the number of allegedly fraudulent and money laundering transactions in which petitioner engaged was vast. But the conduct underlying the insider trading and money laundering counts all turned on a common core of factual proof: that petitioner used his knowledge of the problems with EBS when he sold Enron stock without disclosing his knowledge to investors. See id. at 50a n.28. No dispute existed that petitioner engaged in the charged transactions; rather, the central issue for the jury was whether petitioner used nonpublic material information in trading. The number of counts did not affect the jury's ability to decide that issue; indeed, the jury hung on all of insider trading and money laundering counts, suggesting that it viewed them of a piece. Accordingly, petitioner's speculation (Br. 28) that the jury returned a mixed verdict of acquittals and hung counts because of exhaustion or confusion in wading through numerous counts lacks foundation. The far more likely explanation is that it could not agree whether he acted in good-faith, Pet. App. 55a-56a (describing petitioner's "good faith" defense), or whether he used insider information in making his trades, id. at 56a (describing petitioner's "defense that he did not 'use' material, nonpublic information, based on testimony that the trades were made by [petitioner] or his wife, in the course of normal investing and for purposes of diversification").
Not only is the purported policy justification for expanding collateral estoppel (viz., to deter overcharging) a questionable basis for expanding one double jeopardy doctrine at the expense of other settled double jeopardy doctrines, but the expansion is at odds with other important double jeopardy policies. The government's right to one complete opportunity to secure a conviction for a violation of the laws, which is the foundation for the rule permitting the retrial of hung counts, does not exist for its own sake. Rather, that right serves the public's profound interest in ensuring that criminal violations are adjudicated in court. When a grand jury has found probable cause to believe that the criminal laws were violated, the public is entitled to seek a jury verdict that resolves that matter. Concern about prosecutorial overcharging, which is likely to be a self-defeating practice in any event, should not thwart that important public interest.
E. Petitioner Has Not Established That The Jury's Acquittals Necessarily Determined A Fact In His Favor That The Government Must Prove To Convict Him On The Hung Counts
Even if the Court agrees with petitioner that acquittals can preclude retrials on counts on which the same jury hangs (and that hung counts cannot be considered at all in the collateral estoppel analysis), the Court should affirm the judgment of the court of appeals. Petitioner has not carried his burden of showing that the jury, in acquitting him on the conspiracy and securities and wire fraud charges, necessarily found a fact in his favor that the government must prove to convict him on the insider trading and money laundering charges on which it seeks to retry him.
The court of appeals reached its conclusion based on two subsidiary determinations, both of which rested on the same flawed premise—that petitioner did not dispute that he shaped the message at the 2000 analyst conference. First, the court determined that "the jury
Petitioner contends (Br. 45-51) that a retrial is barred because the acquittals, viewed in isolation, necessarily determined that he did not possess insider information—an element that the government must prove beyond a reasonable doubt to convict him on the insider trading and money laundering charges. Petitioner primarily relies (Br. 45-46) on the court of appeals' conclusion that, if the acquittal on the securities fraud count is considered without giving any weight to the hung counts, "the jury must have found that * * * [petitioner] himself did not have any insider information." Pet. App. 21a. The court of appeals' conclusion on that point is, however, incorrect. 9 Rather, the district court's contrary conclusion, based on its far greater familiarity with the nature of the charges, the evidence at trial, and the parties' positions, shows why petitioner did not carry his burden in this case.
9 Indeed, later in its opinion, the court appeared to retreat from that conclusion. When considering possible explanations for the apparent inconsistency between the acquittal on the securities fraud count and the failure to reach a verdict on the insider trading and money laundering counts, the court observed that it was possible "that the jury decided that [petitioner] had insider information when considering both sets of counts, but, for some unknown reason, it nonetheless acquitted [him] on some of them." Pet. App. 24a.
could not have acquitted [petitioner] by finding that, while there were representations or omissions made, [petitioner] did not participate in making them." Pet. App. 19a-20a. The court rested that determination on its belief that petitioner "did not dispute" the government's argument "at trial that [petitioner] helped shape the message of the conference presentations." Id. at 20a. Second, the court determined that "the jury could not have acquitted [petitioner] for negligently making material misrepresentations or omissions." Ibid. That determination also rested on the court's mistaken belief that "it was undisputed that [petitioner], as Senior Vice President of Strategic Development, helped plan the conference message." Ibid.
As the district court observed, "the defense * * * argued that [petitioner] did not participate in the craft-
In fact, as the district court found, petitioner hotly disputed that he had any involvement in shaping the conference presentations. Pet. App. 55a-57a; see p. 6, supra; see, e.g., Tr. 9938-9941 (petitioner denying any role in deciding which slides were shown at the conference); Tr. 9941-9947 (petitioner denying any role in preparing the presentation on the network control software layer); Tr. 9953 (petitioner denying attendance at the "run-through" the day before the conference); Tr. 99329933 (petitioner testifying that the videos for which he was responsible were not shown at the conference). 10
10 Petitioner also vigorously denied that he had any participation in the press releases that formed the basis for the wire fraud counts. Pet. App. 55a; see, e.g., Tr. 9911, 9913, 13,384. And the district court found that "the government introduced no evidence that [petitioner] played any role in the formation of the press releases." Pet. App. 55a. As for the conspiracy charge, petitioner denied that he entered into any agreement with anyone to commit a crime. Ibid.; see, e.g., Tr. 9920.
ing of the statements in the press releases; did not participate in the creation of the slides or statements presented at the analysts conference; and did not reach an agreement with any other person to make false, misleading, or deceptive statements or material omissions of fact." Pet. App. 55a. Thus, as the district court concluded, the jury may well have acquitted petitioner on the conspiracy, securities, and wire fraud charges based on a finding that petitioner had no role in making false statements or material omissions at the analyst conference or in the press releases and that he had not conspired with anyone to commit fraud. Id. at 59a. In light of that possible explanation for the acquittals, petitioner cannot carry his burden of showing that the jury necessarily determined that he did not possess insider information based on acceptance of his "good faith" defense. See Dowling, 493 U.S. at 352 (declining to apply collateral estoppel because "[t]here [were] any number of possible explanations for the jury's acquittal verdict"). 11
Contrary to petitioner's contentions (Br. 46, 48-49), the jury was not instructed that it could find him guilty on the conspiracy and fraud counts based solely on a finding that he "knew the 'truth' about EBS and failed to disclose it" when others made misstatements at the
11 Petitioner incorrectly suggests (Br. 45-46) that the district court concluded that the jury must have accepted his "good faith" defense. On the contrary, the district court ruled that the jury's acquittals were more likely based on a finding that petitioner did not knowingly and willfully participate in the scheme to defraud. Pet. App. 57a-59a. The district court concluded that the jury most likely did not accept petitioner's "good faith" defense. Id. at 58a-59a. Although the court considered the hung counts in reaching that conclusion, id . at 59a, the record clearly supports the possibility that the acquittals, even when viewed in isolation, may have been based on a finding that petitioner did not participate in the scheme to defraud.
analyst conference and in the press releases. Br. 48. The jury was instructed that, to find petitioner guilty on the conspiracy count, it had to find that he "made an agreement to commit the crime of wire fraud or securities fraud" with at least one other person. J.A. 90. The jury was specifically told that it had to acquit petitioner if he "was not a member of the conspiracy." J.A. 92. On the securities fraud count, the jury was instructed that it could find petitioner guilty only if he "participated in the scheme or fraudulent conduct" or personally "caused" material misstatements to be made or material facts to be omitted from statements that were made. J.A. 95. The jury was expressly told that it had to acquit petitioner if he "was not a knowing participant in the scheme." J.A. 111. And, on the wire fraud charges, the jury was instructed that it could find petitioner guilty only if he "knowingly devised or intended to devise a scheme to defraud" and he "either wired" the allegedly false press releases or "caused [them] to be wired in interstate commerce in an attempt to execute or carry out the scheme." J.A. 118. Thus, the jury was not required to find petitioner guilty on the conspiracy and fraud charges simply because it found that he possessed insider information and failed to disclose it. The acquittals on those counts therefore do not indicate that the jury necessarily determined that petitioner did not possess and fail to disclose insider information. See Pet. App. 58a.
FEBRUARY 2009
CONCLUSION
The judgment of the court of appeals should be affirmed.
Respectfully submitted.
EDWIN S. KNEEDLER Acting Solicitor General
R
ITA
M. G
LAVIN
General
Acting Assistant Attorney
MICHAEL R. DREEBEN Deputy Solicitor General
MATTHEW D. ROBERTS Assistant to the Solicitor General
JOSEPH C. WYDERKO Attorney
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1. Why is the Council looking to provide Gypsy and Traveller pitches?
* Legislation requires a local authority to consider the needs of people living in caravans and to then provide for these needs. East Sussex planning authorities commissioned a Gypsy and Traveller Accommodation Needs Assessment that was published in 2016. This concluded a need within Lewes district for 13 permanent pitches; apportioning 8 to within the SDNP and 5 outside of the Park.
2. What is the Part 2 document and where does it fit in the district plan?
* Local Plan Part 2 will, when adopted, form part of the Development Plan along with Local Plan Part 1 –the Joint Core Strategy (JCS) and 'made' neighbourhood plans. The JCS is the overarching strategic policy and sets the amount and spatial distribution of growth for the district. The JCS establishes in policy the requirement to provide 13 Gypsy and Traveller pitches across the district. Local Plan Part 2 contains the small site allocations and detailed development management policies to deliver the spatial objectives and policies of the JCS, which was adopted in May 2016.
3. What are the planning grounds for the allocation?
* Core Policy 3 in the JCS states that sites to meet the need for 13 pitches will be delivered through Local Plan Part 2 and the SDNPA Local Plan, unless allocated through neighbourhood plans. No neighbourhood plans have sought to address this need.
4. What is the planning history for the site?
* The site was submitted to the council as a potential development site in 2009 – it was submitted as the whole field (4.4ha) in response to a call for sites for the Strategic Housing Land Availability Assessment. It was filtered out due to proximity to the nearest planning or settlement boundary (more than 500m). The site proponent was written to in 2012 requesting permission to assess the site for Gypsy and Traveller use. Agreement was received and the site was in the 2012 Gypsy and Traveller site assessment. The Council's Housing Delivery Team in 2017/2018 made us aware the site was still available and we relooked at a different access and a smaller portion of the overall site. The site was then assessed against the criteria in adopted Core Policy 3.
5. The assessment in the 2018 SHLAA shows this site 03PL as 'Fails proximity Assessment', and in the ESCC Highways assessment in the Site Allocations and Development Managements Policies Document (August 2018), the word 'Showstopper' appears against that site with regard to access. Given these factors... Why did LDC choose this site? On what basis (with reference to its own sustainability criteria)? Why this rural site is deemed suitable for travellers yet not for housing
development (viz NP and pedestrian access, 60mph road, visibility splays, infrequent bus route into Plumpton Green and its amenities)?
* There is a ready supply of potential housing development sites documented in the SHLAA and the application of a filter is necessary to guide the selection of the most sustainable sites. There have been very few sites made available to assess for Gypsy and Traveller accommodation over the last 7 years so we have to look outside this proximity criteria. Since the adoption of the JCS LDC has policy criteria for the assessment of sites for pitch provision - Core Policy 3.
* The showstopper comment relates to the larger site (4.4ha) with the access from St Helena Lane and midway along the site boundary where the Public Right of Way meets Station Rd – neither access was considered achievable and so highways objections ruled out the larger site.
* The 2012 assessment (which looked for sites for the full LDC requirement of up to 13 pitches) contains a number of sites within the SDNP where LDC cannot now allocate land; furthermore a number of the sites have since 'fallen away' because they are no longer being made available by the landowner.
* We received no sites through the call for sites between November 2017 and January 2018 and so we re-looked at filtered SHLAA sites again and contacted landowners. We re-consulted ESCC on a revised (existing) access in the southeast corner of 'Land south of the Plough' with the purpose of potentially allocating just 0.69ha for 5 pitches (the requirement of the JCS outside of the SDNP); we commissioned speed surveys and have been informed by ESCC that the access is now achievable.
6. Why has the Council not updated its methodology and the 2012 Parker Dann documents in light of the Government's Planning policy for traveller sites published August 2015? The 2012 assessment is fundamentally flawed as it pre-dates the adopted JCS and Core Policy 3.
* The council does not need to update its methodology; the adopted Core Policy 3 (JCS) provides the assessment criteria for assessing a potential allocation or for assessing a planning application for pitch provision. There is only one suitable site currently available and it has been assessed against Core Policy 3 with the help of ESCC and found to be suitable; in 2012 the larger site (4.4ha) scored relatively well (25 with the highest score 29) and under that same methodology today the smaller site with revised access would have an increased score of 27. The Council does not need to revert to the 2012 assessment criteria – this was part of the evidence base for the Examination of the JCS and Core Policy 3 was found sound; now as adopted
policy this is the standard against which any planning application or site allocation would need to be assessed.
* All planning policies within the Plan are also considered through the Council's Sustainability Appraisal incorporating Strategic Environmental Assessment.
7. Why is this site the only site being taken forward?
* This is the only remaining site available for this use that is considered deliverable, other sites that were assessed are either within the SDNPA, where LDC cannot allocate, or are no longer available for this use.
* If other sites are submitted during this consultation we will include them as omission sites for the Inspector to consider whether they should be allocated. If the Inspector considers they should be allocated we will have to consult on them as 'main modifications' prior to receiving a final report from the Inspector.
8. Is this a rural exception site/affordable site as per the Government's Planning policy for traveller sites?
*No not specifically. The site is being assessed against Core Policy 3 criteria within the adopted JCS.
9. What other sites are being planned?
* The SDNPA has two allocations in their Local Plan within Lewes district, 1 pitch in Kingston and 4 additional pitches in Offham.
10.Who will own the site? Will LDC purchase it, lease it from the current owner, or 'broker' its sale to the travellers? Is the arrangement for perpetuity?
* We understand from the landowner that the site will need to be purchased and LDC is looking into the funding and government grants available to deliver the allocation. It is highly likely the site would remain either in LDC ownership or be transferred to ESCC – it is not anticipated to become a private site; due the costs of delivery it will remain in public ownership and be rented through licence agreements.
11.Has the Council got an agreement with the current landowner in place? Does any such agreement include a firm understanding on purchase price, and how much?
* The council has an agreement in principle to put the allocation forward within the Plan; the site allocation needs to be scrutinised by the examining Inspector before it can formally be adopted as policy. LDC is looking at funding options to deliver the site and this includes site purchase.
12.What is LDC's relationship/responsibility towards the residents of the site? Who will select residents and how? On what basis will they live there (tenants?)? Who will be eligible to live there (categories of 'traveller). What is the capacity on five pitches? Will it increase?
* LDC has a duty to all its residents to provide safe and secure homes, either in the private sector or public sector owned.
ESCC will manage the site; ESCC will select and vet potential future occupants who will live there under licence agreements on a rental basis. One licence holder per pitch with the addition of immediate family members (partner/spouse or dependent children) with the licence holder's permission. By way of a guide ESCC currently have no Irish Travellers on any of the permanent sites and the current site residents often refer to themselves as "English Gypsies". There is a full description of Gypsies and Travellers appended.
13.What activities would be permitted? Will residents be permitted to operate businesses from the site? What oversight would there be?
* There is nothing in ESCC licence agreement to stop a business being run on the site, but there are certain behaviours and activities that are not allowed which would prevent this. ESCC do not however allow businesses to be run from any of their ESCC sites. Activities not permitted by licence include operation involving the break up of motor vehicles, scrap or other materials. ESCC monitor the site with biweekly visits and through their licence agreements are able to take enforcement action for non-compliance.
14.What permitted development rights would the site owner, if not the council, have for the site?
* None, the occupants would be renting from ESCC and not site owners.
15.Why select a site where there is no street lighting, no pavement no sewage or amenities and the local shop is a mile's walk away?
* There are whole villages in the district with no street lighting. There is very limited choice for sites and each site that may come forward is/will be assessed against CP3 (this could be for public or private ownership). This site meets the requirements of CP3, including reasonable access to services. Whilst there are some elements, such as no access on foot to services that are not ideal with this site, this does not prevent the site meeting the overall criteria. Not all ESCC-managed permanent sites have access on foot to services. Mitigation may be achievable and discussions are underway with ESCC regarding potential for a footpath to the bus stop. Reduced speed limits along Station Rd are also a possibility, although average speeds from the speed survey are significantly less than 60mph. On-site waste disposal, e.g. cesspit, is possible for foul wastewater and sewerage. The 2012 site assessment recognised that the site would provide good amenity for future occupants and today's assessment concurs with this conclusion.
16.It is considered that this allocation is in direct conflict with Core Policy 4 in terms of safeguarding existing employment sites and supporting economic growth in rural areas and Core Policy 6 in terms of supporting the rural economy and supporting local shops. How can Lewes District Council justify this conflict?
* We are listening to your concerns but have no evidence to demonstrate that a well-managed, authorised Gypsy & Traveller site would be incompatible with local employment uses. There will be an opportunity for local residents and businesses to put forward their arguments about economic viability at the Examination in Public and an independent Inspector will consider these arguments and reach a conclusion about whether Policy GT01 is sound.
17.Does this site allocation conflict with Core Policy 10? In particular we are concerned about ancient woodland and hedgerows?
* We have no evidence to demonstrate that ancient woodland or important hedgerows would be affected by the proposal.
18.Does this site allocation conflict with Core Policy 11, which requires a satisfactory environment for existing and future occupants? The proposed allocation is next to an industrial estate.
* These uses are operating without detriment to the health and safety of the occupiers of existing residential properties in close proximity to the site. We have no evidence to suggest that a permanent Gypsy and Traveller site would be affected any differently.
19.Who decides and what is the decision making process?
* The Council (all elected members) will be asked for permission to submit Local Plan Part 2 to the Planning Inspectorate. If that permission is granted the Plan will be submitted to the Secretary of State for a formal Examination in Public conducted by the Planning Inspectorate. If found sound and legally compliant the Council (all elected members) will be asked whether they wish to adopt the Plan – it is ultimately a Council decision.
20.Who sees the representations?
* Although a representation purports to be factual, rather than expressing an opinion, its inclusion could be seen to be racial stereotyping of a type likely to be considered offensive by those with a protected characteristic, or others.
* The Council has had to redact parts of responses and will not be able to publish full responses where to do so would contravene the Public Sector Equality Duty (s149 of the Equality Act 2010). Any statement that generalises a behaviour or an attribute to an entire group based on a protected group under their ethnicity would be inappropriate to publish. The Councils Equality and Fairness Policy that defines how we will meet our statutory duty says " we will eliminate unlawful discrimination, harassment and victimisation "
* It would appear that the purpose of including this information is to suggest the same would happen again because of the 'type of person' inhabiting a Gypsy and Travellers site, not just the 'type of development'
* The Inspector will only see what we publish; it is important to note that in all cases there is not 100% redaction. Therefore in the main a respondent's position is still clear but their reasoning for that position may be redacted if to publish it in full would contravene our Public Sector Equality Duty.
Who are 'Gypsies and Travellers'?
The terms Gypsies, Travellers and Roma can be confusing for practitioners. If we want to provide genuinely person centred care it is vital that we understand these terms and apply them correctly. At the same time, it is important that we also recognise that there can be significant cultural and practical differences between individuals within defined groups and whilst having regard for correct group identities, we also endeavour to treat people as individuals. A person's ethnic identity can only be used as a rough guide as to what their culture or traditions might be and we must ensure good listening so that people are able to share information without fear of being stereotyped.
Here is a guide to correct use of the relevant terms within UK society.
Romany Gypsies – Whilst the origins of Gypsy people are still open to some debate it is generally agreed that there is a group or groups of people who left India over a thousand years ago and dispersed across the globe. Along the way they were defined (usually by others) as being 'Egyptian' and this has become shortened to Gypsy. Gypsy people began occurring in UK records in the 16th Century and have settled here ever since. Romany is the word that Gypsy people in England and Wales apply to themselves hence the term 'Romany Gypsy'. This term is not used to describe more recent incomers to the UK from Central and Eastern Europe, generally described as Roma (see below). It's important that the difference between these terms is understood and that the words 'Romany' and 'Roma' are not used interchangeably. The word 'Romanian' is also sometimes confused with Romany or Roma. Romanian describes people whose nationality is Romanian ie from Romania). Romany Gypsies are recognised as an ethnic minority group in UK Law (Race Relations Act (amended) 2000 and Equalities Act 2010)
Scottish Gypsy Travellers – Travelling people in Scotland, whilst sharing much in common with other Travelling groups have recently been recognised as a separate ethnic group in Scotland. The origins of Scottish Gypsy
Travellers may be linked to Romany Gypsies and Irish Travellers as well as having some distinct routes of their owni.
Irish Travellers – Irish Travellers, whilst having much in common in terms of lifestyle and to some extent shared history with Romany Gypsy and Scottish Gypsy Traveller people, have a different ethnic route and do not come originally from India. The best evidence available suggests that Irish Travellers (or Pavee as they refer to themselves) have been a distinct ethnic group within Irish Society, possibly for millennium. Whilst the numbers of people living as Travellers in Ireland may have swelled during the so called 'potato famine', it is clear that this distinct group existed long before this time. Irish Travellers are recognised as a distinct group in UK law as above.
Roma – the word Roma is used as a catch-all term for European 'Gypsies'. It is acceptable usage in the UK although it might be useful to know that in fact there are several distinct groups of people including Roma, Manouche, and Sinti, of Central and Eastern Europe and the Jeniche people of Switzerland and Germany. During the past 50 years increasing numbers of Roma people, particularly from Eastern Europe, have migrated to the UK. Indeed in some cities there are now more European Roma people than there are Romany Gypsies and Irish Travellers. Whilst having some aspects of culture in common with Romany Gypsies and Irish Travellers it is important to note that a differing political context across Europe, (including the rise and fall of communist states), have led to significant differences in lifestyle and outlook.
Showmen – Families with a tradition of living and working in travelling fairs are usually described as Showmen. This group has not campaigned to be recognised as an ethnic group, preferring to be regarded as a trade group – many are members of the 'Showmen's Guild'. Showmen are recognised in UK law, particularly planning law. Circus People can be regarded as similar to Showmen although the trades are often different.
Bargees – Bargees are people who live on the canals in the UK. Some Bargee families can trace their families back many generations, some families are linked to other Travelling groups such as Romany Gypsies and some are less ethnically connected having taken to the canals in more recent decades.
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Annual Dams Safety Standards Report
Response ID: 38935
Submitted Date: 14/03/23 07:42:01
Completion Time: 2 min. 37 sec.
(Page 1 /9)
Page 1 of 9
The Annual Dams Safety Standards Report demonstrates the declared dam owner's compliance with the dam safety standards set out in the Dams Safety Regulation 2019 (the Regulation).
Every year, declared dam owners must lodge a separate report for each of their declared dams with Dams Safety NSW by 31 March.
The report covers the period 1 January to 31 December of the previous calendar year.
How to submit your Annual Dams Safety Standards Report
Use the online form below to enter information into your Annual Dams Safety Standards Report. Note: you can save your progress and resume at a later time.
Once completed and submitted, you will receive an email with an unsigned pdf copy of your Annual Dams Safety Standards Report. The PDF report then needs to be signed by the dam owner's accountable office holder(s). A digital signature can be used.
Once the report is signed by the correct office holder(s), please email to email@example.com by 31 March.
Date of report 14/03/2023
Section 1 – Declared dam identification details
Dam name and location
Lyell (Lilyvale) - Cox's River near Hartley
Type of dam (If a combination, then consider major type)
Rockfill
Main purpose of dam
Water Supply
Is the dam built on a river, stream or watercourse?
Yes
Name of dam owner
ACN number
EnergyAustralia NSW Pty Ltd 163935635
Name of contact person Regulation, subclause 24A (3)
Michael Starkey
Phone
Email address
Website address (if any)
number
0404438661 firstname.lastname@example.org https://energyaustralia.com.au
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Section 2 – Dams safety standards
Consequence category of dam – Regulation, Part 3
The dam consequence category is a rating of potential impacts resulting from a dam failure. It must be assessed:
within 6 months of the dam being declared
at least once every 15 years
after any significant change in the number of people likely to be affected by a dam failure
or if required by Dams Safety NSW. Regulation, subclause 7 (2)
Dam consequence category
High A
For extreme and high consequence dams onlyIf the consequence category is extreme or high, the consequence category assessment must be reviewed by a competent person who has not been involved in the assessment process. Regulation, subclause 7(4) Has an independent review been done?
Yes
Name of independent reviewer (must be a competent person)
Shane McGrath
Do you know the date of last consequence category assessment by a competent person? Regulation, subclause 3 (1)
Yes
Date of last consequence category assessment
05.09.2019
Date next consequence category assessment planned 05/09/2034
Has the number of people likely to be affected by a dam failure changed since the last consequence category review?
No
How was this checked?
Dam owner local knowledge
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Page 3 of 9
Dam safety management system - Regulation, Part 5
The dam safety management system is a structured approach to manage all foreseeable risks relating to dam failure. It is designed to be used by the dam owner to ensure, as far as reasonably practicable, the safety of people, property and the environment is not put at risk from the dam. Regulation Part 5, clause 12
Name of individual responsible for ensuring compliance with dam safety management system
Michael Starkey
Email michael.starkey@energy aus t r alia.com.au
Documenting the dam safety management system
Is the dam safety management system fully documented?
Yes
Does the dam safety management system apply to more than one dam? Yes
Implementing the dam safety management system
Is the dam safety management system fully implemented at this dam? No
If no, what percentage of the dam safety management system is implemented? 75-100%
How did you confirm this percentage? Internal audit
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Dam safety management system review
Since implementing your dam safety management system, have you reviewed it? Yes
Date of last review
02.09.2022
Assessment of societal and individual risk rating
The owner of a declared dam (other than a proposed dam) must use the risk management framework, Regulation Part 5, clause 14 to produce a written report on all foreseeable risks to the dam:
at least once every 5 years
when a major change to the dam is proposed, and
when required by Dams Safety NSW. Regulation, clause 15
Is your dam above the safety threshold?
No
Do you know the date of your last risk report?
Yes
Date of last risk report
16.06.2021
Individual risk rating of the dam
1.02e-08
Societal risk rating of the dam
More than three orders of magnitude below Dams NSW Safety Threshold (societal risk of 0.001)
Date of next planned risk report
16.06.2026
Name of competent person and their organisation who signed off the risk report (if risk report commenced after 1 July 2022)
Niki Harandi - Aurecon
Name of independent competent person and their organisation who reviewed the report (if risk report commenced after 1 July 2022 - for an extreme, high A or high B consequence dam
Norm Himsley - Aurecon. NOTE: Review and report predates 2022 amendment.
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Other safety requirements - Regulation, Part 6
Incident reporting
The declared dam owner must report incidents that happen at or in relation to the dam to Dams Safety NSW. Regulation, clause 19
Have you had any reportable incidents during the 2022 calendar year
No
Safety review
The declared dam owner must ensure that a safety review to assess the overall safety of the dam is undertaken by:
for an extreme or high consequence dam, other than a high C consequence dam—a team of at least 2 competent persons, or
otherwise—a competent person.
The declared dam owner must ensure a safety review is carried out at least once every 15
years, and as soon as practicable after:
a deficiency or weakness in the dam is identified
there is a change in the accepted technology or methods used in one of the relevant specialties or design criteria for dams
the dam consequence category changes, or
it is required by Dams Safety NSW. Regulation, clause 20
Date of last safety review Regulation, subclause 20(2)
16.06.2021
Planned date for next safety review
16.06.2036
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Page 6 of 9
For extreme and high consequence dams only
If the dam's consequence category is extreme, high A or high B, the safety review must be reviewed by a panel of at least 2 independent competent persons. Regulation, subclause 20(6)
If Safety Review commenced after 1 July 2022 - names of independent competent reviewers and their organisation
N/A - Safety review completed for this dam predated the 2022 amendment.
If the dam's consequence category is high C, the safety review must be reviewed by an independent competent person. Regulation, subclause 20(6A)
Name of independent competent reviewer and their organisation
N/A - Safety review completed for this dam predated the 2022 amendment.
Notification of significant changes to the dam
Before making any significant change to the configuration of the declared dam that may affect the safety of the dam, the dam owner must inform Dams Safety NSW of the proposed change in writing. Regulation, clause 21
Has any significant change to the configuration of the dam been made during the 2022 calendar year?
No
Is any significant change to the configuration of the dam planned? No
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Page 7 of 9
Emergency exercises
The declared dam owner must ensure that staff who are involved in the operation of the dam undertake emergency exercises at least once every 3 years. Regulation, clause 22
Have you done a 'theoretical classroom' emergency exercise? Yes
Date of last 'theorectical classroom' emergency exercise Regulation, subclause 22(1) 22.07.2020
Planned date of next 'theoretical classroom' emergency exercise 22.07.2024
For extreme or high consequence dams only
The declared dam owner must ensure that staff who are involved in operating the dam undertake practical emergency exercises at least once every 5 years, where possible including relevant agencies identified in the emergency plan. Regulation, subclauses 22 (3) and 22 (4)
Have you done a practical emergency exercise?
Yes
Date of last practical emergency exercise 13.10.2021
Planned date of next practical emergency exercise 13.10.2026
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Page 8 of 9
Design and construction
Do not complete this section unless you are in the design, construction, commissioning, or decommissioning phase
Dam safety management system for design and construction
Does the dam safety management system cover dam design and construction? Regulation, Clause 12(3)
Was the risk management framework used or is it currently being used to prepare a risk report at the dam design stage? Regulation, clause 15(2)
Certain work must be carried out by a person subject to a quality management system Regulation, subclause 23(1)
Have you ensured that design and construction are carried out by a person subject to an AS ISO 9001:2016 quality management system?
Independent competent persons must review work involving dam design Regulation, clause 24
For Extreme and High consequence category dams, provide the name of the independent person(s) and their organisation who reviewed or are reviewing the design Regulation, clause 24
For dams still in an early design phase, have you planned an independent competent person design review?
Section 3 - Additional information for Dams Safety NSW
Date of last Emergency Plan review
20.12.2022
Date of last Operations and Maintenance Plan review 12.08.2022
Did you publish the 2021 Annual Dams Safety Standards Report on your website? Yes
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Page 9 of 9
Section 4 - Attestation
The Attestation of the information provided in the form must be completed by the dam owner office holder(s):
| Dam owner | Attesting office holder(s) |
|---|---|
| Local council | General Manager |
| Company | • 2 directors, or • 1 director and 1 company secretary • The combined director and company secretary (Where there is only 1 director) |
| Statutory state- owned corporation | Chief Executive Officer or Managing Director responsible for managing the operation of the statutory state-owned corporation in accordance with the general policies and specific directions of the board |
| Statutory corporation | Corporation with 2 or more members: • President, chairperson or another principal officer of the corporation • Sole corporation • The person who constituted the constitution • The person managing the affairs of the corporation |
| Government department | Secretary |
Declared dam owner office holder(s) attesting to the accuracy of this report
Name and position of declared dam owner office holder attesting to the accuracy of this report: Steve Marshall, Director
Signature:
Name and position of declared dam owner office holder attesting to the accuracy of this report: Evelyn Harris, Company Secretary
Signature:
|
EDUCATION PERFORMANCE AUDIT REPORT
FOR
WELCH ELEMENTARY SCHOOL
MCDOWELL COUNTY SCHOOL SYSTEM
MAY 2013
WEST VIRGINIA BOARD OF EDUCATION
Table of Contents
INTRODUCTION
An announced Education Performance Audit of Welch Elementary School in McDowell County was conducted February 27, 2013. The review was conducted at the specific direction of the West Virginia Board of Education.
The Education Performance Audit Team reviewed the Five-Year Strategic Improvement Plan, interviewed school personnel and school system administrators, observed classrooms, and examined school records.
EDUCATION PERFORMANCE AUDIT TEAM
Office of Education Performance Audits Team Chair – Allen D. Brock, Coordinator West Virginia Department of Education Team Leader – Rhonda Crowley, Coordinator, Office of Early Learning
TEAM MEMBERS
| Lori G. Comer | Elementary School Principal | Whitethorn Elementary Mercer County |
|---|---|---|
| Denver E. Drake | Middle School Principal | Braxton County Middle Braxton County |
| Mary Alice Kaufman | Board Member | Mercer County |
| Timothy M. Via | Elementary School Principal | Davis Elementary Braxton County |
SCHOOL PERFORMANCE
This section presents the Annual Performance Measures for Accountability and the Education Performance Audit Team's findings.
60 MCDOWELL COUNTY
James Brown, Superintendent
222 WELCH ELEMENTARY SCHOOL – Needs Improvement
Sandra Murenskey, Principal
Grades PK-05
Enrollment 312 (2 nd month 2010-2011 enrollment report)
WESTEST 2010-2011
FAY -- Full Academic Year
*
-- 0 students in subgroup
** -- Less than 10 students in subgroup
Passed Attendance Rate = 96.0%
60 MCDOWELL COUNTY
James Brown, Superintendent
222 WELCH ELEMENTARY SCHOOL – Needs Improvement
Kristy East, Principal
Grades PK-05
Enrollment 334 (2 nd month 2011-2012 enrollment report)
WESTEST 2011-2012
| Group | Number Enrolled for FAY | Number Enrolled on Test Week | Number Tested | Participation Rate | Percent Proficient | Met Part. Rate Standard | Met Assessment Standard | Met Subgroup Standard |
|---|---|---|---|---|---|---|---|---|
| Mathematics | | | | | | | | |
| All | 126 | 135 | 135 | 100.00 | 35.71 | Yes | No | |
| White | 89 | 97 | 97 | 100.00 | 38.20 | Yes | Safe Harbors | |
| Black | 35 | 36 | 36 | 100.00 | 28.57 | NA | NA | NA |
| Hispanic | ** | ** | ** | ** | ** | ** | ** | ** |
| Asian | * | * | * | * | * | * | * | * |
| Indian | * | * | * | * | * | * | * | * |
| Multi- Racial | ** | ** | ** | ** | ** | ** | ** | ** |
| Pacific Islander | * | * | * | * | * | * | * | * |
| Spec. Ed. | 22 | 24 | 24 | 100.00 | 18.18 | NA | NA | NA |
| Low SES | 93 | 99 | 99 | 100.00 | 36.55 | Yes | Safe Harbors | |
| LEP | * | * | * | * | * | * | * | * |
| Reading/Language Arts | | | | | | | | |
| All | 126 | 135 | 135 | 100.00 | 31.74 | Yes | No | |
| White | 89 | 97 | 97 | 100.00 | 35.95 | Yes | Confidence Interval | |
| Black | 35 | 36 | 36 | 100.00 | 20.00 | NA | NA | NA |
| Hispanic | ** | ** | ** | ** | ** | ** | ** | ** |
| Asian | * | * | * | * | * | * | * | * |
| Indian | * | * | * | * | * | * | * | * |
| Multi- Racial | ** | ** | ** | ** | ** | ** | ** | ** |
| Pacific Islander | * | * | * | * | * | * | * | * |
| Spec. Ed. | 22 | 24 | 24 | 100.00 | 9.09 | NA | NA | NA |
| Low SES | 93 | 99 | 99 | 100.00 | 30.10 | Yes | No | |
| LEP | * | * | * | * | * | * | * | * |
FAY -- Full Academic Year
* -- 0 students in subgroup
** -- Less than 10 students in subgroup
Passed
Attendance Rate = 95.2%
WELCH ELEMENTARY SCHOOL
Adequate Yearly Progress (AYP) Information by Class
27.50
47.62
31.82
| Tested Enr. | FAY Enr. | Tested | FAY Tested | Part. Rate | Novice | Below Mastery | Mastery | Above Mastery | Distinguished |
|---|---|---|---|---|---|---|---|---|---|
| 42 | 40 | 42 | 40 | 100 | 27.5 | 45 | 17.5 | 7.5 | 2.5 |
| 46 | 42 | 46 | 42 | 100 | 21.43 | 30.95 | 40.48 | 4.76 | 2.38 |
| 47 | 44 | 47 | 44 | 100 | 43.18 | 25 | 15.91 | 13.64 | 2.27 |
25.00
38.10
31.82
| Tested Enr. | FAY Enr. | Tested | FAY Tested | Part. Rate | Novice | Below Mastery | Mastery | Above Mastery | Distinguished |
|---|---|---|---|---|---|---|---|---|---|
| 42 | 40 | 42 | 40 | 100 | 35 | 40 | 22.5 | 2.5 | 0 |
| 46 | 42 | 46 | 42 | 100 | 26.19 | 35.71 | 23.81 | 14.29 | 0 |
| 47 | 44 | 47 | 44 | 100 | 43.18 | 25 | 25 | 4.55 | 2.27 |
Enr. - Enrollment
FAY - Full Academic Year
Part. - Participation
ANNUAL PERFORMANCE MEASURES FOR ACCOUNTABILITY
Below Standard.
5.1.1. Achievement.
Welch Elementary School failed to achieve adequately yearly progress (AYP) in one or more subgroups designated in 5.1.1. Achievement. Two subgroups designated in 5.1.1. Achievement, included: All students (AS) subgroup in mathematics and reading/language arts and economically disadvantaged (SES) subgroup in reading/language arts. In accordance with Section 9.4 of West Virginia Board of Education Policy 2320, A Process for Improving Education: Performance Based Accreditation System, the West Virginia Board of Education continued the school's Conditional Accreditation status at the February 10, 2013 State Board meeting.
Adequate Yearly Progress (AYP) Information by Class revealed that students in Grade 4 performed at the highest level in mathematics with 47.62 percent proficient. Students in Grade 3 performed at 27.50 percent proficient and students in Grade 5 performed at 31.82 percent proficient. Students in Grade 4 also performed at the highest level in reading with 38.10 percent proficient. Students in Grade 3 performed at 25.00 percent proficient, while students in Grade 5 performed at 31.82 percent proficient.
Changes from the 2010-2011 WESTEST2 to the 2011-2012 WESTEST2 are depicted below.
| Mathematics | 2010-2011 | 2011-2012 |
|---|---|---|
| All Students (AS) | 29.36 | 35.71 |
| Racial/Ethnicity White (W) | 29.21 | 38.20 |
| Racial/Ethnicity Black (B) | 30.55 | 28.57 |
| Special Education (SE) | 7.69 | 18.18 |
| Economically Disadvantaged(SES) | 27.27 | 36.55 |
| Reading/Language Arts | 2010-2011 | 2011-2012 |
| All Students (AS) | 34.12 | 31.74 |
| Racial/Ethnicity White (W) | 31.46 | 35.95 |
| Racial/Ethnicity Black (B) | 41.66 | 20.00 |
| Special Education (SE) | 15.38 | 9.09 |
| Economically Disadvantaged (SES) | 31.31 | 30.10 |
The following professional development and/or training opportunities were provided as reported by the principal.
1. Framing Your Success.
2. Everyday Math Classroom Support.
3. Next Generation/Common Core.
4. Writing Strategies, Reading Strategies, and Test Talks.
5. Climate and Culture.
6. WVEIS WOW Discipline Management System and Interventions.
7. Sticks and Stones Exposed: Facing Life's Goliaths.
8. Understanding Poverty.
9. Support for Personalized Learning.
10. Data Analysis.
11. Technology Issues.
12. Engrade Grading System.
13. School Improvement Conferences.
14. MimioSprout.
15. Balancing Conflict and Building Relationships.
16. Working with Parents.
17. Number Talks.
18. TechSteps.
19. Title I Collaboration.
20. Cultural Typology Survey.
21. West Virginia Board of Education Policy 4373: Expected Behaviors in Safe and Supportive Schools.
22. Let's Move.
23. Read Well.
24. Beginning Teacher Academy.
25. Principal Leadership Academy.
26. Instructional Practices Inventory.
27. APL Instructional Skills and Strategies for the Experienced and Novice Teacher.
28. Lexia Reading Program.
29. Utilizing Data Notebooks.
30. Leadership Redefined.
31. WESTEST2 Data Analysis.
EDUCATION PERFORMANCE AUDIT
The Education Performance findings of noncompliance (7.1.3 Learning environment; 7.1.6 Instruction in writing; 7.1.7 Library/educational technology access and technology application; 7.7.1 School rules, procedures, and expectations; 7.8.1 Leadership) presented in the January 2010 report had been corrected.
HIGH QUALITY STANDARDS
Necessary to Improve Performance and Progress.
7.1.2. High expectations. Through curricular offerings, instructional practices, and administrative practices, staff demonstrates high expectations for the learning and achieving of all students and all students have equal educational opportunities including enrichment and acceleration. (Policy 2510)
One Grade 3 teacher did not challenge students. Students were off task and not redirected in a timely manner. A student was sleeping for an extended amount of time. Instructional strategies did not vary during the observation period and student attention began to wane.
7.1.13. Instructional day. Priority is given to teaching and learning, and classroom instructional time is protected from interruption. An instructional day is provided that includes a minimum of 315 minutes for kindergarten and grades 1 through 4; 330 minutes for grades 5 through 8; and 345 minutes for grades 9 through 12. The county board submits a school calendar with a minimum 180 instructional days. (W.Va. Code §185-45; Policy 2510)
Grades 3 and 5 did not have the required number of instructional minutes, as indicated by the teachers' classroom schedule. Grade 3 had 15 minutes per day for "Data Notebooks", which teachers and students stated that the time was used to get ready for the end of the day departure. This time was not counted as instructional time.
Indicators of Efficiency
Indicators of efficiency for student and school system performance and processes were reviewed in the following areas: Curriculum delivery, including but not limited to, the use of distance learning; facilities; administrative practices; personnel; utilization of regional education service agency, or other regional services that may be established by their assigned regional education service agency. This section contains indicators of efficiency that the Education Performance Audit Team assessed as requiring more efficient and effective application.
The indicators of efficiency listed are intended to guide Welch Elementary School in providing a thorough and efficient system of education. McDowell County is obligated to follow the Indicators of Efficiency noted by the Team. Indicators of Efficiency shall not be used to affect the approval status of McDowell County or the accreditation status of the schools.
8.1.1. Curriculum. The school district and school conduct an annual curriculum audit regarding student curricular requests and overall school curriculum needs, including distance learning in combination with accessible and available resources.
The principal was in her second year at the school and had shown great organization and knowledge of the needs of the school and students. High quality professional development had been integrated to address areas of weakness. Teachers indicated that they believed that the professional development provided had greatly increased the quality of teaching in the building. Team members observed high quality instruction in a majority of the classes and high expectations were evident in most situations. The dramatic decline in achievement in the special education (SE) and the racial/ethnicity black (B) subgroups in reading/language arts was alarming. A strong focus of assistance must be provided in these areas.
Building Capacity to Correct Deficiencies
West Virginia Code §18-2E-5 establishes that the needed resources are available to assist the school or school system in achieving the standards and alleviating the deficiencies identified in the assessment and accountability process. To assist Welch Elementary School in achieving capacity, the following resources are recommended.
18.1. Capacity building is a process for targeting resources strategically to improve the teaching and learning process. School and county electronic strategic improvement plan development is intended, in part, to provide mechanisms to target resources strategically to the teaching and learning process to improve student, school, and school system performance.
Under the leadership of the principal, the Team believed that Welch Elementary School has the capacity to correct the deficiencies found. The principal must remain vigilant in classroom observations and curriculum delivery and provide assistance and materials for the teachers to deliver high quality instruction.
Identification of Resource Needs
A thorough and efficient system of schools requires the provision of an adequate level of appropriately managed resources. The West Virginia Board of Education adopted resource evaluation as a part of the accreditation and evaluation process. This process is intended to meaningfully evaluate the needs for facilities, personnel, curriculum, equipment and materials in each of the county's schools and how those impact program and student performance.
19.1. Facilities, equipment, and materials. Facilities and equipment specified in Policy 6200, Chapters 1 through 14, are available in all schools, classrooms, and other required areas. A determination will be made by using the Process for Improving Education (W.Va. Code §18-2E-5) whether any identified deficiencies adversely impact and impair the delivery of a high quality educational program if it is below the West Virginia Board of Education standards due to inadequacies or inappropriate management in the areas of facilities, equipment, and materials. The Education Performance Audit Teams shall utilize an assessment instrument for the evaluation of school facilities which generally follows the requirements of Policy 6200. Note: Corrective measures to be taken in response to any identified resource deficiency will of necessity be subject to the feasibility of modifying existing facilities, consideration of alternative methods of instructional delivery, availability of funding, and prioritization of educational needs through Comprehensive Educational Facilities Plans and the West Virginia School Building Authority. This policy does not change the authority, judgment, or priorities of the School Building Authority of West Virginia who is statutorily responsible for prioritizing "Need" for the purpose of funding school improvements or school construction in the State of West Virginia or the prerogative of the Legislature in providing resources. (Policy 6200 and Tomblin v. Gainer)
The Facility Team identified facility resource needs which are presented in the McDowell County School System Report under 7.4.1. Regulatory agency reviews.
Early Detection and Intervention
One of the most important elements in the Education Performance Audit process is monitoring student progress through early detection and intervention programs.
The administration and staff of Welch Elementary School had conducted excellent data analysis and was working to implement programs and practices to address areas of weakness based on the data. Assistance must continue to be solicited from county and State educational personnel to assist in this endeavor.
|
546 Goals
Here's a master list of things to work on with your coach.
1. Expand my thinking beyond what I am conditioned to conceive of
27. Start a new business and avoid the common learning curve
2. Delegate more effectively so that I have more time to work on what matters most
3. Lose weight without orienting my life around it
4. Develop a financial plan to become financially independent at age____
5. Change my relationship with food from comfort to sustenance
6. Change my approach from selling to telling and from telling to modeling
7. Learn how to set up a website that showcases myself and my services/company
8. Become masterful with sending and receiving all forms of email
9. Improve the quality of my home life
10. Take much more time for me instead of living too much for others
11. Take charge of my life instead of letting other people run it for me
12. Become unconditionally constructive in everything I say
13. Design a lifestyle that makes me incredibly happy
14. Improve the profitability of my company by at least
15. Expand my network to include the finest professionals in 100 different fields
16. Stop pushing for individual sales and start investing in lifetime buying relationships
17. Goof off and not feel guilty about it
18. Communicate so well that people respond immediately
19. Turn my time into an asset — 1440 'assets' a day
20. Eliminate or reduce adrenaline in my life so I don't burn myself and others up
21. Redesign my life so that it's oriented around vacations, not work
22. Increase by ability to process more information without getting overwhelmed
23. Accelerate my personal evolution
24. Feel a lot better about myself and my family
25. Reduce the amount of conflict in my life so that I can relax
26. Increase the amount of money I have in savings
28. Identify the triggers that cause adrenaline, before they get me wired
29. Start reading the books that will help you evolve instead of merely develop
30. Design my path of personal development.
31. Reduce what I am tolerating at work
32. Clean out the clutter in my closets, draws and garage
33. Learn how to ask the right questions in any selling situation
34. Create a buying environment instead of a selling environment
35. Learn how to make more money in the New Economy
36. Discover what is causing dissonance in my life
37. Become cyber and Internet literate without having to struggle through the process
38. Come to endorse my worst weakness as my biggest strength
39. Be able to look at any problem and see an opportunity, without wearing rose colored glasses
40. Have more patience, especially when I have none
41. Walk my talk without strutting
42. Become a Toleration-Free Zone
43. Strengthen my Personal Foundation so that the underpinnings of my life are rock solid
44. Add value to my customers and clients, just for the joy of it
45. Identify the unique skills and talents that I know are waiting to be leveraged
46. Eliminate delay, so I don't miss opportunities
47. Stop procrastinating and be 'inventory-free'
48. Toss out my to-do list (or to create one)
49. Expand my vocabulary so that I can better express myself in any situation
50. Stop whining and start winning
51. Find the career that is no longer work
52. Play with my kids everyday instead of when I
have time
53. Identify every source of stress in my life and either reduce or eliminate it
54. Put my family first without having to put myself second
55. Learn how to give people what want, without it costing me anything
56. Evolve from win-lose to win-win in my thinking
57. Design values-based goals instead of whimbased goals
58. Stop taking live so darn seriously
59. Give others the experienced of being heard, instead of just being listened to
60. Increase my bandwidth in order to handle more input
61. React less and respond more
62. Clean up my life and start clean
63. Start over
64. Discover my personal values and orient my life around these
65. Identify and eliminate 10 tolerations in the next 10 days
66. Create a perfect life
67. Become self-actualized
68. Write a book without the pain
69. Develop a LifePlan and start living it
70. Make the personal changes I have not been able to make on my own
71. Get focused
72. Blow up the blocks standing in the path to success
73.
Start taking the path of least resistance instead of working against life
74. Increase the momentum in life so that I am carried forward instead of pushing myself
75. Find a better way to motivate myself
76. Stop watching Jay Leno and get to bed earlier
77. Throw out my television set
78. Move to the country because I want to
79. Make a significant personal decision
80. Create a business plan without taking 3 months to do so
81. Get in the habit of flossing daily
82. Get the support I need to visit the dentist
83. Get the nudge I need to hire a house cleaner so I don't have to do it
84. Improve my attitude so I'm always positive, naturally
85. Take more chances
86. Change my relationship with risk
87. Develop a reserve of time during my day
88. Get out of a rut.
89. Do a personal makeover
90. Improve what I see in the mirror
91. Keep me on track around using Nautilus 3 times per week
92. Better identify the people who are really good for me, and who are not
93. Extend my boundaries without setting up walls
94. Strengthen my character so I am really proud of who I am
95. Become more sensitive with people who need that from me
96. Stop micromanaging people
97. Bring in 5 new clients a month
98. Make a million dollars next year
99. Become a saver and therefore start saving because I enjoy it
100. Reduce my credit card debt much faster than I am currently
101. Get control over my spending
102. Build a "team" with my area managers
103. Spend more time in the garden
104. Spend more time at the beach
105. Spend more time
106. Learn how to practice Extreme Self Care.
107. Increase my havingness level to that I can maintain my success
108. Simplify everything
109. Get back to exercising: 40 sit-ups and 20 pushups per day
110. Be able to meet men and women and not get anxious about it
111. Book at least 5 selling appointments in the next 10 days
112. Help me identify my unique selling proposition and my label
113. Close ten new clients in next 90 days
114. Start an email-based weekly newsletter to expand my network
115. Easily ask for what I want
116. Become a very direct and confident communicator
117. Tell the truth instead of what people want to hear.
118. Increase my awareness
119. Slow down to enjoy the weather and take in the wonder of everyday life
120. Spend less time in the future and more time enjoying the present
121. Design my winning formula
122. Reduce business expenses by $20,000
123. Increase business by 20% without spending more on advertising
124. Identify three specific goals that light me up for next year
125. Get clear on my values and align my goals with them
126. Create an inspiring project where I will touch at least 100 people per month
127. Launch a national organization
128. Become a better team leader so employees love their jobs
129. Create a sales program for a new niche
130. Let go of the people in my life who drain my energy
131. Create a personal health plan that includes exercise
132. Take more days off
133. Plan three wonderful vacations for next year
134. Set clear boundaries and train those around me to treat me with respect
135. Begin a financial independence plan
136. Save $100,000 next year
137. Take a day every week to renew and rejuvenate
138. Develop a national reputation for what I do well
139. Brainstorm and prioritize the best ideas to use in my business
140. Work 25% less hours without making less
141. Become a person who smiles almost all of the time
142. Write to someone with whom I have unfinished business
143. Apologize to someone to whom it is very difficult
144. Ask my partner to give three hours of his time per week, to release me to do something I really enjoy
145. Discover what makes me tick
146. Bring balance to work, home, community and personal time over a three months
147. Start running each morning
148. Decrease body fat percentage by 10% within six months
149. Upgrade all computer programs within three months
150. Stop smoking completely within three months
151. Stop over-promising and making commitments
152. Complete a tough project on time
153. Pay off car loan one year early
154. Buy a new car within 6 months
155. Buy a house within one year
156. Quit my job to work from home within two years
157. Become a telecommuter
158. Go half-time at work
159. Redecorate house in 6 months
160. Negotiate a 10% raise next evaluation
161. Learn five skills to better communicate with my children
162. Learn five skills to better communicate with my spouse
163. Establish one delicious habit and do it every day
164. Rebuild my life after a loss
165. Bring romance back into my marriage within90 days
166. Discover my life purpose and begin setting goals to live it within 90 days
167. Become more efficient without becoming a machine
168. Return to school to pursue a graduate degree.
169. Get married within five years
170. Expand business to sell products over the Internet
171. Take a trip to Europe
172. Go on a safari
173. Own a boat
174. Stop fibbing and lying completely within three months
175. Build meditation and yoga into daily schedule.
176. Achieve assigned sales numbers one week prior to end of month to avoid rushing for sales the last week
177. Spend 10% less money monthly
178. Identify 101 things I love to do and do one each day
179. Decrease time spent paying bills
180. Increase personal time by four hours a week within one month
181. Enroll in a cooking class
182. Take scuba lessons and go on a Caribbean dive
coachville
183.
Discard unnecessary household and personal items within three months
184. Discard items cluttering office and desk within one month
185. Establish three things I am passionate about as priorities in my life within six months
186. Drop three clothing sizes within six months
187. Fit into those 32-inch Levis within six months
188. Go on a guilt-free shopping spree
189. Pay back money owed to friends within 6 months
190. Stop complaining within 14 days
191. Shift/release a sabotaging belief within 60 days
192. Reconcile credit report within 6 months
193. Establish and enforce boundaries within a relationship
194. Reduce number of credit cards to three in 18 months
195. Move into a larger apartment within nine months
196. Visit grandparents out-of-state within the year
197. Design a class or TeleClass and market it within six months
198. Allow one day out of each month to do something I really want to do
199. Organize my pension, will, life insurance and mortgage papers within 60 days
200. Meet with a Financial Advisor twice a year to keep finances updated to set goals on a weekly basis
201. Genuinely thank people who help me, daily
202. Reestablish a lost relationship
203. Call up one member of my family per week, just to say hi.
204. Pay off mortgage within five years
205. Be prepared for a holiday season (eg, Christmas) at least one month before the holiday begins
206. Train a pet to consistently perform a desired action on command
207. Reorient personal and professional life completely around values (not wants and needs) within three years
208. Join Toastmasters and complete first ten speeches within six months
209. Develop two new profit centers in my business within one month
210. Trash 100 megabytes of stuff I don't need on my computer
211. Clean out/purge all home and work files this month
212. Get my hair cut and styled the way I really want it and the way that is most attractive for me
213. Say "no" 5 times this week
214. Keep the gas tank in my vehicle at least half full at all times
215. Join and participate in those networking groups that will assist in business and personal life
216. Disentangle from those organizations that do not add value to business or personal life within one month
217. Learn how to use a computer
218. Develop a sense of style
219. Take a world tour
220. Improve my reputation among my colleagues.
221. Attract the mate of my dreams
222. Become Ms Right instead of searching for Mr. Right
223. Turn my ideas into revenue streams
224. Clean up where I get my energy from
225. Reduce the friction in my life by finding the right oil
226. Develop a reserve of opportunities so I don't have to look for them
227. Build a personal support network of people with similar interests
228. Learn how to attract business instead of constantly marketing for it
229. Design a personal development plan for my children
230. Deepen my relationships with my friends
231. Delight my customers, not just please them
232. Become a more respectful person of other peoples' ways
233. Keep my word
234. Be accountable for results
235.
Enjoy responsibility instead of trying to avoid it
236. Clarify my professional commitments
237. Become an adult in every sense of the word
238. Learn how to say no without turning people off
239. Make it clear to people what I require of them
240. Reorganize my office and work environment
241. Automate and delegate almost every aspect of my personal tasks and chores
242. Get more done, but slow the pace of how I'm working
243. Increase my self-esteem
244. Balance my personal, family and business lives
245. Better integrate what I already have
246. Reduce the roles I am for others
247. Become a lot more creative in what I do
248. Prioritize my time so that I don't feel rushed and exhausted
249. Trust my inklings more
250. Turn my intuition into my primary decision-making system
251. Develop a marketing strategy for my business
252. Build my personal brand
253. Free myself from my beliefs
254. Come to accept that which I resist
255. Become a better writer
256. Speak in a lazer-like fashion
257. Become an effective public speaker
258. Find my voice and speak confidently
259. Distinguish truth from b.s. in every situation, instantly
260. Become a proacive person who never waits
261. Develop grace
262. Improve the relationship I have with my husband
263. Improve the relationship I have with my spouse
264. Improve the relationship I have with my wife
265. Improve the relationship I have with my children
266. Improve the relationship I have with my son
267. Improve the relationship I have with my daughter
268. Improve the relationship I have with my father
269. Improve the relationship I have with my mother
270. Improve the relationship I have with my siblings
271. Improve the relationship I have with my in-laws
272. Improve the relationship I have with my neighbors
307. Develop compassion for people who I currently criticize
346. Stay 'present' throughout the day
347. Speak without a 'charge' to my voice
348. Stop gossiping
349. Stop making promises, even if I feel I should
350. Stop doing errands and contract this out
351. Reduce volunteer activities that are getting in my way
352. Face a difficult legal, financial or tax matter
353. Become aware of energy flows between me and others
354. Deepen my relationship to God
355. Deepen my relationship with Jesus
356. Treat my body like the temple that it is
357. Toss out all of the clothes that don't make me look great
358. Learn to collaborate with people, instead of debate or argue
359. Break the past sabotaging patterns that I've had
360. Become more open and available to all that is already around me
361. Learn how to get someone instead of just listening or hearing them
362. Learn coaching skills that I can use with my
family and customers.
363. Get a handle on what's coming, given how fast the world is change.
364. Have interdevelopmental relationships, not just interdependent ones.
365. Raise my standards.
366. Understand the basics of running a successful business.
367. Identify the features and benefits that I offer my customers/clients.
368. Evolve beyond being productive and to become effective.
369. Master my craft rather than just being an expert in it.
370. Become fearless.
371. Evolve from peace to a life of harmony.
372. Arrange to have all my bills paid automatically.
373. Design a system to complete projects two days before the deadline.
374. Take up cooking
375. Establish a family planning center in my home.
376. Increase productivity by 25% in six months.
377. Determine causes of procrastination and develop new skills.
378. Design each room of my home so that it complements the vision and purpose
379. Implement a low-stress move or relocation
380. Free up two extra hours of time each day
381. Develop a motivational plan to lose twenty pounds in three months, safely
382. Discover the root causes of "stuckness" and implement a plan for becoming unstuck
383. Design a consistent discipline plan for my toddler
384. Incorporate two acts of love per day toward my mate
385. Establish a daily "dreamwork" time
386. Cut television viewing to 45 minutes a day or less
387. Design an annual physical maintenance program (doctors, dentists, etc.)
388. Free my mind of clutter by establishing a recording and action system
389. Free up $200-500/month for my own selfimprovement
390. Be able to put my hands on most of the regularly used information in my office in two minutes or less
391. Communicate love to my children in ways that are personally meaningful to them
392. Establish and follow a seasonal shopping schedule to take advantage of seasonal sales
393. Develop a phone call return system to ensure that calls are returned within 4 hours if they are important.
394. Attract a soul mate
395. Define the top ten qualities I am looking for in a soul mate
396. Decrease stress level by 20 points in 90 days.
397. Become an "intrapreneur" in my organization by creating a small business idea and "selling" it to the decision-makers
398. Obtain a more senior position in my organization in less than six months
399. Implement two new personal habits each month
400. Maintain a daily quiet time
401. Clarify my top ten values and use them as a decision-making compass
402.
Cultivate a circle of five close friends
403. Develop a plan to free up two evenings a week
404. Double my income in two years
405. Set up a one-year program toward taking a dream vacation
406. Cut budget/spending by 25%
407. Increase productivity in staff members by 30%.
408. Develop a system for recording and tracking my artistic or business ideas.
409. Implement a schedule for acting on ideas
410. Incrementally increase salary over the next year
411. Choose and take the self-assessment tools that would be of maximum benefit.
412. Define the legacy I wish to leave
413. Discover a meaningful and rewarding career
414. Reduce problem-solving time by 50%
415. Refine the elements of my business plan
416. Design a customer service satisfaction survey that takes me to the heart of my customers' needs
417. Attract a client base that earns 25% more than current client base
418. Turn dreams into goals
419. Rearrange budget and food spending patterns in order to hire a personal chef three months from now
420. Develop five personalized ways to say "no" to others in firmness and love
421. Get ahead of office equipment maintenance, reducing lost time by 30%
422. Eliminate major blocks to creativity
423. Eliminate 90% of office interruptions
424. Expand circle of influence by 50 people
425. Develop an annual goal-setting system
426. Increase customer retention by 25%
427. Learn to quickly identify people and situations that are not best for me
428. Navigate a successful transition for my staff
429. Identify, personalize and memorize my vision
430. Increase Rolodex by 100 strong people
431. Reduce down time caused by adjustment to change by 50%
432. Reduce time commitments by 30%
433. Learn to make a point in fifteen words or less
434. Design and implement an exercise program
435. Develop the habit of daily flossing
436. Set standards for a clutter-free living environment
437. Set up a plan for the mastery of a new hobby
438. Add two pleasurable activities to my daily routine
439. Understand what drives and motivates me
440. Understand why I relate with people the way I do
441. Understand how I learn so that I can learn more easily
442. Understand my basic interests and how they affect my choices
443. Discover my fashion type and how it impacts other areas of my life
444. Design a customized reading plan
445. Discover my Enneagram type
446. Discover my Myers-Briggs type
447. Discover my DISC profile
448. Organize my closets
449. Design a personalized filing system
450. Set up a "90 Days to a Simpler Life" Plan
451. Increase the speed of people's response to my needs
452. Add grace and beauty to my life through the Arts
453. Learn to have an Edge with people and events
454. Implement a personal prioritizing system to accomplish Important rather than simply urgent things
455. Double my standards
456. Improve my skin tone
457. Develop a plan to deal with all undone details of my life
458. Develop a daily habit of journaling feelings
459. Learn how to effectively communicate feelings to my spouse
460. Eliminate 20% of my problems
461. Stop using caffeine within 30 days
462. Stop using sugar within 30 days
463. Implement a tailor-made nutritional plan
464. Develop a list of 5 boundaries that increase my quality of life
465. Increase my energy level
466. Set boundaries and standards for the type of relationship I will have with my parents
467. Increase my job satisfaction so that I look forward to going to work
468. Develop a plan to implement the truest value into my life
469. Get that I can be both a good person and a good boss.
470. Get complete on relationships
471. Work through a career change
472. Get clear on priorities
473. Deal with and recover from burnout
474. Enjoy life more
475. Take on greater challenges at work
476. Become better at developing rapport with others
477. Deal with fears and concerns in a relationship
478. Manage time more effectively
479. Determine priorities
480. Explore/understand feelings and beliefs
481. Get my personal life in order
482. Strengthen my spiritual life
483. Overcome my fear of rejection
484. Deal better with interruptions
485. Develop the ability to say no and stick with it.
486. Discover the inner peace that I know is possible
487. Surrender and accept what has happened that I am resisting
488. Catch myself within a minute whenever I stop over something
489. Become a participator in life, not just an observer
490. Come up with a focus that expresses my values and uses my strengths
|
The Association for
Catechumenal Ministry
The Association for
Catechumenal Ministry
DEEPENING IN THE GRACES RECEIVED
RCIA Catechesis in the Period of Post-Baptismal Catechesis or Mystagogy
But you are a chosen race, a royal priesthood, a holy nation, God's own people, that you may declare the wonderful deeds of him who called you out of darkness into his marvelous light. Once you were no people but now you are God's people; once you had not received mercy but now you have received mercy. Beloved, I beseech you as aliens and exiles to abstain from the passions of the flesh that wage war against your soul. Maintain good conduct among the Gentiles, so that in case they speak against you as wrongdoers, they may see your good deeds and glorify God on the day of visitation. . . . For he himself bore our sins in his body on the tree, that we might die to sin and live to righteousness. By his wounds you have been healed. For you were straying like sheep, but have now returned to the Shepherd and Guardian of your souls
~ 1 Peter 2:9-12, 24-25
The introductory article to this series (To the Threshold and to the Fullness: What is the RCIA supposed to be?) published in the October-December 2003 issue, included the following comment: "The catechumenate seeks to impart an understanding of the Faith in such a way as to transform the life of the catechumen or candidate. The RCIA process not only results in a change of status with respect to the Church, but also a change of status with respect to God. The process is intended to be life-changing. This intention is most efficaciously carried through in the liturgical celebrations of the catechumenate and continues as the neophyte becomes a full participant in the sacramental life of the Church. In the period of mystagogy, the focus is on a deepening of the neophytes' understanding and practice of the sacramental life, with the rest of the neophyte year devoted to substantiating, strengthening, and deepening their understanding of the Faith that will lead to a more committed and mature practice of Christian living."
The grace received from the Easter mysteries propels the new Catholics into the final period of post-baptismal catechesis, called mystagogy. The term comes from the Greek mystagogia , which refers to instruction in the mysteries or sacraments. Ordinarily, this period following reception of the sacraments of initiation lasts for seven weeks from Easter to Pentecost.
Mystagogy is properly situated after the reception of the sacraments because only then do our fledgling Catholics, the neophytes, have the grace to understand and appreciate the sacred mysteries of the Church in a more profound manner. The process of penetrating deeper into the mysteries of God continues past the period of mystagogy into the remainder of the neophyte year as they frequent the sacraments and strive for holiness. While the neophyte year terminates the following Easter, this process of continually penetrating the mysteries characterizes Christian existence. We are pilgrims here on earth, sustained and nourished by the Eucharist, a foretaste of the heavenly banquet that awaits all of us.
The intimate relationship that RCIA participants have longed to share with Christ and his Body in the parish community is realized in the Eucharist, the true source of communion and the authentic sign of unity. Now all have
access to the full means for sanctification. Even so, care must be taken during their first few years as Catholics, especially in the neophyte year, to help them to grow and mature in the Christian life and to develop a genuine Catholic worldview.
What is meant by a Catholic worldview? It is the way that a Catholic thinks about and perceives the authentic realities and transcendent truths — the absolute truths — that guide and direct life in Christ. Becoming Catholic is not simply joining a club; it is a total change of attitude, perception, and intent in life. They have always had a worldview, whether or not they brought them into the Church to a more fully mature Catholic worldview, seeing the world and its concerns as Christ and his Church see them. That will keep them enduringly Catholic in thought and actions.
"The distinctive spirit and power of the period of postbaptismal catechesis or mystagogy derive from the new, personal experience of the sacraments and of the community." (RCIA 247)
consciously thought about it. It was and continues to be formed by the culture in which they live and the events of their lives. Now, as Catholics, their worldview is radically changing, thanks to the catechumenal process, prayer, their own acts of charity, and especially the abundant graces which they are now receiving in the sacraments. As their minds and hearts continue to be fed on Scripture and the truths of the faith, and are transformed by the graces received in the sacraments, the fullness of Catholic truth gradually permeates all areas of their thinking. They may find themselves more sensitive to issues concerning life, human dignity, social justice, the value of suffering, the importance of family and vocation, the dignity of labor, and stewardship of the natural world. The list can go on to touch every aspect of human life and society.
This process takes time. It usually takes three to five years for neophytes to consistently think and feel like Catholics. Issues may come up, not necessarily entirely new but presenting themselves in a new light, or issues may arise that they had never dealt with before, and suddenly they surprise themselves by looking at them in a new way because of their Catholic formation. Catechesis seeks to support this process of change during the period of mystagogy and the rest of the neophyte year, aiding the transition from the firm personal conviction that
One Suggested Arrangement of Teachings During the Weeks of the Easter Season
Sacramental Living in the Apostolic Church The Mass as the Way of Life Evangelization and the Call of the Good Shepherd Personal Devotion to Jesus Ecumenism and Other Religions Becoming a Saint The Catholic Worldview
During this period, the deepest meaning of discipleship must be examined, including the responsibilities to witness and to bring the light of the Gospel to every corner of the world. The Church has designed the Year A Lectionary readings for the Sundays and the Solemnity of the Ascension to form the basis for the teaching during this period (see RCIA 247). Below is a summary of some of the mystagogical themes present in the readings for Year A:
Second Sunday of Easter — Sacrament of Penance – Apostolicity Acts 2:42-47; Ps 118; 1 Pt 1:3-9; Jn 20:19-31
Third Sunday of Easter — Emmaus Event – Paradigm for the Mass
Acts 2:14, 22-33; Ps 16; 1 Pt 1:17-21; Lk 24:13-35
Fourth Sunday of Easter — The Church as the Sheepfold – Relationship with Jesus Acts 2:14a, 36-41; Ps 23; 1 Pt 2:20b-25; Jn 10:1-10
Fifth Sunday of Easter — Heaven – Relationship with the Father through Jesus
Acts 6:1-7; Ps 33; 1 Pt 2:4-9; Jn 14:1-12
Sixth Sunday of Easter — Relationship with the Spirit through Jesus – "do whatever he tells you"
Acts 8:5-8, 14-17; Ps 66; 1 Pt 3:15-18; Jn 14:15-20
Ascension — The Great Commission – Evangelism/Witness – Necessity of Baptism
Acts 1:1-11; Ps 47; Eph 1:17-23; Mt 28:16-20
Seventh Sunday of Easter — Prayer for Unity and Glorification of the Church – Apostolicity
Acts 1:12-14; Ps 27; 1 Pt 4:13-16; Jn 17:1-11a
It is assumed that many of the truths discussed in this period will have been presented earlier in the RCIA
A Second Suggested Arrangement of Teachings During the Weeks of the Easter Season
Pursuing Holiness in Holy Mother Church The Eucharist as a Call to Virtue Who Is Jesus to You Now? Who is the Father to You Now? Who is the Holy Spirit to You Now? Being Catholic in a Non-Catholic Society God's Plan for the Glory of His Life in You
process. The catechesis here thus seeks to deepen what has been offered in prior months. As always, liturgy is central in considering what to teach when; that is, catechesis should, as in other periods, be taught to and from the major and minor rites of the RCIA process. In teaching TO the rites, for the period of mystagogy, look to RCIA 229, 230, 244 and following. In teaching FROM the rites for this period teach to the newly available sacramental life.
The work of these seven weeks of the Easter season is to more profoundly challenge and encourage the neophytes to become true disciples of Jesus. Discipleship means to know, to think, and to act like Christ. Jesus gathered his first disciples around him in order to reveal the mysteries of his Kingdom: "To you it has been given to know the secrets of the kingdom of Heaven….Blessed are your eyes, for they see, and your ears, for they hear" (Mt 13:11, 16). This revelation of the secrets by Christ to his disciples has been preserved in the Sacred Scriptures and Sacred Tradition of the Catholic Church. In order to think like Christ, the neophytes must seek to become "impregnated" with the teachings of Christ as transmitted by his Church (CT 20). St. Paul commends all Christians not to "be conformed to this world but transformed by the renewal of your mind" by the study of God's Word (Rom 12:2).
And yet Christ's teachings must be not only intellectual knowledge, but also apply personally. The neophyte should be encouraged to absorb this body of truth and to live more deeply the Christian life. It is in seeking to know God in faith and assenting to him that the faithful come to understand his teaching more fully, since the greatest way to show love for God is through obedience to his will (Mt 7:21; 1 Jn 5:2-3). He rewards this embrace of his will with a greater understanding of his mysteries. The neophytes are thus also called to live the moral life with a serious pursuit of sanctity. It is the grace that comes from the sacramental liturgical life that allows the neophytes (and all the faithful) to live a life of charity and to pursue holiness. It is a time to learn what it means to be glorified and what it means to be holy. Discipleship also means to recognize that alone we can do nothing at all, but that God
A Third Suggested Arrangement of Teachings During the Weeks of the Easter Season
How Baptism Enables the Call to Holiness How Confirmation Enables the Call to Holiness How the Eucharist Enables the Call to Holiness How Reconciliation Enables the Call to Holiness How Anointing of the Sick Enables the Call to Holiness How Marriage Enables the Call to Holiness How Holy Orders Enables the Call to Holiness can do everything through us, for "in him, we live and move and have our being" (Acts 17:28).
During the first year as a Catholic, care must be taken to be sure that each neophyte is securely established in the life of the parish. The difficulties of this year can be very great. These fledgling Catholics cannot be neglected or forgotten once weekly organized instruction and spiritual direction is completed, but instead must be helped to increase in faith, hope, and charity as they grow in the moral life and the liturgical life. They must have support and strengthening. Some means for facilitating that are: a library or collection of materials to continue a study of the faith; a retreat
Ideas for this Period:
Ask neophytes to share their experiences of the sacraments.
Tell the Story of the "wonderful works" of God again, this time highlighting the sacramental life, foretold in the Old Testament and now available to them in the New Testament.
Proclaim and reflect on Scripture for the postbaptismal catechesis, especially the Sunday readings of Year A.
Sing songs to celebrate. Repeat songs from throughout the initiation process and the Easter Vigil.
Pray together: Liturgy of the Hours, Eucharistic adoration, spontaneous prayer, meditation, silent reflection
Tell stories of saints, such as those who were baptized or received into the Church as adults. Discuss the Universal Call to Holiness.
Discuss current moral/social issues in the light of the Church's teaching to help neophytes gain a "Catholic worldview."
Encourage neophytes to continue asking questions as they come up. Answer them.
Make a pilgrimage to a local shrine, the Cathedral; attend a Mass for new Catholics with the bishop.
Have a potluck with the pastor.
Help neophytes begin a Bible study or join a small faith-sharing group in the parish.
Discuss what it means to share in the Church's mission of evangelization – spread the Good News!
Share involvement in social outreach activities in the parish.
Have a retreat for neophytes near the anniversary of their initiation.
Keep in touch! – Maintain a mailing list of neophytes; send a newsletter; create a website; insist that sponsors maintain regular contact with neophytes.
focusing on faith, hope and love; a Bible study with new friends in the parish; specific invitations to parish missions, presentations by visiting speakers and other adult education events; a monthly neophyte newsletter; monthly gatherings with the pastor or members of the pastoral team just to chat or share a meal. Every benefit must be provided for answering questions, identifying misconceptions, and imparting encouragement and hope.
With the grace of the sacraments, the neophytes are more able to deepen their grasp of the Paschal Mystery via meditation on the Gospel, sharing in the Eucharist, and serving others in acts of charity (see RCIA 244). The very existence of this final stage following the sacraments implies that the sacraments are not an end but a beginning. From this point on, the new Catholics will continue in a life of ongoing conversion. Called to a life of holiness, the Christian can always deepen in the daily joy and struggle of more fully cooperating with God's grace. Then the disciple of Jesus hopefully can say, like the apostle Paul, "it is no longer I who live, but Christ who lives in me" (see Gal 2:19-20).
This series of six articles on the RCIA process concludes as it began, with an emphasis on the value of the catechumenal process to the mission of the Church. RCIA is a privileged and, in many ways, challengingly complex form of adult formation. Its complexity flows from the need for the process to be authentically truthful (implying catechesis that is far removed from the easy sound-bite answers and errors of the culture), authentically personal (implying pastoral flexibility and sacrificial effort to call forth from people deep conversion), and authentically unitive (implying insertion into a profoundly countercultural liturgical way of life to realize union with a divine Spouse). In others words, to the degree that the RCIA process is complex, it is so because it must be fully human, so that it may be fully open to the divine. The restoration of the ancient catechumenal process, as called for in no less than five documents of the Second Vatican Council, is a reflection of the Church's wisdom in going back to a tried and true practice in order to lovingly bring people into her fold.
Bio for William J. Keimig: Mr. Keimig is currently the Director of Religious Education at St. Mary's Parish in Clinton, Maryland. His duties include directing adult education, RCIA, oversight of the youth group, sacramental preparation, catechist training, and catechesis of the parish's children in the day school and Sunday school. Mr. Keimig also serves as a Master Catechist and a teacher in the marriage preparation program for the Archdiocese of Washington, DC. In addition to his in-diocese work, Mr. Keimig serves as the Director of the Association for Catechumenal Ministry (ACM). This apostolate serves dioceses in the United States and Canada, as well as seminaries, in training clergy and laity how to implement RCIA successfully in parishes. This work takes him to numerous dioceses to do catechist training, alongside with the Association's many seminar presenters. Mr. Keimig holds a Master's Degree in Theology and Christian Ministry from Franciscan University in Steubenville, Ohio and a Certification in Catechetics. He also holds a BA in Government and Politics and a Master's Degree in Public Management from the University of Maryland. He and his wife, Heather, have a daughter, Rose Marie, a son, William, and a third child due soon.
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Surrey County ASA Surrey Age Group Championships 2018
County Championship Licensed Meet PROMOTER'S CONDITIONS
General conditions
1. The Surrey Age Group Championships shall be run under ASA Laws, FINA Technical Rules of Swimming and these Promoter's Conditions.
2. The age of each swimmer shall be as at 31 December 2018.
3. Swimmers must be members of an affiliated Surrey club at the closing date and must be registered with that club at the ASA. ASA registration cards must be available for inspection.
4. A swimmer who has competed in County Championships in 2018 for any other English county may not take part in this competition.
5. A swimmer who joins a second Surrey club and wishes to compete for the new club, or who resigns from one Surrey club and joins another, after the competition closing date must immediately notify the promoter of any events that they have entered. Points scored before the swimmer changes club shall be awarded to the original club. Thereafter, the swimmer may compete in individual events but will not score points for their new club. The swimmer may not swim in a relay team for either club.
6. Questions and queries may be directed by email to the Meet Promoter, Alan Thurlow, at firstname.lastname@example.org
7. The Surrey Age Group Championships Committee shall decide any matter not provided for in these conditions and will determine the appropriate action against those concerned if any of these conditions are contravened.
How to enter
8. The closing date for entry is 31 December 2017.
9. The entry fee is £6.50 per individual event for events up to 400m, £8 for 800m and 1500m freestyle and £10 per team event.
10. Entries will be processed electronically using HyTek Meet Manager. Entry into this competition implies acceptance that necessary data may be stored electronically.
11. Hytek entry files and instructions will be made available on the Surrey website: www.surreyswimming.org.
12. Entries must be submitted electronically via e-mail to Alan Thurlow at email@example.com accompanied by the entry summary form and must be received by midnight on 31 December 2017.
13. Full payment must be made by electronic transfer only no later than 7 January 2018. Please make electronic transfers to Barclays Bank:
Account Name: Surrey County ASA
Sort Code:
20-84-17
Account number: 70012378
Reference:
Your 4 letter ASA Club Code
Entries are not valid until payment has been received.
14. Para-Swimming entries are welcomed and are subject to the general conditions and the Para-Swimming Conditions below.
Meet programme
15. The competition takes place over seven days:
| 13 January | Surrey Sports Park (50m) |
|---|---|
| 10-11 February | Surrey Sports Park (50m) |
| 17-18 February | London Aquatic Centre (50m) |
| 24-25 February | Crystal Palace National Sports Centre (50m) |
16. Event age groups will be as follows:
Surrey Age Group Championships 2018 Promoter's Conditions
| Event | Age |
|---|---|
| Boys 1500m free | 12 & Over (11 year olds can enter this event if they meet the 12 year old qualifying time. They will score neither FINA nor trophy points for this swim) |
| Girls 800m free | 12 & Over (11 year olds can enter this event if they meet the 12 year old qualifying time. They will score neither FINA nor trophy points for this swim) |
| 400m IM | 12 & Over (11 year olds can enter this event if they meet the 12 year old qualifying time. They will score neither FINA nor trophy points for this swim) |
| 400m free | 10 & Over |
| 200m | 10 & Over |
| 100m | 10 & Over |
| 50m | 10 & Over |
| Relays | Junior means swimmers aged 15 & Under Senior means swimmers aged 16 & Over Open means swimmers aged 10 & Over |
17. There will be finals for each age group in all the 100m events. Trophy points will be awarded based on places in the 100m finals and places in the heats of all other events.
18. Winners for all events, except those of 100m, will be Heat Declared.
19. Sign-in closes up to one hour before the start of each session. Competitors must sign in for each event in which they wish to take part before the start of the warm-up for that session.
20. For 4 x 50m and 4 x 100m relays, clubs may enter a maximum of TWO teams in any single age group. Individual swimmers may compete in only one team per age group per event. Swim-ups are not permitted.
21. For the 4 x 200m freestyle relay, clubs may enter a maximum of TWO teams per club, with swimmers of any age.
Seeding
22. Heats for events with finals will be seeded using cyclical seeding for the fastest 24 swimmers. This means that the fastest swimmer in the event swims in lane 4 of the final heat, the second fastest in lane 4 of the penultimate heat, the third fastest in lane 4 of the third fastest heat. The fourth fastest swims in lane 5 of the fastest heat, the fifth fastest in lane 5 of the penultimate heat and so on.
23. Heat Declared events of 400m or less will be super-seeded with the last heats being the top 8 or 10 swimmers in each age group swum separately from youngest to oldest.
Finals
24. For those events with finals, as soon as possible after heats are completed, the names of swimmers who are in 1 st – 8 th place in each age group and event will be announced, as well as two reserves. Swimmers and reserves are required to actively withdraw if they do not wish to take part, to allow other swimmers the opportunity to take part in the final.
Technical and non-technical officials
25. The Championships cannot run without people to fill both technical and non-technical roles on the day. With this in mind, clubs are expected to provide volunteers, both qualified officials and people to fill technical and nontechnical roles such as programmes, marshalling, and electronic timing operation and so on.
26. For those sessions that are licensed at level 1 or 2, the technical officials must be licensed and qualified for the role that they will perform.
Entry times
27. All entry times must be equal to, or faster than, the qualifying times supplied as part of these conditions.
28. No split times will be permitted except where they have been gained as the lead-off leg of a relay. Where a split time has been used, please provide the licence number of the meet and the title of the event swum.
Surrey Age Group Championships 2018 Promoter's Conditions
29. Qualifying times are given as short course and long course times for all events. Swimmers may enter if they have achieved either time in the relevant pool length. No converted times are permitted. Note that long course times have been generated from the short course times using the ASA's Equivalent Performance Tables.
30. ALL entry times must have been achieved at licensed meets and, with the exception of any relay lead off times, must appear on the ASA Rankings Database. Masters swimmers may use times from an appropriate Masters meet if those times appear on the ASA Rankings Database.
31. ALL entry times must have been achieved on or after 27 February 2017 being the day after the last day of the 2017 championships.
32. If the meet is over-subscribed, the promoters reserve the right to reject entries based on the submitted entry times. The fastest swimmers in each age group will be given priority. Clubs will be informed as soon as possible after the closing date of any swimmers whose entries have had to be rejected, and entry fees for rejected swimmers will be returned in full.
Verification of entry times
33. By submitting entries to the meet administrator, club representatives are declaring that entry times submitted meet the above criteria.
34. In the event that a submitted entry time is found not to comply with the conditions, the entry fee will be forfeit and the swimmer will not be allowed to compete in that event.
35. The Championships Committee also reserves the right to impose a fine of £10 per instance on any club that submits unsubstantiated entry times where no valid explanation can be provided.
36. If clubs are found to have submitted unsubstantiated entry times after the event has been swum, the meet promoter reserves the right to remove any awards or points that may have been awarded for the swim in question.
37. Clubs that are found to have entered unsubstantiated entry times will be referred to the Championships Committee.
Medals, trophies and awards
38. For events with age group finals, trophy points are awarded on the basis of times achieved in the finals.
39. Individual age groups shall be 10/11, 12, 13, 14, 15, 16, 17 & Over.
40. Medals shall be presented in each event age group as follows:
* Individual events: Medals 1st – 3rd place, Ribbons 4th – 8th place
* Relays: Medals 1st – 3rd place
41. The age groups for each event are set out in the table in paragraph 17 above.
42. Trophies shall be presented as follows:
* Junior/Senior/Open trophies where applicable.
* Age group awards for swimmers aged 10/11 to 14 years: 1st – 3rd place, Certificates 1st – 8th place will be available on the website.
43. The method used to determine the winners of the age groups 10/11 to 14 are set out in a separate document entitled "Scoring Approach for the Surrey Age Group Championships 2018 v1.0".
44. Certificates will be awarded to all event entrants aged 10/11 to 14 with their total points displayed and made available on the website.
Registration and marshalling
45. Swimmers must sign in before the start of the warm-up for each session for every event in which they wish to take part. A swimmer who is late to sign in may be placed in an unoccupied lane at the discretion of the promoter, but this is not guaranteed.
46. Swimmers must not be signed in unless they are present.
47. All withdrawals after sign-in must be notified to the meet administrator as soon as possible.
48. Heat lists will be posted on poolside, published to the web using the Meet Mobile app and provided to holders of poolside passes.
Surrey Age Group Championships 2018 Promoter's Conditions
49. It is the responsibility of swimmers to check heat lists and be at the marshalling area on time for their event as instructed.
Poolside access
50. Access to the galas at Surrey Sports Park and Guildford Spectrum is free. A charge of £5 per person will be made for entry to the London Aquatic Centre. Children under 16 years of age will be admitted at no charge.
51. Programmes for each day will be provided on the Surrey website. The full meet programme, entries, heats and results will also be provided electronically through the Meet Mobile app that can be downloaded from the Apple and Google app stores.
52. Access to poolside is not permitted without a poolside pass.
53. Poolside passes are made available to clubs and their coaches to ensure the safety and wellbeing of their swimmers. All swimmers must be supervised on poolside. Clubs must ensure there are enough adults on poolside with valid passes to provide adequate supervision.
54. Poolside passes should be booked on the meet summary form at the same time as entries are submitted.
55. Cost of passes:
* Whole Championships – £72 (including food) or £30 (not including food)
* One day - £12 (including food) or £5 (not including food)
56. The promoter reserves the right to request any person to leave poolside, whether or not that person has a poolside pass, without having to give a reason.
Photography
57. All those attending these Championships (competitors, coaches, team managers, spectators, officials, volunteers, contracted staff etc.) wishing to use cameras, video or digital image capturing devices (including mobile phones) should only do so after reference to their obligations and the recommendations laid down in Wavepower 20162019, the ASA Child Safeguarding Policy & Procedures and other ASA Photography guidance. Your adherence to the guidelines and vigilance during the event will assist in our efforts to avoid the misuse of such equipment and the images/videos produced.
58. In the circumstance that an infraction of clause 57 is identified by Surrey Swimming officials and/or volunteers, an appropriate sanction adjudged to be proportionate will be applied. This may include, but not be restricted to, the reporting of the person to their Club Welfare Officer for breach of applicable code of conduct or temporary confiscation of the equipment.
59. In the circumstance that an infraction of clause 57 is identified by or reported to the facility management, the Normal Operating Procedure of the facility will be applicable and will be fully supported by Surrey Swimming.
60. With the specific exception of official photographers appointed by Surrey Swimming, flash photography is prohibited at all times during the Championships.
61. All meet attendees must respect the privacy and wishes of all other users of the facilities, regardless of their celebrity status.
62. Photographs of the meet may be taken by representatives of the promoters of the event and may be used for promotional purposes. Entry into the competition implies acceptance of this condition.
Promoter
63. Questions and queries may be directed by email to the Meet Promoter (Alan Thurlow) who will liaise with the Lead Referee (Diane Gamble) as necessary.
Surrey County ASA Surrey Age Group Championships 2018 Qualification Times
BOYS County Qualifying Times, Short Course Pool
| EVENT | 10/11 | 12 | 13 | 14 | 15 | 16 |
|---|---|---|---|---|---|---|
| 50m Freestyle | 38.30 | 36.10 | 33.70 | 30.80 | 29.90 | 28.50 |
| 100m Freestyle | 1:17.40 | 1:13.00 | 1:09.10 | 1:03.10 | 59.80 | 57.80 |
| 200m Freestyle | 2:48.10 | 2:37.00 | 2:31.10 | 2:18.80 | 2:12.80 | 2:10.00 |
| 400m Freestyle | 5:59.80 | 5:40.00 | 5:35.80 | 5:06.10 | 4:52.50 | 4:41.00 |
| 1500m Freestyle* | * | 22:00.00 | 21:00.00 | 20:00.00 | 19:10.00 | 18:51.40 |
| 50m Backstroke | 47.30 | 44.00 | 40.20 | 38.20 | 35.60 | 34.30 |
| 100m Backstroke | 1:28.40 | 1:22.40 | 1:19.20 | 1:12.10 | 1:10.10 | 1:06.80 |
| 200m Backstroke | 3:08.50 | 2:56.00 | 2:46.10 | 2:34.90 | 2:31.10 | 2:26.70 |
| 50m Breaststroke | 52.00 | 48.00 | 46.80 | 43.50 | 40.90 | 39.20 |
| 100m Breaststroke | 1:44.30 | 1:38.20 | 1:33.80 | 1:22.80 | 1:21.40 | 1:18.70 |
| 200m Breaststroke | 3:40.50 | 3:26.40 | 3:24.40 | 2:59.30 | 2:58.70 | 2:55.80 |
| 50m Butterfly | 46.10 | 42.10 | 40.20 | 37.30 | 35.20 | 33.50 |
| 100m Butterfly | 1:36.80 | 1:33.40 | 1:25.90 | 1:12.30 | 1:10.50 | 1:05.70 |
| 200m Butterfly | 3:53.00 | 3:45.00 | 3:36.80 | 2:57.20 | 2:56.00 | 2:35.30 |
| 200m Individual Medley | 3:12.40 | 2:59.50 | 2:51.70 | 2:38.70 | 2:29.90 | 2:26.00 |
BOYS County Qualifying Times, Long Course Pool
| EVENT | 10/11 | 12 | 13 | 14 | 15 | 16 |
|---|---|---|---|---|---|---|
| 50m Freestyle | 38.80 | 36.70 | 34.30 | 31.50 | 30.60 | 29.20 |
| 100m Freestyle | 1:18.50 | 1:14.10 | 1:10.30 | 1:04.40 | 1:01.20 | 59.20 |
| 200m Freestyle | 2:50.20 | 2:39.20 | 2:33.40 | 2:21.30 | 2:15.40 | 2:12.60 |
| 400m Freestyle | 6:03.70 | 5:44.10 | 5:40.00 | 5:10.70 | 4:57.30 | 4:46.00 |
| 1500m Freestyle* | * | 22:15.60 | 21:16.30 | 20:17.10 | 19:27.80 | 19:09.50 |
| 50m Backstroke | 47.70 | 44.50 | 40.70 | 38.70 | 36.20 | 34.90 |
| 100m Backstroke | 1:29.30 | 1:23.40 | 1:20.20 | 1:13.20 | 1:11.20 | 1:08.00 |
| 200m Backstroke | 3:10.30 | 2:57.90 | 2:48.10 | 2:37.00 | 2:33.30 | 2:29.00 |
| 50m Breaststroke | 52.60 | 48.70 | 47.50 | 44.20 | 41.70 | 40.00 |
| 100m Breaststroke | 1:45.50 | 1:39.50 | 1:35.10 | 1:24.30 | 1:22.90 | 1:20.30 |
| 200m Breaststroke | 3:42.90 | 3:28.90 | 3:27.00 | 3:02.20 | 3:01.60 | 2:58.80 |
| 50m Butterfly | 46.50 | 42.50 | 40.70 | 37.80 | 35.70 | 34.10 |
| 100m Butterfly | 1:37.60 | 1:34.20 | 1:26.80 | 1:13.30 | 1:11.60 | 1:06.80 |
| 200m Butterfly | 3:54.40 | 3:46.40 | 3:38.30 | 2:59.00 | 2:57.80 | 2:37.30 |
| 200m Individual Medley | 3:14.40 | 3:01.70 | 2:54.00 | 2:41.20 | 2:32.50 | 2:28.70 |
| 400m Individual Medley* | * | 6:46.20 | 6:19.70 | 5:53.00 | 5:39.50 | 5:31.30 |
Notes: * 11 year olds can enter these events if they meet the 12 year old qualifying times. They will neither score FINA points nor trophy points for these swims.
Surrey Age Group Championships 2018 Qualification Times
GIRLS County Qualifying Times, Short Course Pool
| EVENT | 10/11 | 12 | 13 | 14 | 15 | 16 |
|---|---|---|---|---|---|---|
| 50m Freestyle | 38.00 | 35.20 | 32.80 | 32.00 | 30.80 | 30.70 |
| 100m Freestyle | 1:18.30 | 1:12.10 | 1:08.30 | 1:04.90 | 1:03.80 | 1:03.60 |
| 200m Freestyle | 2:51.50 | 2:38.60 | 2:27.70 | 2:21.50 | 2:19.10 | 2:16.80 |
| 400m Freestyle | 6:16.60 | 5:35.90 | 5:24.40 | 5:04.90 | 4:57.70 | 4:57.60 |
| 800m Freestyle* | * | 11:28.00 | 10:51.20 | 10:22.60 | 10:02.50 | 9:52.30 |
| 50m Backstroke | 44.60 | 41.50 | 39.40 | 38.60 | 36.70 | 34.90 |
| 100m Backstroke | 1:28.60 | 1:23.10 | 1:17.40 | 1:13.90 | 1:12.20 | 1:10.40 |
| 200m Backstroke | 3:09.40 | 2:58.40 | 2:46.50 | 2:40.20 | 2:37.00 | 2:33.90 |
| 50m Breaststroke | 51.60 | 47.40 | 44.90 | 43.30 | 41.50 | 40.00 |
| 100m Breaststroke | 1:43.50 | 1:36.10 | 1:27.00 | 1:25.40 | 1:23.60 | 1:22.80 |
| 200m Breaststroke | 3:40.30 | 3:24.10 | 3:10.70 | 3:04.70 | 3:03.70 | 2:57.10 |
| 50m Butterfly | 45.20 | 41.90 | 39.20 | 37.50 | 35.70 | 35.60 |
| 100m Butterfly | 1:38.90 | 1:29.20 | 1:22.00 | 1:17.50 | 1:14.80 | 1:11.40 |
| 200m Butterfly | 3:59.00 | 3:39.10 | 3:07.00 | 3:01.00 | 2:54.00 | 2:44.20 |
| 200m Individual Medley | 3:13.60 | 2:59.30 | 2:48.80 | 2:43.10 | 2:40.90 | 2:35.00 |
GIRLS County Qualifying Times, Long Course Pool
| EVENT | 10/11 | 12 | 13 | 14 | 15 | 16 |
|---|---|---|---|---|---|---|
| 50m Freestyle | 38.50 | 35.80 | 33.40 | 32.60 | 31.50 | 31.40 |
| 100m Freestyle | 1:19.40 | 1:13.30 | 1:09.50 | 1:06.20 | 1:05.10 | 1:04.90 |
| 200m Freestyle | 2:53.50 | 2:40.80 | 2:30.00 | 2:23.90 | 2:21.60 | 2:19.30 |
| 400m Freestyle | 6:20.30 | 5:40.10 | 5:28.70 | 5:09.50 | 5:02.40 | 5:02.30 |
| 800m Freestyle* | * | 11:36.40 | 11:00.00 | 10:31.80 | 10:12.00 | 10:02.00 |
| 50m Backstroke | 45.00 | 42.00 | 39.90 | 39.10 | 37.20 | 35.50 |
| 100m Backstroke | 1:29.50 | 1:24.10 | 1:18.40 | 1:15.00 | 1:13.30 | 1:11.50 |
| 200m Backstroke | 3:11.20 | 3:00.30 | 2:48.50 | 2:42.30 | 2:39.10 | 2:36.10 |
| 50m Breaststroke | 52.20 | 48.10 | 45.60 | 44.00 | 42.30 | 40.80 |
| 100m Breaststroke | 1:44.70 | 1:37.40 | 1:28.40 | 1:26.90 | 1:25.10 | 1:24.30 |
| 200m Breaststroke | 3:42.70 | 3:26.70 | 3:13.50 | 3:07.50 | 3:06.60 | 3:00.10 |
| 50m Butterfly | 45.60 | 42.40 | 39.70 | 38.00 | 36.20 | 36.10 |
| 100m Butterfly | 1:39.70 | 1:30.00 | 1:22.90 | 1:18.50 | 1:15.80 | 1:12.50 |
| 200m Butterfly | 4:00.30 | 3:40.50 | 3:08.70 | 3:02.70 | 2:55.80 | 2:46.10 |
| 200m Individual Medley | 3:15.60 | 3:01.50 | 2:51.10 | 2:45.50 | 2:43.30 | 2:37.50 |
| 400m Individual Medley* | * | 6:44.30 | 6:13.60 | 6:02.80 | 5:49.40 | 5:35.40 |
Note: * 11 year olds can enter these events if they meet the 12 year old qualifying times. They will neither score FINA points nor trophy points for these swims
Surrey County ASA
Surrey Age Group Championships 2018
Para-Swimming Conditions
PS1. The conditions for the Surrey Age Group Championships shall apply to the Para-Swimming events except where varied by any of the following conditions.
Events
PS2. The events open to disabled athletes are as follows:
* Freestyle
50m, 100m, 200m and 400m
* Backstroke
50m, 100m and 200m
* Butterfly
50m, 100m and 200m
* Breaststroke
50m, 100m and 200m
* Individual Medley
100m, 200m and 400m
PS3. The event age groups are the same as the County Championships and are set out in the table in paragraph 16 of the General Conditions above.
Eligibility
PS4. Swimmers with S1 to S14 classifications will be accepted.
PS5. All swimmers must have an internationally authorised classification which is available for verification on the IPC website.
PS6. Competitors must be registered members of the ASA.
PS7. The championships do not have disability consideration times, however the organisers reserve the right to reject swimmers after the closing date if demand exceeds the time available in the galas.
Personal Care Attendants
PS8. Personal care attendants will only be permitted for swimmers in the following classes: S1, S2, S3, S4, S5 and S11.
PS9. A swimmer in any of these classes may have both a coach and a personal care attendant present.
Competition Format
PS10. The competition format will be based on disability inclusion within the able-bodied programme. Swimmers will be integrated on a time-banded basis in all events.
PS11. Positions will be determined by the relative number of British Paralympic Points gained by each swimmer in each event.
PS12. Disability swimmers will be included in the Multi Disability results and placed within those results according to the number of British Disability Points gained.
PS13. Winners of all events will be heat declared.
PS14. Competition to be run to IPC Swimming swim rules.
PS15. An official who holds the qualification of ASA Disability Official will act as a technical advisor in each of the sessions where disability athletes are entered.
Medals
PS16. Medals shall be awarded on a multi-disability basis to 1 st , 2 nd and 3 rd place in each event. Medals shall be awarded at the end of the session in which the event has taken place.
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Capital Market Outlook
Chief Investment Office
The opinions are those of the author(s) and subject to change.
IN THIS ISSUE
MACRO STRATEGY
As we gear up for the holiday season, corporate earnings were once again considered the gift that kept on giving, gauged by third-quarter (Q3) S&P 500 earnings per share (EPS) growth tracking 27% year-over-year (YoY), surpassing even the lofty pace of recent quarters. The results are seemingly more impressive as we unwrap their contents further and examine forward guidance and company management commentary.
GLOBAL MARKET VIEW
One can't help but walk away from Europe worried and concerned. The continent is long on bickering and skepticism and short on unity and solidarity — all of which is threatening the European Union's (EU's) fragile cyclical economic expansion and the global earnings of U.S. multinationals. As Europe's woes accumulate and reach a tipping point, the aftershocks will be felt far and wide.
MACRO STRATEGY
EARNINGS SEASON: UNWRAPPING THE GIFTS OF Q3
Nick Giorgi, CFA, Vice President, Investment Strategist
As we gear up for the holiday season, corporate earnings were once again considered the gift that kept on giving, gauged
NOVEMBER 19, 2018
NOVEMBER GAINS EVAPORATE
Recent equity market weakness has gathered steam again as concerns over economic growth for 2019 continue. Higher short-term interest rates, a widening in credit spreads, and continued trade and tariff sparring between the U.S. and China have all weighed on equity prices in the past week. The high growth, more richly valued areas of the market have declined the most which is exacerbating the weakness in the broader indices. Given the spate of news in the very short-term, we expect uncertainty to remain elevated as we head into December.
In order for investors to turn more positive on the growth prospects for 2019, we believe two specific events need to happen. First, the Federal Reserve (Fed) needs to signal that they have become more dovish as global growth slows down. The Fed doesn't necessarily need to actually pause right away, in our view. However, an adjustment to the communication on downgrading the number of Fed interest rate hikes for 2019 is important. Second, a China – U.S. trade agreement is also imperative. We recognize that a long-term deal is unrealistic but even a short-term "bridge" agreement on tariffs and trade would significantly help investor sentiment around the turn of the year. Caution is warranted, and, yes, economic and earnings growth are slowing, but we do not expect an economic hard landing next year. Once we get through this second phase of weakness, we expect improved investor sentiment and equity returns for 2019 to match the level of corporate earnings growth around 6% for the full year at this point.
by Q3 S&P 500 EPS growth tracking 27% YoY. The results are more impressive as we unwrap their contents further, currently illustrating solid revenue gains, cost containment and sustainability. Forward guidance has also been firm with company management commentary generally reinforcing positive
Data as of 11/19/2018 and subject to change. Chartered Financial Analyst® and CFA® are registered trademarks owned by CFA Institute.
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momentum moving forward. While it will be difficult to maintain such a torrid pace of growth, we expect earnings to continue their ascent through future quarters.
This year has succeeded a strong 2017, with companies generating profits at an even more impressive clip. Whereas last year represented the first in which the S&P 500 produced double-digit profit growth since 2011; this year's earnings are tracking at a rate only matched or surpassed during two years since 1990 1 . The Q3 results have been broad, with nine of eleven sectors having contributed double-digit expansion. On a micro level, Information Technology, Communication Services and Utilities have led with the highest proportion of "beats," while Real Estate and Energy have lagged.
As we dig deeper into company releases, the sustainability and quality of corporate earnings appears solid. While more variable or transitory effects like tax reform have helped to boost earnings, the underlying growth rate remains impressive even when these items are stripped away (Exhibit 1). Sales growth for the S&P 500, a pure measure of customer demand less affected by accounting measures, has advanced 8.5% YoY, slightly off from the pace of Q2, although an estimated 1% was sheared off by currency effects, according to BofA Merrill Lynch (BofAML) Global Research. Energy and Real Estate logged the greatest proportion of positive revenue surprises while Utilities were more challenged. Small caps have also enjoyed a strong earnings season, albeit at a slightly weaker and narrower pace than large caps. Of companies having reported, just 30% have beaten both profit and sales expectations. The relative strength for large cap earnings keeps us more favorable on them.
Sources: Federal Reserve; Haver Analytics; FactSet; Bloomberg; Deutsche Bank.
Data as of November 2018
1 1994 (42%), 2010 (38%); Bloomberg, November 2018.
CIO Capital Market Outlook
NOTES ON GUIDANCE
As we look ahead to 2019 and beyond, we look to commentary from management teams for any clues on the outlook for margins, capital spending and profits. Large cap managements' guidance has come in stronger than its historical average. Capital expenditures (capex) growth in Q3 has decelerated but remains solid, tracking 14%, while capex guidance has weakened, perhaps reflecting lower oil prices and uncertainty surrounding trade. We expect capex for S&P 500 companies to moderate but remain solid over coming quarters, consistent with strong readings on capex intentions from the recent Duke CFO Global Business Outlook survey and the National Federation of Independent Business. While the topic of tariffs has become increasingly prevalent on earnings calls, only about 9% of reporting S&P 500 companies have mentioned a major negative impact so far, with Industrials making up the largest share, according to BofAML Global Research.
Small cap guidance has been relatively weak, with a number of management teams issuing weaker-than-expected outlooks. Despite lower international exposure among small caps from a final demand perspective, smaller companies might have less flexibility in their supply chains suggesting they could face margin pressures from higher input costs if tariffs spread. Small caps also tend to come under pressure from higher rates and diminished momentum in the Manufacturing sector; risks that warrant close attention as the cycle matures.
Despite concern over rising input costs and rates, corporate profitability has continued to improve for Q3, with net profit margins rising to 12% so far versus 11% in Q2. Management teams are beginning to mention margin pressure from higher wages, ranging from restaurant workers to truck drivers. With 7 million job openings and a shortage of skilled workers, we expect companies to leverage automation to supplement their workforces; another tailwind for productivity growth. For instance, a major consumer products company announced plans on its earnings call to leverage digitization/automation to increase productivity amid labor shortages to protect margins. The topic of rising rates is coming up as well, with management teams from a number of industries mentioning plans to refinance and pay down debt. Despite high leverage among S&P 500 companies, interest coverage remains stable at 7.1 times versus its longer-term average of 5.6 times according to FactSet Research Systems, but we expect more companies to fortify their balance sheets as we get later in the cycle.
At the sector level, we monitor the Industrials sector for any early signals of decelerating global demand and margin pressures, and the Consumer sectors for insight on the health
of the consumer. Headline earnings per share data have been better than expected for most Industrial companies so far for Q3, but with many companies reporting weaker-than-expected core operating earnings. Revenue growth has decelerated across a number of companies due to slower demand in Europe and Asia, while margins were affected by tariffs, and higher wages, transportation and raw material costs. At the industry level, certain end markets such as housing and autos have been weak, while commercial aerospace has been relatively strong.
In the Consumer sector, commentary has been positive across the food/beverage, apparel and restaurant industries with management teams noting solid organic growth and resilient margins, with many companies raising prices to offset higher costs. With current low unemployment, rising wages and strong consumer confidence, the setup for consumer spending over the holidays and into next year seems to be as strong as ever. Tax refunds in the first half of 2019 (which are estimated to rise $85B 2 ) should provide an additional boost to spending on discretionary items as well. Impacts from tariffs and higher input costs have been most pronounced in the appliance
2 Cornerstone Macro, November 2018.
GLOBAL MARKET VIEW
NEARING A TIPPING POINT IN EUROPE
Joseph P. Quinlan, Head of CIO Market Strategy
Kathryn A. Cassavell, CFA®, Vice President and Market Strategy Analyst Rarely has Europe seemed so dysfunctional and discombobulated — with significant implications for corporate America. After three trips to the continent in the past two months, one can't help but walk away worried that the EU is at a tipping point. The continent is long on bickering and skepticism and short on unity and solidarity, all of which is threatening the EU's fragile cyclical economic expansion and the fundamental underpins of the Union.
The woes are multiplying: The United Kingdom's departure from the EU; the bitter divide between Brussels and Italy over the latter's budget deficit; rising political populism along the periphery (Poland and Hungary); the currency crisis in Turkey; the refugee crisis emanating from the Middle East and Africa; the divide between the wealthy north and the stagnant south; the political departure of Angela Merkel—all of these variables have converged to leave Europe confused and confounded, and confronting multiple crises.
Chartered Financial Analyst® and CFA® are registered trademarks owned by CFA Institute.
CIO Capital Market Outlook
and home improvement industries, where some companies noted margin pressure from higher raw material costs, and expectations that tariff costs would rise further next year. We believe margins in industries like furniture and appliances could be disproportionately impacted as they tend to exhibit relatively high price elasticity, suggesting they may struggle to pass higher costs onto customers. We also feel consumer durables in general could face headwinds from rising rates as consumer financing becomes more expensive.
While lower corporate taxes have helped earnings growth this year, we believe the main driver has been strong nominal growth in the economy and rising productivity, which has enabled companies to manage wage pressures more effectively. Going forward, we expect earnings growth to moderate to around 6% – 7% for the S&P 500, consistent with our expected nominal gross domestic product growth of around 5%, and supported by buybacks and fairly stable profit margins. However, we continue to monitor developments on trade/tariffs with China and rising rates and wages, which could hurt companies' bottom lines.
And 2019 doesn't look any better — at least in the near term. The United Kingdom is scheduled to depart the EU on March 29, 2019 without any clear road map or exit ramp at this juncture. Meanwhile, with populism gaining strength across the region, the European Parliamentary elections are scheduled for May. At stake are numerous key positions that drive Europe, including new presidents of the European Commission, the European Council and the European Central Bank. The fundamental unity of Europe will be at risk if nationalist candidates/parties fare well in the Parliamentary elections, a prospect that is expected to weigh heavily on investor confidence over the near term. Risks around Brexit and the Parliamentary elections are expected to weigh on both the pound and the euro over the near term, contributing to U.S. dollar strength.
Compounding matters, amid all the political strife, economic growth across Europe has decelerated. Eurozone gross domestic product (GDP) growth in Q3 came in lower than expected by analysts, slowing to 0.2% over the quarter (Exhibit 2). Manufacturing Purchasing Managers Index (PMIs) in Europe have also witnessed a sharp slowdown since peaking at the end of last year. This pullback is in stark contrast to the economic environment in 2017, when annual GDP growth in the Eurozone eclipsed that of the U.S. (2.4% vs. 2.2%).
Sources: Eurostat; Haver Analytics. Data as of November 2018.
Additionally, data released last week showed the German economy (the largest in the EU according to Eurostat) contracted in Q3 for the first time since 2015 amid weakness in the auto industry and a slowdown in China. While much of the weakness in the auto sector was cited as temporary, owing to manufacturers' delays in meeting the EU's new emissions standards, a more protracted U.S.-China trade war could have more lasting effects on capital goods producers in the export-dependent region. EU exports of goods and services make up 45% of GDP, while exports from China and the U.S. are a much smaller share (20% of GDP and 12% of GDP, respectively).
All of the above wouldn't be of consequence if Europe didn't matter to the health of the global economy. The fact is, however, it does. Only the U.S. economy, for instance, is larger than the EU: $20.5 trillion nominal U.S. dollars vs. $18.8 trillion, according to International Monetary Fund estimates for 2018. In the same year, the EU economy was some 39% larger than China's. Not only is the EU large, its 500 million consumers rank among the wealthiest in the world, with the EU home to nine of the top 20 nations ranked by per-capita income. Wealth is correlated with highly skilled labor, innovation, a world-class R&D infrastructure and importantly, strong levels of private consumption. In 2016, the EU accounted for 21% of global personal consumption, a slightly lower share than that of the U.S. (29%) but well above that of China (10%) and India (3%).
Today, the U.S. and Europe remain the bedrock of the global economy. Yes, the economic progress of China, India and others has been impressive over the past decade, but the success of each party is due in part to the global economic architect/ framework created, supported and funded by the U.S. and Europe. From this lens, it is clear, and there is no doubt, that the future of the EU remains critical to the long-term health of the global economy.
CIO Capital Market Outlook
THE STAKES FOR CORPORATE AMERICA ARE HUGE
The EU has been a long-time pillar of America's global economic infrastructure and a key hub for the global competitiveness of U.S. companies. Wealthy consumers, respect for the rule of law, the ease of doing business and credible institutions—all of these factors, and more, have long made the EU a more attractive place to do business for American firms.
U.S. companies are bound to the European continent primarily through the activities of their foreign affiliates (Exhibit 3). In 2017, we estimate that sales delivered through U.S. affiliates in the EU were roughly $2.4 trillion, compared to U.S. exports of goods and services of $500 billion.
Also evident from Exhibit 3 is the fact that Europe remains, by far, the most important market for U.S. multinational companies. While much attention has been given to the rise of the middle class consumer in China and associated market opportunities (represented by the rising red line in Exhibit 3), there is still a long way to go before China catches up to the EU in terms of foreign affiliate sales. Currently, the EU accounts for 41% of U.S. foreign affiliate sales, a share larger than that of the entire Asia Pacific region (27%).
*Estimates for foreign affiliate sales for 2017. Non-bank majority owned affiliates: 1999-2008. All majority owned affiliates: 2009-2017. Source: Bureau of Economic Analysis. Data as of November 2018.
Meanwhile, the more profitable U.S. affiliates are in Europe, the more earnings are available to the parent firm to hire and invest at home, dole out higher wages to U.S. workers, and/ or increase dividends to U.S. shareholders. In other words, U.S. corporate success in Europe is hugely important to the overall and long-term success of many U.S. multinationals and, by extension, the U.S. economy. The more successful U.S. affiliates are in reaching new consumers in Europe
GLOBAL MARKET VIEW
and leveraging the continent's resources, the better off are the foreign affiliates, U.S. parent companies, U.S. workers, shareholders and local communities.
In other words, America's transatlantic partnership with Europe yields significant dividends. With nearly 60% of U.S. global foreign affiliate income (a proxy for global earnings) coming courtesy of Europe, no region of the world has as outsized an influence on the economic success or failure of U.S. firms as Europe. And while last year's positive economic environment led to record profits for U.S. foreign affiliates in Europe, rising investment uncertainty and structural challenges in Europe suggest a more precarious operating environment for U.S. firms doing business in the EU.
INVESTMENT SUMMARY
In the end, Europe's woes are global in nature. What happens in Europe, in other words, doesn't stay in Europe. Notably in
THOUGHT OF THE WEEK
HIGHER RATE REGIME MORE FAVORABLE FOR ACTIVE MANAGEMENT
Kathryn A. Cassavell, CFA®, Vice President and Market Strategy Analyst
The rise of index-based investing has been nothing short of stunning. In just five years, the amount invested in exchangetraded funds and products globally has more than doubled, with assets under management topping $5 trillion this year. 3 The share of U.S. equity funds allocated to passive investments has grown from just above 20% in 2009 to 42% in 2018 according to BofAML Global Research. With over 3.7 million indices globally 4 , the options for passive investing have never been greater.
However, a turning point for active management may be on the horizon.
Historically low interest rates, high correlations across and within asset classes, and low volatility have all made for a challenging environment for active managers in recent years. But as the Federal Reserve (Fed) retreats from easy monetary policy, and as interest rates in the U.S. continue to rise from historic lows, we believe volatility should pick up, which could be positive for active managers.
As shown in Exhibit 4, active manager performance over the past four decades has been strongly correlated with the 10-
3 Financial Times, "Passive funds hit new highs on wave of investor approval," September 9, 2018.
4 Index Industry Association. Data as of 2018.
Chartered Financial Analyst® and CFA® are registered trademarks owned by CFA Institute.
CIO Capital Market Outlook
the cross hairs: U.S. multinationals that have long counted on Europe to drive the bulk of their non-U.S. earnings growth. Decelerating growth in Europe, along with a stronger U.S. dollar versus the euro, threatens to undermine U.S. global earnings heading into next year. The euro is currently trading near a 17-month low against the dollar, as markets weigh the volatile backdrop in Europe against robust economic growth in the U.S.
With U.S.-China tensions at a hard boil, and with many emerging markets struggling in the face of rising U.S. interest rates and elevated oil prices, the last thing the world economy needs right now is a significant economic downdraft from Europe. That leaves the U.S. economy as the last man standing — which is bullish for U.S. assets on a comparative basis—but as Europe's woes accumulate and reach a tipping point, the aftershocks will be felt far and wide.
year treasury yield. During the rising rate regime of the 1970s and early 1980s, actively managed funds outperformed their benchmark, though they lost some of their competitive edge once rates descended to ultra-low levels. Now, with stock correlations low by historical standards and with the recent Fed interest rate hikes, active managers with more flexibility to adjust allocations across sectors and companies could benefit. In the end, amid the many shifting cross-currents of a rising rate environment, the tide is tilting more favorably towards active versus passive managers.
Exhibit 4: Cumulative Active Manager Excess Performance.
Average Active Manager Excess Performance (lhs)
10-Year Treasury Yield (rhs)
Note: Average of large cap U.S. active manager excess returns vs. benchmark, cumulative
Sources: Chief Investment Office, Morningstar, Bloomberg, Nomura.
returns starting in 1978.
Data as of November 2018.
Past performance is no guarantee of future results.
MARKETS IN REVIEW
Equities
| Current | WTD | MTD |
|---|---|---|
S&P 500 Sector Returns 1
| Fixed Income2 | | | | |
|---|---|---|---|---|
| | | Total Return in USD (%) | | |
| | Current | WTD | MTD | YTD |
| Corporate & Government 3.50 0.3 0.4 -2.3 | | | | |
| Agencies 3.06 0.5 0.4 -0.3 | | | | |
| Municipals 2.99 0.4 0.3 -0.7 | | | | |
| U.S. Investment Grade Credit 3.55 0.5 0.4 -2.0 | | | | |
| International 4.30 -0.2 0.1 -3.7 | | | | |
| High Yield 7.19 -1.3 -1.0 -0.1 | | | | |
| | Current | Prior Week End | Prior Month End | 2017 Year End |
| 90 Day Yield 2.29 2.28 2.24 1.32 | | | | |
| 2 Year Yield 2.80 2.93 2.87 1.89 | | | | |
| 10 Year Yield 3.06 3.18 3.14 2.41 | | | | |
Source: Bloomberg, Factset. 1 Total Returns from the period of 11/13/18 to 11/17/18. 2 Bloomberg Barclays Indices. 3 Spot price returns. All data as of the 11/9/18 close. Past performance is no guarantee of future results.
Asset Class Weightings (as of 7/11/18)
| | Negative | Neutral | Positive |
|---|---|---|---|
| Global Equities | | | |
| U.S. Large Cap Growth | | | |
| U.S. Large Cap Value | | | |
| U.S. Small Cap Growth | | | |
| U.S. Small Cap Value | | | |
| International Developed | | | |
| Emerging Markets | | | |
| Global Fixed Income | | | |
| U.S. Governments | | | |
| U.S. Mortgages | | | |
| U.S. Corporates | | | |
| High Yield | | | |
| U.S. Investment Grade Tax Exempt | | | |
| U.S. High Yield Tax Exempt | | | |
| International Fixed Income | | | |
| Alternative Investments* | see CIO Asset Class Views | | |
| Hedge Funds | | | |
| Private Equity | | | |
| Real Assets | | | |
| Cash | We are neutral | | |
* Many products that pursue Alternative Investment strategies, specifically Private Equity and Hedge Funds, are available only to pre-qualified clients.
CIO Capital Market Outlook
Figures represent economic and market data and forecasts provided by BofA Merrill Lynch Global Research. Past performance is no guarantee of future results. There can be no assurance that the forecasts will be achieved.
A=Actual / E=Estimate / *Estimate for Q3 2018 / **Estimate for Q3 2019.
1
Forecast represents a period average
Sources: BofA Merrill Lynch Global Research; Global Wealth & Investment Management Investment Strategy Committee.
INDEX DEFINITIONS
Securities indexes assume reinvestment of all distributions and interest payments. Indexes are unmanaged and do not take into account fees or expenses. It is not possible to invest directly in an index.
Indexes are all based in dollars.
Dow Jones Industrial Average is a price-weighted measure of 30 U.S. blue-chip U.S. companies. The index covers all industries except transportation and utilities. NASDAQ Composite Index is a broad-based capitalization-weighted index of stocks in all three NASDAQ tiers: Global Select, Global Market and Capital Market. The index was developed with a base level of 100 as of February 5, 1971.
S&P 500 Index includes a representative sample of 500 leading companies in leading industries of the U.S. economy. Although the index focuses on the large-cap segment of the market, with approximately 75% coverage of U.S. equities, it is also an ideal proxy for the total market.
Purchasing Managers Index (PMI) is an indicator of economic health for manufacturing and service sectors. The purpose of the PMI is to provide information about current business conditions to company decision makers, analysts and purchasing managers.
IMPORTANT DISCLOSURES
This material was prepared by the Chief Investment Office (CIO) and is not a publication of BofA Merrill Lynch Global Research. The views expressed are those of the CIO only and are subject to change. This information should not be construed as investment advice. It is presented for information purposes only and is not intended to be either a specific offer by any Merrill Lynch or U.S. Trust entity to sell or provide, or a specific invitation for a consumer to apply for, any particular retail financial product or service that may be available. Global Wealth & Investment Management (GWIM) is a division of Bank of America Corporation. Merrill Lynch Wealth Management, Merrill Edge®, U.S. Trust, and Bank of America Merrill Lynch are affiliated sub-divisions within GWIM. The Chief Investment Office, which provides investment strategies, due diligence, portfolio construction guidance and wealth management solutions for GWIM clients, is part of the Investment Solutions Group (ISG) of GWIM.
Investing involves risk, including the possible loss of principal. No investment program is risk-free, and a systematic investing plan does not ensure a profit or protect against a loss in declining markets. Any investment plan should be subject to periodic review for changes in your individual circumstances, including changes in market conditions and your financial ability to continue purchases.
Economic or financial forecasts are inherently limited and should not be relied on as indicators of future investment performance.
It is not possible to invest directly in an index.
Asset allocation, diversification, dollar cost averaging and rebalancing do not ensure a profit or protect against loss in declining markets. Dollar cost averaging involves continual investment in securities regardless of fluctuating price levels; you should consider your willingness to continue purchasing during periods of high or low price levels.
Past performance is no guarantee of future results.
Investing in fixed-income securities may involve certain risks, including the credit quality of individual issuers, possible prepayments, market or economic developments and yields and share price fluctuations due to changes in interest rates. When interest rates go up, bond prices typically drop, and vice versa. Income from investing in municipal bonds is generally exempt from Federal and state taxes for residents of the issuing state. While the interest income is tax-exempt, any capital gains distributed are taxable to the investor. Income for some investors may be subject to the Federal Alternative Minimum Tax (AMT).
Investments focused in a certain industry may pose additional risks due to lack of diversification, industry volatility, economic turmoil, susceptibility to economic, political or regulatory risks and other sector concentration risks.
Investments in real estate securities can be subject to fluctuations in the value of the underlying properties, the effect of economic conditions on real estate values, changes in interest rates, and risks related to renting properties, such as rental defaults.
Nonfinancial assets, such as closely-held businesses, real estate, oil, gas and mineral properties, and timber, farm and ranch land, are complex in nature and involve risks including total loss of value. Special risk considerations include natural events (for example, earthquakes or fires), complex tax considerations, and lack of liquidity. Nonfinancial assets are not suitable for all investors. Always consult with your independent attorney, tax advisor, investment manager, and insurance agent for final recommendations and before changing or implementing any financial, tax, or estate planning strategy.
Investments in tangible assets are highly volatile and are speculative. There are special risks associated with an investment in commodities, including market price fluctuations, regulatory changes, interest rate changes, credit risk, economic changes, and the impact of adverse political or financial factors.
Alternative Investments such as private equity funds, can result in higher return potential but also higher loss potential. Changes in economic conditions or other circumstances may adversely affect your investments. Before you invest in alternative investments, you should consider your overall financial situation, how much money you have to invest, your need for liquidity, and your tolerance for risk.
Neither Merrill Lynch, U.S. Trust nor any of their affiliates or advisors provide legal, tax or accounting advice. You should consult your legal and/or tax advisors before making any financial decisions.
The investments discussed have varying degrees of risk. Some of the risks involved with equities include the possibility that the value of the stocks may fluctuate in response to events specific to the companies or markets, as well as economic, political or social events in the U.S. or abroad. Bonds are subject to interest rate, inflation and credit risks. Investments in high-yield bonds may be subject to greater market fluctuations and risk of loss of income and principal than securities in higher rated categories. Investments in foreign securities involve special risks, including foreign currency risk and the possibility of substantial volatility due to adverse political, economic or other developments. These risks are magnified for investments made in emerging markets. Investments in a certain industry or sector may pose additional risk due to lack of diversification and sector concentration. Investments in real estate securities can be subject to fluctuations in the value of the underlying properties, the effect of economic conditions on real estate values, changes in interest rates, and risk related to renting properties, such as rental defaults. There are special risks associated with an investment in commodities, including market price fluctuations, regulatory changes, interest rate changes, credit risk, economic changes and the impact of adverse political or financial factors. Income from investing in municipal bonds is generally exempt from federal and state taxes for residents of the issuing state. While the interest income is tax exempt, any capital gains distributed are taxable to the investor. Income for some investors may be subject to the federal alternative minimum tax (AMT).
|
VII. OPERATIONS REPORT
A. Management Team members' reports – information item
Report from State Librarian Stephanie Bailey-White
* Updates on the Telehealth and Libraries project and the new Digital Access for All Idahoans plan are included elsewhere in the agenda. Both are exciting "wins" for the library community thus far and I hope they receive Idaho legislative support.
* The ICfL hosted a second "Think Big" Forum for 15 library directors serving populations of over 10,000 on November 18. Topics included Self-Care During a Pandemic led by ICfL's Annie Gaines, Health Initiatives at Nampa Public Library, Lewiston City Library's ARPA-grant project and rooftop gallery, and barriers and benefits of library consortiums led by Portneuf District's director. Library directors were briefed on the possibility of Telehealth funding and other funding requests in front of the 2022 legislative session.
* Personnel issues and working with partners take time and attention, as usual. The "Great Recession" has led to higher turnover than normal for partners, library staff statewide, and internally.
Report from Deputy State Librarian Tammy Hawley-House
* In September we added two new members to the Library Development team. Ismael Mendoza Medina joins us as the agencies first Bilingual/Bicultural Project Coordinator. Ash Whitwell replaces Emily Sitz, serving public libraries in northern and north-eastern Idaho as a Public Library Consultant from the Boise office.
* Idaho Family Reading Week was celebrated throughout Idaho by over 100 libraries during November 8-14, 2021. Seventy-seven public and 23 school libraries participated by hosting events emphasizing the importance of daily family/caregiver reading time and its support of early childhood literacy. This year's theme "Believe & Achieve" was estimated to reach over 12,000 children. Over 4,500 books, 10,000 journals, and other resources were mailed to participating libraries, in addition to resources available on our webpage. This year we were able to offer journals in both Spanish and English. See our Idaho Family Reading Week webpage for more information.
* Ten public libraries across the state are developing partnerships to provide a small literacy center within local laundromats. These locations join three others in the state providing this service. The ICfL has provided the furniture, books, and literacy-rich resources to the following libraries:
o Boise Public Library, Main Branch
o Caldwell Public Library
o Challis Public Library
o Lewiston City Library
o
Meridian District Library
o Portneuf District Library along with Marshall Public Library
o Priest Lake District Library
1
o Twin Falls Public Library
o Valley of the Tetons District Library/Victor Branch
* The Idaho Teen Reading Challenge is a program for school and public libraries to challenge teens to read books outside of their comfort zone. During the months of October – April, teens are challenged to read eight books in eight different genres or categories. The ICfL supplies tracking sheets, punch-card bookmarks, hole punches, and other tools. The libraries provide access to books and great recommendations for new reads. This is the first year that the ICfL has offered this program and we had 46 public libraries and 38 school libraries register to participate – 84 total libraries. In May, we will hold a drawing for a gift card from the pool of teens who completed the challenge. The response from the library community has been enthusiastic so far.
* CE Consultant Annie Gaines complied the results of our annual survey for continuing education services during FY2021. Of the 34 customers responding to the survey, 77% indicated that they made changes as a result of our trainings or sponsored activities. Time and funding were listed as the main barriers to participating in ICfL events and trainings. The LIBIdaho list serve was listed as the preferred way of receiving communication, followed by direct email, and ICfL newsletters. Over 70% of respondents indicated that the ICfL website, continuing education grants, online training, and being able to contact an ICfL staff member for a one-on-one consultation were very important to them.
* New Public Library Consultant Ash Whitwell, after only one month on the job, created a tutorial for library staff guiding them through the process of applying for a DUNS number, a new requirement from the IMLS.
* It has been a pleasure and an honor to have been part of the ICfL for the past six years. I am proud of the work that our agency does in assisting libraries and would like to thank each of you for your service as a commissioner.
Report from Administrative Services Manager Jamie Smith
* FUNDING: Our mid-year budget review is underway and will help us plan for the second half of the fiscal year. Luma, the state's Enterprise Resource Planning (ERP) system for statewide unification in budget planning, financial management, procurement, payroll, and human capital management. is on track for full implementation of the Financial Management and Procurement modules by July 1, 2022. We will have a busy spring of training!
* HR: Governor Little's HR Modernization project is still underway with full implementation slated for January 2023. The org chart along with more details should be coming in the beginning of the new calendar year. HR Modernization is simultaneously running alongside Luma Payroll and Human Capital Modules which will be implemented in January of 2023 as well.
* FACILITIES: The Division of Public Works is leading a bathroom project at ICfL to install an ADA compliant bathroom in the basement and on the main floor. Work is scheduled to be completed by the end of January, 2022.
Report from Talking Book Services (TBS) Program Supervisor LeAnn Gelskey
* The TBS team continues to promote the 'Big, Bold, Blitz' working with public library "ambassadors" and nursing home/care facilities. Twelve boxes of support materials have been sent out to the initial participating public libraries from all over Idaho. Boxes were also sent to their partner facilities. Word is beginning to spread through various care facilities, and some have inquired about receiving materials too. It is our hope to be able to visit some of our sites in Spring of 2022.
* Outreach Events:
o We participated with the Idaho Commission for the Blind to reach students during the BSU Transition Institute.
o Judy Mooney attended the Baby Boomers Lifestyle Expo and worked directly with approximately 80 new or potential patrons.
* Our second virtual book club program was held in November and the title chosen by the group was A Dog Named Beautiful: A Marine, a Dog, and a Long Road Trip Home by Rob Kugler. We hope to grow interest and participation as we plan the next four quarterly discussions.
* Personnel:
o Colleen Clark, Volunteer Services Coordinator, has transferred to the Idaho Department of Labor. We wish her the best of luck in her new position.
* I attended the Association of Rural and Small Libraries (ARSL) Conference in Reno. Since the theme was 'Equity, Diversity, and Inclusion,' I learned more about removing barriers to access. I also visited the Nevada State Library which is home to the Nevada Talking Book Services. I learned so much from the staff and was very impressed by their efficient, stream-lined workflows. A tour of the Downtown Reno Library was offered so I went along. It was built during the '60s and was required to include a bomb shelter. In case you wanted to know, access is through a mock return-air screen in the reference section. It was a quite an experience. There is also a tropical forest in the building where four avocado trees thrive.
Report from E-Services Program Supervisor Dylan Baker
* In mid-August, we learned that ICfL was to be included in Phase 3 of the Governor's IT Modernization Initiative, which would eliminate Operations & Support Senior Technician David Harrell's position and replace it with our internal IT support being provided by ITS (Information Technology Services) in July at the start of FY23. Knowing this was on the horizon, David applied for and received a promotion working directly for ITS in November. As ITS is not ready to transition ICfL to full IT support until sometime in 2022, we are currently coping without dedicated IT staff. Web Developer Doug Baker and Library Technology Consultant William Lamb are assisting me with providing IT support for ICfL staff in the interim.
* After launching in November 2020, the IDEA (Idaho Digital E-book Alliance) has grown tremendously over the past year. As of November 29, 2021, IDEA has 21,832 unique titles, including 18,251 e-books and 3,581 audiobooks. 4,886 unique users have used the IDEA collection with 33,333 total checkouts. Students from 36 Idaho school districts
have checked out at least one item from the IDEA collection, with many more in the process of being connected. All the public libraries in Idaho with OverDrive access (including many that joined with support from our IMLS ARPA OverDrive funds opportunity) are sharing access to the IDEA collection and each other's collections using reciprocal lending agreements, except for Boise Public Library and Idaho Falls Public Library.
* A small team of ICfL staff led by Emerging Trends Consultant Deana Brown and I have been planning ICfL's first Digital Inclusion Summit for Idaho library staff and other partners throughout the state. The event is planned to be two virtual half-days on Wednesday, March 2 and Thursday, March 3 with keynotes, presentations, and planning occurring both days. We have already secured an opening keynote by Angela Siefer, the Executive Director of the National Digital Inclusion Alliance.
* Library Technology Consultant William Lamb, Youth Services Consultant Jennifer Redford and I provided the technical expertise needed for the two-day Idaho Library Association Annual Conference in October to be fully virtual via Zoom. I also presented two sessions at the conference, one on digital inclusion planning with Emerging Trends Consultant Deana Brown and another on maximizing library e-book collections with IDEA (the Idaho Digital E-Book Alliance).
Report from Partnerships and Program Supervisor Amelia Valasek
* ARPA "Students Learning/Adults Earning" grant – Since the August board meeting, the ARPA Learn/Earn grant team hosted a webinar for grant recipients to provide training on next steps, reporting, publicity, and other logistics required of subgrantees. In October, Amelia conducted targeted individual check-ins with the seven libraries who received grants over $100K or who were using grant funds to purchase vehicles. The purpose of these check-ins was to ensure the grantees were on track to complete their projects by August 2022 and to identify any potential setbacks or delays early on.
* Partnerships – This year the federally-funded, multi-agency workforce system under the Workforce Innovation and Opportunity Acts is required to revise and resubmit their unified statewide plan. I have been attending and contributing to these planning meetings to ensure that libraries are considered and represented as partners in the workforce system.
* Let's Talk About It – Since the last board meeting, we successfully re-launched the local LTAI program across our library network. As of the December board meeting, participating libraries have successfully carried out 10 sessions, with the bulk of the remaining sessions taking place between January and March. We are finalizing details for our virtual spring LTAI program, which will be conducted in close partnership with the Idaho Humanities Council and cross-promoted with their Connected Conversations program.
* Summer Internship Grant – Seven of the eight funded libraries wrapped up their programs in August, with one library requesting an extension into October. Overall, the program achieved its goals, and feedback from participating libraries was generally
positive. Included below are two quotes from libraries regarding the value of the program:
o "The internship gave [our children's librarian] the opportunity to garner and hone leadership and supervisory skills that will benefit the library in the future. [Our intern] brought an engaging, thoughtful and positive attitude to the internship that enhanced library patron experiences and program delivery."
o "It has been tremendously valuable to have [our intern's] perspective and insight put towards helping us determine the future direction of the library makerspace. She has encouraged us, discouraged us, and given us totally new ideas that we never would have thought of ourselves."
|
ILTON PARISH COUNCIL
SIGNIFICANT VARIATIONS - ANNUAL RETURN at 31st MARCH 2022
The explanation of the significant variations is as follows:
BOX 3 - Total Other Receipts
```
Figure in 2021 column = £104,021 Figure in 2022 column = £83,789 Variance = - £20,232 / 19.45%
```
- In the financial year to 31/3/21 the income from the Cemetery was £260; in this financial year the income was £3,177 making an increase of + £2,917.
- In this financial year there was a refund of £440 for a Playday which was cancelled making an increase of + £440.
- In this financial year the Parish Council received sponsorship money totalling £510 from local residents for Remembrance Day which was paid to the Royal British Legion, making an increase of + £510.
- In this financial year there was a grant from a local developer of £2,000 for a new war memorial, making an increase of + £2,000
- In the financial year to 31/3/21 the VAT refund was £10,277; in this financial year the VAT refund was £7,632 making a decrease of - £2,645.
- In the financial year to 31/3/21 there was a grant from the District Council of £16,621 for the construction of a Football Pitch. There were no grants from the District in this financial year. Making a decrease of - £16,621.
- In the financial year to 31/3/21 there was a CIL payment of £1,248. There were no CIL payments in this financial year, making a decrease of - £1,248.
- In the financial year to 31/3/21 bank interest was £10; this financial year it was £6 making a decrease of - £4.
- In the financial year to 31/3/21 there was a grant from the donor of the field of £75,580. In this financial year the final donation of £70,000 was made, making a decrease of - £5,580. (NOTE: When the donation of the field was made to the Parish Council it was agreed to include a donation of £210,000 to redevelop the 14 acre field as a Playing Field. This money was drawn down in instalments. The £70,000 this year was the final instalment.)
The figures above are as follows:
Total
- £ 20,231
BOX 6 - All other payments
```
Figure in 2021 column = £57,742 Figure in 2022 column = £75,198 Variance = + £17,456 / 30.23%
```
- In the financial year to 31/3/21 clerk's expenses were £419; in this financial year they were £697 making an increase of + £278 (NOTE: this increase includes the cost of running a recruitment process and buying new equipment.)
- In the financial year to 31/3/2021 insurance costs were £746; this year they were £772 making an increase of + £26
- In the financial year to 31/3/21 subscription costs were £279; this year they were £310 making an increase of + £31.
- In this financial year the Parish Council set up a new website at a cost of £138, an increase of + £138.
- In this financial year the Parish Council commissioned a War Memorial Cross at a cost of £2,978 and memorials to the serving personnel of Ilton who died in service at a cost of £681, an increase of + £3,659. (NOTE: £2,000 of the cost of the Memorial was covered by a grant from a local developer, which is shown above as extra income.)
- In this financial year the Parish Council arranged training for the new Clerk and for grass cutting volunteers at a cost of £ 2,621, an increase of + £ 2,621
- In the financial year to 31/3/2021 grants totalling £217 were made; this year grants totalling £655 were made making an increase of + £438
- In the financial year to 31/3/2021 expenditure on development of the new Playing Field was £21,459 which included a new Football Pitch; this year expenditure was £34,565 which included a new perimeter footpath, new benches, and fencing making an increase of + £ 13,106.
- In the financial year to 31/3/2021 the amount spent on electricity supply was £457; this year the cost was £546 making an increase of + £89.
- In the financial year to 31/3/2021 expenditure on the Copse Lane overspill car park was £0; this year expenditure was £50, making an increase of + £ 50.
- In the financial year to 31/3/2021 £760 was spent on litter picking in the village; this year expenditure was £1,248 reflecting the greater use of the Playing Field area, making an increase of + £ 488
- In the financial year to 31/3/2021 £398 was spent on sundries (not accounted for elsewhere); this year expenditure was £841 (which includes costs of £440 for the cancelled Playday which was refunded) making an increase of + £443
- In the financial year to 31/3/2021 £1,092 was spent on Play Equipment Inspections; this year the expenditure was £1,330 because of extra maintenance of the gym equipment, making an increase of + £238
- In the financial year to 31/3/2021 £656 was spent on maintenance of the Play Park; this year the expenditure was £2,213 because of vandalism of the fence, making an increase of + £1,557
- In the financial year to 31/3/2021 VAT costs of £ 7,487 were incurred; this year VAT costs were £ 9,258 making an increase of + £ 1,771
- In the financial year to 31/3/2021 printing costs were £274; this year they were £208, making a decrease of - £66
- In the financial year to 31/3/2021 the cost of the Ranger scheme was £3.163; this year the cost was £2,775 because some of the work of strimming and cutting hedges has been done by volunteers, making a decrease - £ 388.
- In the financial year to 31/3/2021 the amount spent onCemetery maintenance
(not including grass and hedges) was £1,052 because two trees were removed; this year the expenditure was £50, making a
decrease of- £ 1,002
- In the financial year to 31/3/2021 the amount spent on Churchyard maintenance (not including grass and hedges) was £1,500 because work was done on two trees; this year the expenditure was £890 which included more tree work, making a decrease of - £610.
- In the financial year to 31/3/2021 expenditure on external grass cutting contract was £5,298 (which was grass cutting for summer 2019); this year the cost was £4,367 (for summer 2020 grass cutting), making a decrease of - £931 (NOTE: these grass cutting costs are for a contract with the District Council. The invoice arrives in the following financial year. For 2021/22 the Parish Council has taken grass cutting in house and it is now done by volunteers and councillors.)
- In the financial year to 31/3/2021 £10,964 spent on capital grass cutting expenditure because the Council took grass cutting in-house; this year expenditure was £4,821 plus diesel costs of £544, plus maintenance and insurance costs of the tractor of £1,300, making a decrease of - £ 4,299
- In the financial year to 31/3/2021 expenditure on the maintenance of the new Playing Field was £1,021; this year expenditure was £840 making a decrease of - £181
The figures (rounded up or down) above are as follows:
+ £ 1,771
- £ 181
________
Total
+ £ 17,456
Box 7 - Balances carried forward
```
Figure in 2021 column = £ 149,659 Figure in 2022 column = £ 175,732
```
The Parish Council was given a 14 acre field on a long 299 year renewable lease, 4 years ago. It was also promised over £200,000 in grants from the donor of the field which were specifically for the development of the field, plus a number of grants under S106 from the local authority. The last of the S106 grants was received in the last financial year for the construction of the football pitch and that has now been spent on the pitch.
The money promised from the donor of the Field has been partially drawn down each year to cover the ongoing development of the Field as a Playing Field. This financial year the final £70,000 was drawn down. That money is restricted for the Playing Field development.
At the end of this financial year the council was holding £112,070 in restricted funds for the development of the Playing Field. This represents the remains of the grant from the Warren Trust for the development of the Playing Field.
It also holds £2,183.77 which is the balance of money held in the Village Plan account and is to be used for specific named projects within the village and £40.00 which is CIL money and is also restricted for specific projects within the village.
At the end of the financial year the council was holding £61,438 in unrestricted funds.
The Council is hoping to construct a skate park in the Playing Field using most of the remaining restricted grant money. To achieve this will need some fundraising because the cost has been estimated to be in the region of £160,000. Planning approval has been received for the skate park and the Council are now looking at making grant applications so that the skate park can go ahead.
Box 9 - Total Fixed Assets plus other long term investments
Figure in 2021 column = £241,072
```
Figure in 2022 column = £284,547
```
Variance = £43,475 / 18.03%
In this financial year capital expenditure totalling £34,565 was spent on the Playing Field on a new perimeter footpath, new fencing around the community gardens and new benches and dog bins, £3,659 on a War Memorial Cross and memorials to the fallen of Ilton, £4,821 on grass cutting equipment and £430 on new office equipment making a total of £43,475 of new capital expenditure..
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NOTICE OF MEETING
To be held on Monday 09 October 2017 7.30 pm Dogmersfield Primary School
AGENDA
| 97/17 | Welcome & Apologies for Absence Please note that a member of the public or person attending the Council meeting may record the meeting. Please make the Chairman and the Clerk aware of any intention to record the meeting before it commences. |
|---|---|
| 98/17 | Declaration of Interests – current agenda |
| 99/17 | Council Vacancies • To consider and vote upon application for Co-Option to fill Casual Vacancy |
| 100/17 | Public Participation |
| 101/17 | Approval of minutes of meeting held on 11th September 2017 |
| 102/17 | Matters arising from minutes of meeting held on 11th September 2017 • To include consideration of outstanding action list |
| 103/17 | Finance & Regulatory Matters • To receive and approve financial statement of account from 1st-30th September, confirming payments made in September and to authorise any payments now due • To approve to update the Bank Mandate at Lloyds and Hampshire Trust Bank to add Councillor to signing rights following co-option decision • To discuss and agree support of potential Friends of All Saints Dogmersfield Christmas event. Options include providing electrical safety certificate for tree lights at an approximate cost of £50 and confirm insurance cover for lights. • To agree to timetable the Budget setting process for 2018/19 • To schedule review of Risk Register |
| 104/17 | Planning • To report on current planning applications and confirmation of Parish Council responses |
| 105/17 | Environment and Rights of Way • To agree dates for future Lengthsman visit works • To report on progress on setting up Community Benefit Fund Management Group |
| 106/17 | Highways • To report any updates on Highways matters |
| 107/17 | Other matters to report (i) Community Liaison (ii) Training (iii) Website update (iv) Newsletter update |
| 108/17 | Crime and Disorder Act, section 17 |
|---|---|
| 109/17 | Next meeting date – November 13th |
Notes and Appendices
Appendix 1 - Proposed resolution subject to discussion
It was resolved that Brian White be co-opted to fill the Casual Vacancy as Councillor of Dogmersfield Parish Council.
Proposed
Seconded
Against
Abstain
All in favour
Appendix 2 - Proposed resolution subject to discussion
It was resolved that the minutes of the meeting held on 11 th September (83/17 to 96/17) be accepted as a true record and they were signed by the Chairperson.
Proposed
Seconded
Against
Abstain
All in favour
Appendix 3 – Proposed resolution subject to discussion
(i) It was resolved that the statement of accounts be accepted as true and correct and payments therein listed be confirmed.
Proposed
Seconded
Against
Abstain
All in favour
(ii) The payments listed below to be authorised for payment:
a) Cheque number 1038 £370.00 Helen Wright - Clerk Salary October 2017 (due 20 th month)
b) Cheque number 1039 £35.00 Information Commissioner – Data Protection Registration
Proposed
Seconded
Against
Abstain
All in favour
Minutes of the Meeting Held at Dogmersfield Primary School 11 th September 2017
Councillors present:
Members of Public present:
Cllr Geoff Beaven (GB) (CHAIRPERSON)
Cllr Jo Thomas (JT)
M Morrison (MM) S Francis (SF)
B White (BW)
B Leversha (BL)
C Smith (CS)
D Simpson (DS)
E Waller (EW)
C Waller (CW)
Cllr Alastair Clark (AC)
Cllr Mike Ricketts (MR)
CLERK: Helen Wright (HW)
| 84/17 | Declaration of Interests – Current Agenda None received. |
|---|---|
| 85/17 | Public Participation DS reported that there is currently a proposal to close up to half the tips in Hampshire, possibly reducing the opening hours of remaining tips. At the moment it is not specified which tips will be closed and a decision is awaited. EW queried when the work to the canal will be finished. AC reported that cosmetic cleaning work remains to be done, but the waterway is now fully open and the path is open for walking. It was noted that the work done so far has been excellent, and AC will provide a further update. |
EW and CW expressed concern that the holly hedge near the road at Pilcot Green North needs cutting back because it is obscuring the view when using the road. It was agreed
| 86/17 | Approval of Minutes of Meeting held on 10th July 2017 It was resolved that the minutes of the meeting held on 10th July 2017 (69/17 to 82/17) be accepted as a true record and they were signed by the Chairperson (AC proposed, GB seconded). |
|---|---|
| 87/17 | Matters Arising from Minutes of Meeting held on 10th July 2017 To include consideration of outstanding action list With consideration to the action list from 10th July, the following points were noted: 59/17 and 73/17 (replacement of post on Pilcot Green South) - this is complete although a permanent replacement post will be needed) 60/17 and 73/17 (annual staff appraisal ) – complete and covered by agenda item 89/17 62/17 and 76/17 (NHPSG grant application) - complete and covered by agenda item 90/17 63/17 (Community Benefit Fund) - ongoing and to be covered by agenda item 91/17 71/17 (removal of road signs) - complete 75/17 (Lloyds bank account admin rights) – in progress and covered by agenda item 89/17 75/17 (Horticultural Society contribution) - complete 76/17 (Vision Note) - complete and covered by agenda item 90/17 76/17 (purchase order NHPSG consultancy) - complete and covered by agenda item 90/17 77/17 (Lengthsman Agreement) - complete and covered by agenda item 91/17 |
| 88/17 | Council Vacancies To receive the report from the recruitment panel on the recruitment of a Clerk/RFO GB reported that adverts had been placed in several locations including the noticeboards and on social media, with a closing date of the end of July. A number of people requested further details and two applications were received. Both candidates were interviewed on 4th August by a panel comprising Councillors Thomas, Clark, himself and Claire Inglis. GB was pleased to confirm that Helen was successful and she accepted the |
offer. Both parties signed a contract of employment drawn up for DPC by HALC, and Helen took up the position of Parish Clerk and Responsible Finance Officer on 1 st September 2017.
To review progress on the recruitment of a Councillor
GB reported that as anticipated at the last meeting Graham Leach resigned from the Council for personal reasons on 20 th July 2017. Hart District Council were notified and, following normal procedure, notices were posted which asked residents whether they wanted this vacancy to be filled through a bye election. DPC were notified by Hart District Council on 9 th August that insufficient residents had requested an election, and the Parish Council was authorised to fill the vacancy through co-option.
A vacancy notice was placed on DPC notice boards with a closing date of 8 th September. One completed application form was received from Brian White. It was noted that Brian is a regular attendee at Parish Council meetings, taking a close interest in all matters affecting the parish, and that as a farmer he has an understanding of the rural issues that none of the other Councillors match. GB commented that Brian White has the potential to be an excellent parish Councillor. All agreed that they would like to co-opt Brian to fill the current vacancy, however it was noted that this cannot be resolved at this meeting as such a decision was not indicated in the published agenda due to timings of events. GB confirmed that he would table a formal co-option resolution at the beginning of theOctober meeting, which would allow Brian to sign the necessary forms and subsequently join the Council for the rest of that meeting.
Finance & Regulatory Matters
To receive and approve financial statements of accounts from 1 st July – 31 st August, confirming payments made in July and August, and to authorise any payments now due
It was noted that in summary the transactions in July were:
Payments: Cheques no 1032 (clerk salary £419) and 1034 (clerk expenses £52.78)
Receipts: nil
Transactions in August were:
Payments: Cheque no 1033 (clerk salary £419)
Receipts: Groundwork grant £5,285
Financial position at the end of August:
Total cash book: £23,315.89 of which £9,066.48 is ring-fenced for the Neighbourhood
Plan
89/17
GB/HW
It was resolved that the July and August financial reports be accepted as a true and correct record and the payments listed therein be confirmed (GB proposed, JT seconded and all were in favour).
It was resolved to authorise the payments listed below (AC proposed, JT seconded and all were in favour):
| Cheque no. | Payee | Payment for | Amount |
|---|---|---|---|
| 1035 | Helen Wright | September 2017 clerk salary | £370.00 |
| 1036 | Hants and IOW CRC Ltd | CPT visit 13th July | £80.00 |
To approve to update the Bank mandates at Lloyds and Hampshire Trust Bank to remove previous Clerk from administrative rights and Councillor Leach from signing rights, and to add new Clerk for administrative rights and change of address
HW confirmed that the necessary paperwork had been either signed or distributed for signing as appropriate this evening, and that she would submit it promptly.
To confirm payroll update to process leaver and add new starter
HW confirmed that the payroll has been updated and that the P45 has been submitted.
To confirm completion of the external audit process
HW confirmed that the external audit process has been completed with no issues raised.
To confirm completion of Annual Appraisal review of previous Clerk
GB confirmed that the annual appraisal process has been completed with the performance review interview held on 7 th August conducted by GB and AC. He stated that the report had been circulated to all Councillors for their approval, and if all were in agreement then he would sign it off. It was noted that all were satisfied and that no resolution was required. HW is to ask Claire Inglis to initial the signed-off version for the records.
90/17 Planning
To report on current planning applications and confirmation of Parish Council responses A large number of applications in the planning report are still dealing with the clearance of
GB/AC/MR/JT/ HW
HW
conditions associated with permissions already granted.
16/01651/OUT Netherhouse Copse - This is an outline application for 423 new houses in Hitches Lane. As already reported the developer has appealed against the Council's 'non-determination' of this application and the appeal is in the form of a public enquiry which commenced on 18 th July 2017. No information is available as yet on the outcome of the enquiry, although a Section 106 agreement has just been finalised which may be significant. If approved this will affect the Neighbourhood Plan.
16/03129/OUT Pale Lane - This application seeks outline approval for 700 new houses and some local infrastructure including a primary school and a community centre. There is nothing further to report.
16/03302/FUL NATTA Site - This application seeks change of use to create a construction training area as part of the NATTA site adjacent to the Parish Boundary. Permission has been granted which includes a number of conditions aimed to reduce the level of intrusive noise from vehicles being operated on the training area.
16/03400/OUT Cross Farm Crookham Village - This application seeks outline approval for a care village comprising approximately 100 retirement cottages and apartments and a 64 bed care home. An appeal has been lodged although no details are available regarding the form this might take.
17/00204/HOU Peasmoor House - This is an application for an extension to the existing property. The Parish Council submitted no objections. Permission has been granted.
17/00544/PREAPP Winchfield Court - This pre-application seeks guidance on a scheme to build 17 new houses adjacent to the existing development. HDC has issued its preapplication opinion which concludes that development is likely to be acceptable despite the earlier planning application being refused. A significant factor could be that development of this site was supported by the Winchfield Neighbourhood Plan.
17/0598/CON Rose Court - This application seeks to discharge the conditions associated with the granting of permission to demolish the existing office block and create a new building providing 14 apartments. The application has been granted.
17/00764/PREAPP Emilys Farm - This pre-application seeks advice on a number of new and existing agricultural buildings including retention of the mobile dwelling, permission for which expired in 2015. The Parish Council did not comment at this stage. HDC has issued its opinion which in essence concludes that all of the matters raised will require planning permission. One of the more worrying aspects of the application was the
proposal to set up a butchery and meat processing unit. From HDC's opinion it is clear that this unit already exists. HDC have urged the applicant to engage with the Parish Council and the District Councillors.
17/00772/FUL Church Lane - This is a full application for approval of 3 new houses in Church Lane with slightly different design details. The Parish Council objected as it felt that the new houses should be completed as being built rather than adding false details to make them resemble the approved designs. Permission has been granted with little discussion at the Planning Committee.
17/01034/FUL and 17/01142/FUL Schoolfield Corner - This is a re-application for the schemes comprising one 4 and one 5 bedroom houses at the front of Schoolfield Corner, and two 4 bedroom houses at the rear. The HDC Conservation Officer has commented that the proposed new houses on the front of the site are too large, and suggests that they are substituted with three 3 bedroom houses. The two houses at the rear of the site are recommended for refusal, as backfield development will be detrimental to the Dogmersfield Conservation Area. The applicant has lodged an appeal against nondetermination for the rear pair application, and GB will be drafting submissions to the inspector for consideration. GB is not sure what is happening on the front pair where a similar appeal is possible.
17/01098/PREAPP Rye Common Lane – This pre-application seeks guidance on a scheme to build a battery based energy storage facility on a greenfield site off Rye Common Lane. Exceptionally the Parish Council has submitted comments to HDC. HDC has issued an opinion although no details are available.
17/01219/FUL Chatter Alley - This is the application to build 6 new houses in Chatter Alley. The Parish Council objected and there were approximately 90 objections, with most from residents and parents of children attending the primary school.
The application was considered by the Planning Committee on 9 th August when all members were against the proposal, although some did not oppose development of the site in principle. The application was refused, because of the adverse impact on the character of Dogmersfield Village and the damage to the Conservation Area, on a majority decision.
GB understands that the school has been approached by a company called Fowler Architecture and Planning Limited, for a meeting to discuss a new design for the Fisks field. GB assumes that this company has replaced Earlsgate. They appear to be considering fewer houses and parking spaces for the school. They have not approached DPC.
GB
17/01286/HOU Forge Cottage - This recent application covers extensions to the side and rear of this locally listed building. The Parish Council has submitted no objections. Nothing to report.
17/01399/HOU Forge Cottage - This recent application proposed a double garage in the garden of this locally listed building. Permission has been refused (again) following concerns expressed by consultees regarding access and the impact on the Conservation Area.
17/01358/CON Equestrian Centre - This application seeks to discharge a condition of the granting of permission to open up the centre to users that have no association with the Four Seasons Hotel. The proposed new signage has been accepted by HDC.
17/01471/CA Double Bridge Farm - This application covered some tree work but was withdrawn.
17/01678/FUL and 17/01679/LBC Four Seasons Hotel - This application proposes some design changes to the previously approved scheme to build a children's swimming pool. Although they affect the external appearance of the building, the changes are not significant and the Parish Council has submitted no objections.
17/00722/SANGS Church Lane - This application seeks to discharge the SANG obligation for the 3 new houses in Church Lane. The submission has been accepted by HDC. The Parish Council did not respond.
17/01740/FUL Floods Farm Cottage - There have been several earlier applications to extend the existing house with the last being granted permission. This application proposes to demolish the existing house and replace it with a new house which will resemble the extended house as approved. The reason given for the new approach is that the fabric of the old house will not be suitable for the degree of extension proposed. The Parish Council has submitted no objections.
17/01869/LBC and 17/01868/FUL North Lodge - An earlier application to install some withdrawn following the submission of concerns by several consultees. A significant issue external walls, iron gates and rising bollards at the entrance to Dogmersfield Park was was the potential to obstruct the public right of way which runs between the two lodges. This application proposes a similar scheme, although with detail changes to the siting of the walls, and with wooden gates instead of metal gates whilst retaining the rising bollards. The Parish Council has objected as its earlier concerns are still not addressed by the new scheme.
16/03302/CON NATTA Site - This application seeks to discharge a condition associated with granting of permission for a training area off Rye Common Lane. The Parish Council will not be responding.
17/01945/CA Double Bridge Farm - This application seeks permission for some tree work. HDC have raised no objection and the Parish Council did not respond.
17/02018/LDC Pond House - There have been a number of recent applications associated with the work to convert a row of 5 garages into a new dwelling on land opposite Ormersfield House. This latest application requests a Lawful Development Certificate to cover the installation of gas storage and sewerage tanks, including the construction of a new access from Ormersfield Lane. The issues involved are complex and the outcome is likely to depend on the legal status of the area of land involved. Two residents most affected have submitted objections. The Parish Council concluded that it would not get involved in the legal arguments and other aspects were matters for the land owners involved.
Neighbourhood Plan Update
GB reported good progress on a number of activities as follows:
A finalised version of the Vision Note is now available on the Parish Council website. This is an important part of the evidence base for the Dogmersfield Neighbourhood Plan, and the Steering Group have gone to some lengths to ensure that it is as up-to-date as possible, is factually accurate, and provides a clear distinction between factual evidence and the opinions/suggestions put forward by RCOH.
At the last Council meeting GB advised that the Parish Council was about to submit a new grant application for £5,285 which was the outstanding balance of total government grant available and must be expended by the end of March 2018. The application process took longer than expected mainly because the administering organisation requested a new quotation from RCOH that confirmed the cost of the tasks identified in our application. Unfortunately this request coincided with the start of the holiday season, although the application was approved as soon as this document was provided.
At the last meeting it was resolved that DPC should engage consultants RCOH to provide consultancy support as described in their updated project plan (dated 19/06/17) with a Limit Of Liability (LOL) not exceeding £7,000. GB was pleased to report that the Parish Council has issued a purchase order, and this has been accepted by RCOH with a LOL of £5,500 covering a further updated project plan dated 24 th August 2017. This plan identifies RCOH tasking up to the production of a draft Neighbourhood Plan of a suitable
standard to submit to HDC. GB commented that it is a very taut plan, and that the Steering Group will need to manage the demands placed on RCOH if the Plan is to be completed within the funding available.
DPC has been notified that RCOH have changed their name and in future will be called ONEILLHOMER LTD.
The NHP funding situation is as follows based on the Parish Council's financial report for end June (VAT Ex)
Receipts Hart DC Grant £2000
Gov Grant tranche 1 £3715
Precept earmarked reserve £2000
Gov Grant tranche 2 £5285
Total £13000
Expenditure to date £3933.52
Available balance £9066.48
RCOH commitment £5500
Remaining Balance £3566.48
As the precept reserve is earmarked for a Strategic Environmental Assessment (SEA) the available balance for further commitment with RCOH/expenses/printing is £1,566.48.
At its March meeting the Steering Group endorsed a suggestion from RCOH by setting up a number of subgroups that would examine particular topics by collating evidence that is already in the public domain. These subgroups would be led by SG members with assistance from other members and from residents as needed. The subgroups were:
- Housing (Geoff Beaven)
- Design and Character (Mark Lowe, Christine Lowe, Carole-Anne Harrison)
- Community Facilities (Valery Scott)
- Environment (Geoff Beaven)
- Infrastructure (Chris Ward)
The aim was for each group to produce a draft summary report by early September, and GB was pleased to report that all of the summary reports were being circulated. The next step will be to submit these draft reports for review by RCOH. GB anticipates that the draft Neighbourhood Plan may be available around the turn of the year.
GB will email DS to enquire about the costs of the Hampshire Biodiversity Information Centre run by Hampshire County Council.
GB
92/17
Highways
| 93/17 | Other Matters to Report (i) Community Liaison Nothing to report. (ii) Training HW reported that she was awaiting confirmation from Eastleigh of availability on a two- part training course to be held in November, at an anticipated cost of £75 for both parts combined. Travel expenses would be in the region of £20. AC declared an interest due to his involvement in HALC who are the providers of the course, and therefore refrained from voting on the resolution. It was resolved to authorise expenditure of £100 for attendance at the training course (MR proposed, GB seconded and JT was in favour). (iii) Website update AC reported that he and HW have updated the website regarding Clerk contact details and the documents relating to this meeting, and will continue to update it as necessary. He asked to be kept informed as to when further information regarding the Neighbourhood Plan can be uploaded. (iv) Newsletter update GB stated that he has written to all residents with information about the Council’s vacancies as agreed at the last meeting. |
|---|---|
| 94/17 | Crime and Disorder Act, Section 17 Nothing to report. |
96/17 Information sharing
CW asked if the fruit tree located next to the phone box was dangerous. GB stated that it had only recently died probably due to fungus in the soil and was unlikely to be dangerous. A resident had offered to remove the tree which he would progress.
The meeting closed at 8.45pm
GB
Signed …………………………………………………
Date ………………………………
Signed …………………………………………………
Date ………………………………
Chairman
| Lloyds Bank Reconciliation | | | | | | | |
|---|---|---|---|---|---|---|---|
| Opening Cashbook Balance at 1st April 2017 34,809.93 Add Receipts DPC Cashbook Grant Cashbook Community Benefit Fund 13,089.05 7,285.00 0.00 Total Cashbook Receipts YTD 2017/18 20,374.05 Less Payments DPC Cashbook Grant Cashbook Community Benefit Fund (4,450.70) - (28,000.00) Total Cashbook Payments YTD 2017/8 (32,450.70) VAT adjustment ADD VAT refunded YTD on prior year expenditure - LESS VAT paid YTD on expenditure (107.39) including Grant expenditure NHP Grant/Precept Money adjustment LESS NHP Grant funds accounted for separately HDC Grant (1,781.48) net of expenses Groundwork Grant (5,285.00) net of expenses Precept Earmarked (2,000.00) net of expenses Dogmersfield Parish Council Cashbook Balance excluding Grant monies 13,559.41 HDC Grant 1,781.48 Groundwork Grant 5,285.00 PRECEPT earmarked NHP 2,000.00 Credit Balance in Cashbook after VAT adjustment including Grant Monies & Community Benefit Fund 22,625.89 Actual Bank Balance as per Lloyds Bank Statement dated 30th September 2017 22,625.89 Difference to Reconcile - Unpresented Cheques - | | | | | | | |
| CASHBOOK ENTRIES IN MONTH | | | | | | | |
| Cheque number | Date | Received From/ Payable to | Details | Receipts | | Payments | |
| | | | | Net Amount | VAT | Net Amount | VAT |
| September 2017 1035 20/09/2017 Helen Wright Clerk Salary Sept 17 1036 11/09/2017 Hants & IoW CRC Ltd CPT visit July 2017 1037 11/09/2017 BDO LLP External Audit 2016/17 Total Receipts & Payments in Month Total Receipts & Payments YTD | | | | - - - - - - - - - - 20,374.05 - | | - - 370.00 - 80.00 - 200.00 40.00 650.00 - 32,450.70 107.39 | |
| Neighbourhood Grant & Precept Monies Cash Book Receipts 06/06/2016 Hart District Council Grant received 2,000.00 24/06/2016 Groundwork Grant received 3,715.00 25/08/2017 Groundwork Grant received 5,285.00 10/04/2017 Precept Earmarked reserve 2,000.00 Total Grant / Precept receipts 13,000.00 Payments excluding VAT 2016/17 Net payment Prior year (218.52) HDC Grant 2016/17 Net payment Prior year (3,715.00) Groundwork Grant Total Grant payments ex VAT (3,933.52) Net Balance of Grants/ Precept 9,066.48 | | | | | | | |
| Hampshire Trust Bank - Community Benefit Fund Receipts 10/02/2017 Fund Monies received Chq 1030 transferred Money to Hampshire Trust Bank June 2017 28,000.00 | | | | | | | |
| Budget Area | Budget 2017/18 | Expenditure Sept 2017 | Expenditure YTD | Budget Virement in Year | Budget Balance as at at 30th September 2017 | Percentage Budget Spent | Analysis of Unbudgeted Expenditure | Committed Expenditure |
|---|---|---|---|---|---|---|---|---|
| Internal operations | | | | | | | | |
| Parish Clerk | 5,028.00 | 370.00 | 2,465.00 | | 2,563.00 | 49.03% | | |
| Subscriptions | 788.00 | 0.00 | 729.00 | | 59.00 | 92.51% | | |
| Meeting costs | 400.00 | 0.00 | 275.00 | | 125.00 | 68.75% | | |
| Training | 250.00 | 0.00 | 0.00 | | 250.00 | 0.00% | | £ 100.00 |
| Admin consumables | 300.00 | 0.00 | 153.25 | | 146.75 | 51.08% | | |
| IT Upgrade | 500.00 | 0.00 | 0.00 | | 500.00 | 0.00% | | |
| Website | 150.00 | 0.00 | 0.00 | | 150.00 | 0.00% | | |
| Parish insurance | 300.00 | 0.00 | 288.46 | | 11.54 | 96.15% | | |
| Audit of accounts | 160.00 | 200.00 | 435.00 | 275.00 | 0.00 | 271.88% | | |
| Election contingency | 1,200.00 | 0.00 | 0.00 | | 1,200.00 | 0.00% | | |
| Total Internal Operation Budget 2017/18 9,076.00 570.00 4,345.71 275.00 5,005.29 | | | | | | 47.88% | | |
| Service delivery | | | | | | | | |
| Village maintenance | 3,800.00 | 80.00 | 104.99 | | 3,695.01 | 2.76% | | |
| Lengthsman Costs | 1,000.00 | 0.00 | 0.00 | | 1,000.00 | 0.00% | | |
| Neighbourhood Plan | 0.00 | 0.00 | 0.00 | | 0.00 | 0.00% | | |
| Project work to benefit the community | 0.00 | 0.00 | 0.00 | | 0.00 | 0.00% | | |
| Total Service Delivery Budget 2017/18 4,800.00 80.00 104.99 0.00 4,695.01 | | | | | | 2.19% | | |
| Budget Contingency 2017/18 | | | | | | | | |
| Contingency | 500.00 | | 0.00 | (275.00) | 225.00 | 0.00% | | |
| Total Budget Expenditure 2017/18 14,376.00 650.00 4,450.70 0.00 9,925.30 | | | | | | 30.96% | | |
| Application No | Date Valid | Date Due | Description | HDC Status |
|---|---|---|---|---|
| 17/02079/LBC | Thu 14 Sep 2017 | 10 Oct 2017 | Thatched Cottage Church Lane Dogmersfield Hook Hampshire RG27 8SZ First floor side extension and internal works to 1960s garage block | Registered |
| 17/02078/HOU | Thu 14 Sep 2017 | 10 Oct 2017 | Thatched Cottage Church Lane Dogmersfield Hook Hampshire RG27 8SZ Roof addition to accommodate enlarged first floor, internal re-configuraton and alterations/additions to existing fenestration | Registered |
| 17/02018/LDC | Wed 16 Aug 2017 | Not Available | Pond House Church Lane Dogmersfield Hook Hampshire RG27 8TA Installation of an underground calor gas tank and a klargester sewage treatment plant, including access there to for the purposes of instillation maintenance and permanent use. Hedge planting hard standing and gates. | Registered |
| 16/03302/CON | Thu 03 Aug 2017 | Not Available | Natta Building Co Rose Court Rye Common Lane Crondall Farnham Surrey GU10 5DD Discharge of conditions 5- noise management plan- and 9- details of groundworks- pursuant to 16/03302/FUL Change of use of the land and building as an expansion of the Construction Training Centre at "Rose Court"; including remodelling of the land and provision of associated hardstanding areas | Condition Discharged |
| 17/01868/FUL | Thu 10 Aug 2017 | 7 September 2017 | North Lodge Farnham Road Odiham Hook RG29 1HR Construction of new boundary wall between lodges with new entrance gates and gateposts. | Registered |
| 17/01869/LBC | Thu 10 Aug 2017 | 7 September 2017 | North Lodge Farnham Road Odiham Hook RG29 1HR Construction of new boundary wall between lodges with new entrance gates and gateposts. | Registered |
| 17/01740/FUL | Fri 14 Jul 2017 | 16 August 2017 | Floods Farm Cottage Chalky Lane Dogmersfield Hook Hampshire RG27 8TD Replacement dwelling and relocated driveway | Grant |
| 17/01679/LBC | Fri 07 Jul 2017 | 14 August 2017 | Four Seasons Hotel Dogmersfield Park Chalky Lane Dogmersfield Hook RG27 8TD Erection of Children's Swimming Pool Building, Plant Room, Alterations to Existing Building and Associated Landscaping (Revisions to approved scheme) | Registered |
| 17/01678/FUL | Fri 07 Jul 2017 | 14 August 2017 | Four Seasons Hotel Dogmersfield Park Chalky Lane Dogmersfield Hook RG27 8TD Erection of Children's Swimming Pool Building, Plant Room, Alterations to Existing Building and Associated Landscaping (Revisions to approved scheme) | Registered |
| 17/01286/HOU | Tue 30 May 2017 | 29 June2017 | Forge Cottage Church Lane Dogmersfield Hook Hampshire RG27 8SZ Erection of a first floor rear extension together with single-storey rear/ side extension | Registered |
| 17/01142/FUL | Wed 17 May 2017 | 14 June 2017 | Schoolfield Corner Church Lane Dogmersfield Hook Hampshire Erection of 2no. 4-bed houses | Appeal lodged |
| 17/01098/PREAPP | Tue 09 May 2017 | Not Available | Rye Common Lane Crondall Farnham Surrey Energy storage facility | Opinion Issued |
| 17/01034/FUL | Tue 02 May | 5 June 2017 | Schoolfield Corner Church Lane Dogmersfield Hook Hampshire | Registered |
| Application No | Date Valid | Date Due | Description | HDC Status |
|---|---|---|---|---|
| | 2017 | | Erection of 1no. 4-bed house and 1no. 5 bed house | |
| 17/00764/PREAPP | Mon 10 Apr 2017 | Not Available | Emilys Farm Rye Common Odiham Hook Hampshire RG29 1HT Pre- application advice for an agricultural workers dwelling and additional buildings | Opinion Issued |
| 16/03400/OUT | Fri 06 Jan 2017 | Mon 06 Feb 2017 | Cross Farm House Crondall Road Crookham Village Fleet GU51 5SS Hybrid application for the construction of a 160 unit Care Village incorporating a 64-bed Care Home (Use Class C2) and central facilities building, together with associated vehicular and pedestrian accesses, junction improvements, estate roads, parking areas and garages, footpaths/cycleways and landscape works, with full details of change of use of agricultural land and woodland to provide an area of public open space (Site of Accessible Natural Greenspace (SANG)) and means of access to the site. | Appeal Withdrawn |
| 16/03129/OUT | Mon 21 Nov 2016 | Wed 11 Jan 2017 | Pale Lane Farm Pale Lane Hartley Wintney Hook Hampshire RG27 8BA Outline application for the development of up to 700 residential dwellings, site for primary school and local centre, together with associated vehicular, pedestrian and cycle access, drainage, landscape works and provision of general open space. | Awaiting Decision |
| 16/01651/OUT | Fri 24 Jun 2016 | Wed 03 Aug 2016 | Land North Of Netherhouse Copse Hitches Lane Fleet Hampshire Outline application for up to 423 residential dwellings and a community facility. Associated vehicular, pedestrian and cycle access, drainage and landscape works, including provision of public open space and sports pitches. Provision of country park/SANG as an extension to Edenbrook Country Park. | Awaiting Appeal Decision |
|
1. DEFINITIONS
"3G" means Universal Mobile Telecommunications System (UMTS) and is a network used for both voice and data services.
"End-User Licensed Software" means any software identified as being for installation and use on the server in conjunction with the Device provided with the Service.
"APN" means the access point name given to the unique point (or points) at which the Customer Network or a public network such as the Internet may connect with the Network.
"BES" Express Software" means the software known as the Blackberry Enterprise Server Express software available to download to the Customer's Microsoft Exchange Server.
"BES Software" means the software known as the BlackBerry Enterprise Server software provided with the Service.
"BIS" means BlackBerry Internet Service, a BlackBerry product.
"BPS" means the software known as the BlackBerry Professional Software provided with the Service.
"BT Mobile Data" means the service that enables the Customer to send and receive data over GPRS, 3G and HSDPA networks.
"BT Openzone" means BT's wireless data service that uses radio frequency to access a BT Site. Fixed line connections from the BT Site connect the Customer to the BT Network and then on to the internet or, if applicable, the Customer Network.
"BT Openzone Web Page" means www.bt.com/openzone or such other url as BT may advise.
"BT Site" means each physical location of the radio access points operated by BT offering BT Openzone. The locations of BT Sites can be found on the BT Openzone Web Page.
"CAL" means Client Access Licence specific to BlackBerry Enterprise Server and BPS.
"Customer Network" means the Customer's communications network including its LAN and any intranet services.
"DDI" means Direct Dial Inwards.
"Fixed Link" means a dedicated link (whether a private leased circuit or otherwise) between the Customer's network and the Network.
"GPRS" means General Packet Radio Service for the transmission of data.
"HSDPA" means High Speed Downlink Packet Access a protocol for networks based on the Universal Mobile Telecommunications System for the transmission of data.
"IMAP4" means Internet Message Access Protocol version 4 a method of accessing electronic mail kept on a mail server.
"Indirect Access" means an indirect PSTN connection between the Customer's network and the Network.
"MMS" means Multi Media Messaging Service.
"Openzone Network" means BT's communications network used to provide BT Openzone from the BT Site to the internet or, if applicable, the Customer Network.
"PABX" means Private Automatic Branch Exchange.
"POP3" means Post Office Protocol Version 3 a method of accessing electronic mail kept on a mail server.
"PSTN" means Public Services Telephone Network.
"Roaming" means minutes use of the Service where access is provided via an alternative wireless data service and where BT has an agreement with the alternative wireless data service provider for such access.
"Slingbox" means a TV streaming device enabling the Customer to remotely view cable, satellite, or personal video recordings via the Internet.
"SMS" means Short Messaging Service.
Page 1 of 10
Conditions for Business Mobile Services Service Schedule for Voice, Business Circle, Business Circle Complete, Data,
BlackBerry Services, BT Signal Assist
"Video Call" means the ability for the caller and call recipient to see and hear each other.
"Video Messaging" the ability to send and receive a video clip.
"VOIP" means Voice Over Internet Protocol and is the transmission of voice traffic over a wide area network or the Internet using the IP signalling standard.
"WAP" means Wireless Access Protocol.
2. GENERAL SERVICE CONDITIONS
The Service includes the supply of a SIM Card for each connection to the Service and any Devices described in the Charges Schedule.
BT will allocate mobile telephone numbers for the use of the Service. These numbers may only be transferred to another mobile service provider in accordance with prevailing industry rules and processes.
BT will provide a helpdesk for the Customer to report faults and seek assistance with the Service. The helpdesk will be available Monday to Friday 0830 - 1730 (excluding Public and Bank Holidays). Outside these hours a helpdesk is available for reporting lost and stolen SIM Cards and/or Devices or for questions concerning the availability of the Service.
3. SERVICE OPTIONS
3.1 Voice Service
The Service uses certain wireless technology to enable the Customer to make and receive voice calls and Video Calls and send or receive information (including messaging services such as SMS, Video Messaging or MMS or e-mail or accessing information from the Internet). In order to make a Video Call, the caller and call recipient must each have a 3G SIM Card, a video enabled Device and both parties must be in a 3G coverage area during the call. A Video Call will terminate if the caller or call recipient moves out of the 3G coverage area. Coverage area maps are available on www.bt.com or such other websites as may replace it.
3.2 Business Circle and Business Circle Complete
(a) Business Circle and Business Circle Complete are optional additions to voice service.
(b) The Customer must:
(i) pay BT's charges (as described in the Charges Schedule);
(ii) provide any PSTN numbers included in the Customer's dial plan. The PSTN numbers included in the Customer's dial plan must belong to and be paid for by the Customer and at BT's request the Customer must provide evidence of this;
(iii) provide any further information that may be required by BT to configure and implement the Service.
Business Circle Complete
(a) The following paragraphs apply to Business Circle Complete.
(b) Unless specified otherwise, the following are included in the monthly subscription charge for Business Circle Complete:
(i) the inclusive data allowance per connection as detailed in the Charges Schedule. The Customer may in return for an additional monthly subscription charge benefit from an additional data allowance. Details of the additional monthly subscription charge and the data allowance are set out in the Charges Schedule. Data usage above the inclusive data allowance and, if applicable, the additional data allowance is chargeable at BT's standard applicable rate as detailed in the Charges Schedule.
(ii) Unlimited SMS package is an optional extra applied to all connections provided under this Contract unless upon the Customer's request unlimited SMS is removed from all connections. A monthly subscription applies to all connections as detailed in the Charges Schedule. The package
provides unlimited SMS usage in the UK only, does not include international, roaming and premium rate SMS and is subject to BT's reasonable use policy as set out below. The monthly subscription per connection applies for a minimum period of three months and the Customer can add or remove the unlimited SMS package a maximum of three times during any 12 month period. Where the unlimited SMS package is removed, SMS usage will be charged at the standard applicable Business Circle Complete per message charge.
(iii) unlimited voice calls made in the UK made from the Customer's BT mobiles to: another of the Customer's BT mobiles and to a maximum of 10 nominated UK fixed line numbers (UK PSTN numbers) which the Customer has with BT commencing with 01, 02, and 03 and unlimited voice mail retrievals from the Customer's BT mobiles, all at no extra cost (subject to BT's reasonable use policy as set out below). Other calls are charged at the standard applicable Business Circle Complete pence per minute rate The dial plan agreed under the Contract is restricted, allowing no more than 10 PSTN numbers.
(c) Business Circle Complete is available on mobile connections with Blackberry Internet Service (with or without Satellite Navigation). Where the Customer takes a Blackberry Internet Service (with or without Satellite Navigation) Device, the Business Circle Complete monthly subscription charge will be increased accordingly as detailed in the Charges Schedule.
(d) The Service tariffs described in paragraphs (b) (i) to (iii) are available on the basis of reasonable business use which is expected to be:
(i) for voice calls - below 10,000 minutes per connection per month (UK originated calls); and
(ii) for SMS - below 3,000 texts per month per subscription (UK originated texts only and excluding premium rate numbers).
(e) If the Customer's usage exceeds the above reasonable business use parameters BT may:
(i) monitor and investigate the Customer's usage; and
(ii) suspend and/or withdraw the Service from any individual SIM Card, or all SIM Cards.
BT reserves the right to modify the above classification of reasonable business use on 28 days written notice.
Business Circle
(a) Business Circle provides a reduction to the standard charges for calls in the UK made from the Customer's BT mobiles to:
(i) another of the Customer's BT mobiles; and
(ii) a maximum of 10 nominated UK fixed line numbers (UK PSTN numbers) commencing with 01, 02, and 03 and unlimited voice mail retrievals from the Customer's BT mobiles.
The charges are as set out in the Charges Schedule.
3.3 Business Circle Complete with Indirect Access, Business Circle with Fixed Links and/or Business Circle with Indirect Access
(a) The following paragraphs apply in addition to those in paragraph 3.2.
(b) Business Circle Complete with Indirect Access, Business Circle with Fixed Links and/or Business Circle with Indirect Access are optional additions to voice service which enable the Customer to use connections to the Service as a part of the Customer's virtual private network and which are available on Contracts for which the Customer placed an order for them prior to the 2 nd December 2013.
(c) The Customer must pay BT's charges (as described in the Charges Schedule) including charges for any additional equipment which may be required for the provision of Business Circle or Business Circle Complete.
the standard applicable Business Circle Complete pence per minute rate The dial plan agreed under the Contract is restricted, allowing no more than 10 PSTN numbers and 500 DDI numbers to be nominated;
(d) In order for BT to provide Business Circle with Fixed Links and/or Indirect Access or Business Circle Complete with Indirect Access the Customer must:
(i) have a suitable PABX and associated network services;
(ii) select extension numbers for the Devices;
(iii) arrange with its PABX maintainer or Centrex supplier to build the "extension" numbers into the Customer's dial plan.
(iv) comply with any requirements set out in the Application for Service (AFS) Form for Fixed Links and Indirect Access.
Business Circle Complete with Indirect Access
(a) The following paragraphs apply to Business Circle Complete with Indirect Access.
(b) The Business Circle Complete with Indirect Access monthly subscription includes:
(i) one primary link and up to 10 secondary links;
(ii) up to 50,000 number entries in the dial plan; and
(iii) unlimited dial plan in-life moves and changes.
(c) Unless specified otherwise, the following are included in the monthly subscription charge for Business Circle Complete with Indirect Access:
(i) in addition to the 10 nominated fixed line numbers the Customer can nominate up to 500 DDI which can be included within the unlimited voice calls made in the UK. Other calls are charged at
(ii) the minimum number of connections is 40. Unlimited intragroup calls are included in the office-to-mobile direction, the mobile-to-mobile direction and the mobile-to-nominated fixed line numbers direction, all at no extra cost (subject to BT's reasonable use policy set out below). The dial plan agreed under the Contract is restricted, allowing no more than 50,000 number entries to the dial plan.
(d) All services relating to PABX programming do not form part of this Contract and must be paid by the Customer separately.
3.4 BT Mobile Data Services (excluding BlackBerry Enterprise/ BlackBerry Professional BlackBerry Internet Service (with or without Satellite Navigation)) and Blackberry Internet Service with Blackberry Enterprise Server Express.
The Service uses certain wireless technology to enable the Customer to connect compatible equipment to send and receive data.
The Service includes the supply by BT of a SIM Card for each connection and any Devices described in the Charges Schedule.
As part of the Service, BT will provide the Customer with a generic APN for access to the Internet and public WAP services. The APN is provided as standard with a SIM Card. The Customer may apply for a unique APN for its sole use which is available subject to completion of the applicable Technical Requirements Specification form. The Customer must pay for the unique APN as described in the Charges Schedule.
As an optional addition to the Service, the Customer may connect using a dedicated link between the Customer's network and the Network ("Fixed Data Link"). Charges for the provision of the Fixed Data Link and any
Conditions for Business Mobile Services Service Schedule for Voice, Business Circle, Business Circle Complete, Data,
BlackBerry Services, BT Signal Assist
additional equipment required are as described in the Charges Schedule.
In order for BT to provide the Service with a Fixed Data Link and/or other services, the Customer must:
(a) have a suitable network and associated network services to support the installation of the Fixed Data Link and the network terminating equipment;
(b) provide IT support and any information that may reasonably be required by BT to configure and implement the Service; and
(c) comply with any requirements set out in the applicable Technical Requirements Specification form.
Data Services may not be used for:
(a) Instant Messaging;
(b) IP Telephony;
(c) VOIP;
(d) Video and Television streaming; or
(e) In conjunction with a Slingbox.
Reasonable Business Use Policy:
BT Mobile Data Services may only be made available subject to the Customer's acceptance of a reasonable business use policy as set out in the Charges Schedule. If the Customer's usage exceeds the specified parameters for reasonable business use BT may:
(a) monitor and investigate the Customer's usage; and
(b) suspend and/or withdraw the Service from any individual SIM Card, or all
SIM Cards; and/or
(c) transfer the data connection to a tariff more appropriate to the Customer's usage. and /or
(d) if applicable, charge for excess usage in accordance with the reasonable business use policy set out in the Charges Schedule
3.5 BlackBerry Enterprise Server and BlackBerry Professional Software
The Service uses certain wireless technology to enable the Customer to send and receive data including email by means of the Device. The Service is provided over a GPRS or 3G data connection and operates with Microsoft Exchange, IBM Lotus Domino or Novell Groupwise email servers.
BPS is only available with Microsoft Exchange and IBM Lotus Domino email systems.
The Service comprises GPRS airtime and a SIM Card, BES Software or BPS Software, a BlackBerry Device, End-User Licensed Software, a Client Access License ("CAL") and accessories.
Subject to the capability of the Customer's equipment or the Device used with the Service and the Sim Card, voice service may also be available with the Service.
Customer responsibilities:
Unless otherwise specified in the Blackberry Enterprise Server Install Service detailed below and the Customer contracts for that Service, the Customer is responsible for:
(a) providing a server configured for the use of the BES Software or the BPS. The server must comply with the relevant specifications. published on the following url, or such other urls as may be advised by BT. Details of product information, minimum specification, and technical information can be found at www.blackberry.com;
(b) installing the BES Software or BPS Software on the Customer's servers;
(c) providing suitably qualified personnel to integrate the Service with the Customer's email system and firewall and to configure BES Software or BPS Software on the Devices or other Customer equipment used with the Service. The firewall must be configured to allow the server on which the BES Software or BPS Software is installed to initiate outbound TCP/IP connections to an outside server listening on port 3101;
(d) providing sufficient bandwidth to enable successful transmission between the Customer's network and
the Internet, and a suitable email system for use with the Service;
(e) ensuring password protection is used with every connection to the Service. BT will not be liable for any losses due to the Customer failing to invoke password protection. The Customer acknowledges that text messages and emails are retained on the Device even when it is turned off or the SIM Card is removed from it. A SIM Card provided with a Device is linked to that Device and must not be transferred to any other Device;
(f) providing trained staff to support the use of the Service;
(g) any encryption of data transmitted between the Customer's BES Software or BPS Software and the Device or the Customer's equipment. If a relevant authority in pursuance of powers under the applicable law requires sight of any data the Customer will provide unencrypted data to the requesting authority;
(h) ensuring the use of the Device and any software (including any End-User Licensed Software) in accordance with any licence or user guide or other reasonable instruction of any manufacturer or supplier or BT; and
(i) ensuring that each end user of the Service has a CAL. The BES Software includes 20 free CALs. The BPS includes 5 CALs or 10 CALs dependent upon the software ordered.
(j) For BPS there is a maximum of 30 users.
Usage Limitations and Export Control:
The Customer agrees that:
(a) it will use the Device only for the purposes of allowing its employees to send, receive, store and process data and voice services;
(b) the Device will not be used for any purpose connected with chemical, biological or nuclear weapons, or missiles capable of delivering such weapons;
(c) the Device will not be re-exported or otherwise re-sold or transferred if it is known or suspected that it is intended or likely to be used for the purpose set out in paragraph (b) above;
(d) the Device will not be used in any nuclear explosive activity or unsafe guarded nuclear fuel cycle activity; and
(e) it will sign a formal 'End-User Undertaking' in a format specified by the United Kingdom Department of Trade and Industry if required by law or regulation.
Software:
BES Software or BPS is required for use with the Service.
The use of BES Software and BPS Software and End-User Licensed Software by the Customer will be subject to a separate agreement with the licensor of the software which may take the form of a 'click-wrap' or 'shrink wrap' licence agreement and which will take precedence over the terms of the Contract. Acceptance of the BES, BPS and End-User Licensed Software by the Customer is also indicated by the Customer's installation and use of the software.
Upgrades and updates of the BES Software, BPS and End-User Licensed Software may be subject to additional charges.
BlackBerry Enterprise Server Install Service
The Service includes one visit to the Site to install the BES Software on a server and configure up to two handsets for use with BES Software. The Customer acknowledges and agrees that BT may be unable to configure handsets not supplied by BT as part of the provision of BlackBerry Enterprise Server.
BT will, during the visit, provide one training session for a maximum number of five people. The training will be for one hour unless a different period is agreed and will cover either configuration of BES Software or the use of a handset with BES Software as appropriate.
BT will arrange an appointment for the provision of the Service. Appointment times
will be between 10.00 – 16.00 hrs Monday to
Friday excluding public and bank holidays. BT will use its reasonable endeavours to arrange to attend the Site on the day and at the time agreed with the Customer however, the Customer acknowledges and agrees that delays may occur or the appointment may need to be re-scheduled due to operational or other matters.
The Customer is responsible for:
(a) completing the Pre-Installation Checklist supplied by BT;
(b) complying with any minimum technical requirements set out at http://na.blackberry.com/eng/support/s oftware/server.jsp; and
(c) backing-up any data prior to commencement of the Service.
Charges
BT reserves the right to raise additional charges if BT is unable to gain access to the Site at the time of the appointment or if additional time is required to complete any activities as a result of any act or omission on the part of the Customer.
3.6 Blackberry Internet Service (with or without Satellite Navigation)
The Service uses certain wireless technology to enable the Customer to send and receive data including email, and Instant Messaging by means of the Device and provides 6MB data usage allowance per connection in addition to the 3MB inclusive data allowance provided with a standard Business Circle Complete connection. It is provided over a GPRS connection and operates with POP3 and IMAP4 enabled mailboxes. The Customer can also browse the Internet using the BlackBerry web browser and Internet access.
The Service comprises a GPRS connection and SIM Card.
In addition to the above, BlackBerry Internet Service with Satellite Navigation includes a GPS Receiver and the Service provides satellite navigation service by means of software accessed via a web portal.
For BlackBerry Internet Service with Voice no separate voice Device is provided.
The Customer is responsible for:
(a) ensuring that it has a suitable POP3 or IMAP4 enabled mailbox for the Device to access;
(b) ensuring that password protection is used with every connection to the Service. BT will not be liable for any losses due to not invoking password protection. The Customer acknowledges that text messages and emails are retained on the Device even when it is turned off or the SIM Card removed. A SIM Card provided with a Device is linked to that Device and transfer to any other BlackBerry Device has to be undertaken at www.bt.blackberry.com or such other website as BT may notify from time to time;
(c) ensuring that it has a suitable Instant Messaging (IM) account for the use of IM on the Device;
(d) checking with its Internet Service Provider (ISP) whether the Device may be used with that ISP's services and whether any limitations or restrictions apply.
The Customer agrees that:
(a) it will use the Device only for the purposes of sending, receiving, storing and processing data and voice services;
(b) the Device will not be used for any purpose connected with chemical, biological or nuclear weapons, or missiles capable of delivering such weapons;
(c) the Device will not be re-exported or otherwise re-sold or transferred if it is known or suspected that it is intended or likely to be used for the purpose set out in paragraph (b) above;
(d) the Device will not be used in any nuclear explosive activity or unsafe guarded nuclear fuel cycle activity; and
(e) it will sign a formal "End-User Undertaking" in a format specified by the United Kingdom Department of
Trade and Industry if required by law or regulation.
(a) is only available to customers who have BT BIS;
Software:
Where software is provided to enable the Customer to use the BlackBerry Internet Service with Satellite Navigation, BT grants the Customer a non-exclusive, nontransferable licence to use the software for that purpose. The Customer agrees that;
(a) it will not without BT prior written consent, copy, decompile or modify the software, nor copy the manuals or documentation (except as permitted by law);
(b) it will sign any agreement reasonably required by the owner of the copyright in the software to protect the owner of the copyright in the software to protect the owner's interest in that software;
(c) by installing or using the satellite navigation software the Customer agrees to the owner's software licence terms which may take the form of a 'click-wrap' or 'shrink wrap' licence agreement and which will take precedence over the terms of the Contract; and
(d) all data stored in the web portal of the Customer's satellite navigation is stored at the Customer's own risk and that such data must be removed by the Customer if instructed by BT.
3.7 Blackberry Enterprise Server Express – Managed Service
BES Express software provides advanced BlackBerry Smartphone features with no additional software or user licence fees. It is available to be downloaded by the Customer and works with a Blackberry Smartphone provisioned with any internet-enabled Blackberry consumer data plan, Blackberry Enterprise data plan or combination of both.
BES Express - Managed Service provides BIS customers with full email, calendar and contacts wireless synchronisation, security policies and BT Support
The Service:
(b) needs a Microsoft Exchange server to use the service;
(c) supports up to 75 Smartphone users. For more than 75 users a separate Microsoft Exchange server would be required; and
(d) is provided without warranty of any kind, whether express or implied, including, but not limited to, the implied warranties or conditions of merchantability and fitness for a particular purpose, title, noninfringement, security or accuracy, except as may be expressly provided by the service supplier.
(e) BT Support is a telephone support service available Monday to Friday 8:30am – 5:30pm (excluding public and bank holidays) or via email at email@example.com at any time.
Upon termination of the BIS service, support for BES Express will no longer be supported under this Contract.
Further technical information, system requirements and specifications can be found at www.blackberry.com/besexpress.
3.8 BT Signal Assist
BT Signal Assist enhances the Network signal indoors within the Customer's premises by means of a Device that plugs into the Customer's broadband line. Each Device can have up to 32 SIM Cards registered to it.
The Device:
(a) is only compatible with the Network and cannot be used with other telecommunication networks;
(b) must only be used in the United Kingdom and in accordance with the guidelines, instructions and other specifications provided with the Device or as may be provided by BT from time to time;
(c) supports up to 4 concurrent voice calls or data sessions or a mix of the two;
(d) requires broadband speeds of at least 1 Mbps. As the Device is dependent on the broadband connection, interruptions affecting the Customer's broadband or power will impact the operation of the Device;
(e) requires a compatible 3G mobile handset.
From time to time BT may access the Device remotely in order to provide the Customer with updates to the Device.
The Customer will be automatically disconnected from the Service upon the ending of the Customer's contract for access to the Network. In the event this occurs within the Minimum Period the Customer may be liable for termination charges as set out in the Charges Schedule.
BT reserves the right to disconnect the Device if it becomes permanently incompatible with the Network. Such disconnection will not result in termination charges being applied to the Customer.
The Customer is responsible for:
(a) installation of the Device in accordance with the documentation provided with the Device;
(b) registering SIM Cards to the Device in accordance with instructions provided with the Device;
(c) ensuring that it has broadband that is compatible with the Device. In addition to the speed limitations set out above, functionality of the Device may be impacted by modems or other systems used by broadband providers other than BT.
It is a condition of the Service that the Customer must provide BT with details of the location of the Device and keep BT updated with any changes to its location.
The Customer must notify BT if the Device is lost or stolen or if it believes that the Device or the Service is being used for fraudulent or illegal purposes.
The Operational Service Date for BT Signal Assist will be the date the Order Form is signed by both parties. This applies irrespective of when the Customer starts to use BT Signal Assist.
Emergency Calls
The ability to make 999 or 112 emergency calls using BT Signal Assist cannot be guaranteed. Emergency calls may fail if there is a power failure, broadband connection failure or some other service disruption. If the Customer uses BT Signal Assist to make an emergency call, the location details available to the emergency services will be the postcode registered by the Customer for the Device, which may not provide a specific address to identify the location from which the call originated. Wherever possible, alternative arrangements should be made to make emergency calls and a primary telephone line maintained.
3.9 BT Openzone
Where the Service includes BT Openzone, the following additional paragraphs apply:
(a) BT Openzone includes connection to the Openzone Network and if required the internet, but does not include a connection from the Openzone Network to any Customer Network or any services once the Customer is connected to the internet.
(b) When a Customer is located within the radio frequency coverage area of a BT Site the Customer may connect to BT Openzone using its computing equipment and login name and password.
(c) BT Openzone cannot be accessed via any other wireless data service (WiFi) operator.
(d) The Service is dependent on the suitability of the Customer's computing equipment and, if applicable, the Customer Network. The Customer's computing equipment or the Customer Network is not provided as part of this Service.
(e) BT does not authorise or guarantee access to any of the BT Sites for the Customer to use the Service or guarantee that Service will continue to be available from a specific BT Site.
(f) Due to the nature of the Service the Customer acknowledges and accepts that BT does not guarantee the security of the Service against unlawful access or use. The Customer should also ensure adequate internal security policies are implemented to stop unlawful access to or use of the Service.
(g) Existing BT Openzone users subscribing to the Service will require new login names and passwords.
(h) Charges for Roaming will be charged separately at the prevailing rates.
4. GENERAL
4.1 BT may bar certain numbers from the Service on a temporary or permanent basis where in BT's reasonable opinion it is necessary to do so, or BT may reduce the number and length of voice and text messages left on the Customer's message service.
4.2 BT will allocate a number for the use of a Device or any device on the Network. The number belongs to BT and may only be transferred to another service provider with BT's consent.
4.3 If the Customer uses the Service or a Device abroad the Customer will be charged for incoming calls. International roaming calls may take longer to be billed.
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REGULAR MEETING OF THE EATONTOWN ZONING BOARD OF ADJUSTMENT April 24, 2023 – Regular Meeting
Call to Order
Chairman East called this in-person meeting to order at 7:00 p.m. and announced that the meeting had been advertised in accordance with the Open Public Meetings Act and had been noticed in the Asbury Park Press and the Star Ledger and a copy of the agenda for this meeting has been posted on the bulletin board in Borough Hall, and on the Borough website.
Roll Call
Members Present: Chairman East, Mr. Granata, Mr. Liszanckie, Mr. Anderson, Mr. Gilmore, Ms. Faccone Absent: Vice-Chair Faust, Mr. Mednick
Also present: Marc Leckstein, Board Attorney, Ed Herrman , Board Engineer, McKinley Mertz, Board Planner and Colleen Matthews, Board Secretary;
Approval of Minutes
Motion is made by Mr. Liszanckie and seconded by Ms. Faccone to accept the minutes of March 13, 2023.
Ayes: Mr. Liszanckie, Ms. Faccone, Ch. East, Mr. Anderson, Mr. Gilmore
Nays: None
Not eligible: VC Faust, Mr. Mednick
Resolutions to be Memorialized
ZB 2022-25
Antonio Goncalves de Oliveira Jr.
30 Victor Place, Block 1605 lot 5
Motion is made by Mr. Liszanckie and seconded by Mr. Anderson to memorialize this resolution.
Ayes: Mr. Liszanckie, Mr. Anderson, Ch. East, Mr. Granata, Mr. Gilmore, Ms. Faccone
Nays: None
Absent: VC Faust, Mr. Mednick
Old Business
ZB 2022-24 DeMarzo, John & Stephanie
6 Taylor Place, Block 401 lot 121
Applicant started replacing front porch without proper approvals. During review, the following existing variances were noted:
1. This property is an existing non-conforming lot, 4819 sf whereas 10,000 sf is required;
2. Existing lot width 50', whereas 75' is required;
3. Principle dwelling existing rear yard setback 27', required 30';
4. Existing building coverage 27%, proposed 29.5%, whereas 25% maximum permitted;
5. Existing front yard impervious coverage 20%, proposed 20%, 15% maximum permitted;
6. Principle dwelling existing side yard setback 5'/20', proposed 5'18', required 7'/20'
7. Principle dwelling existing front yard setback 17, proposed 10', required 30'
The applicant was asked to return tonight after an amended survey had been submitted to the Zoning Officer in order to calculate percentages of coverage that were discussed during previous meeting and were needed for the concluding of this application.
Motion is made by Mr. Liszanckie and seconded by Ms. Faccone to approve application as discussed.
Ayes: Mr. Liszanckie, Ms. Faccone, Ch. East, Mr. Granata, Mr. Anderson, Mr. Gilmore
Nays: None
Absent: VC Faust, Mr. Mednick
Motion is made by Mr. Liszanckie and seconded by Mr. Granata to memorialize the resolution in this matter.
Ayes: Mr. Liszanckie, Mr. Granata, Ch. East, Mr. Anderson, Mr. Gilmore, Ms. Faccone
Nays: None
Absent: VC Faust, Mr. Mednick.
ZB 2023-03
Silvercar, Inc.
95 Route 36 (Audi Dealership)
Blk 2401 lot 55
Silvercar, Inc. proposes to operate a short term motor vehicle rental business within the existing Audi dealership. Motor vehicle rentals is not a permitted use in the MB zone.
Atty. Leckstein states that the attorney for the applicant has asked that this matter be carried to June 12, 2023 with no new notice. The applicant was advised that there are several applications on the Agenda for that night and they run the risk of not finishing. In the event that this happens, the matter would be concluded on August 14, 2023. The applicant's attorney, Simone Calli, states that she understands and confirms that she wishes to carry this matter.
Motion is made by Mr. Liszanckie and seconded by Mr. Anderson to carry this application to June 12, 2023 with no new notice required. All in favor.
ZB 2023-08
Taylor, Dan & Elizabeth
Certificate of Non-Conformity
1 Franklin Ave., Blk 908 lot 25
Property has been utilized as a 2-family dwelling in the R-10 zone.
Mr. and Mrs. Taylor are sworn in by Mr. Leckstein.
Mrs. Taylor states that they are here requesting a Certificate of Non-Conforming Use, In January she submitted an OPRA request on the property and was told that the Borough has no records stating that this property is a legal two-family residence. Mrs. Taylor states that they have owned the property since 2004. They have received a certificate of continued use at the time of closing. During the past 19 years, there have been six certificates of continued use. There are two utility meters and two bills for all of the utilities. There are tax assessment bills that show the property as a two-family residence. There have been many improvements made to the property and there have been inspections and permits given by the town. A copy of all is in the Board file. Mrs. Taylor states that her neighbor can vouch that the property has been a two-family for 33 years.
Atty. Leckstein states, for the record, that even though the tax records show that it is a two-family, utilities, et als., show the property as a two family, does not mean that it is a legal two-family. The departments do not necessarily speak with each other and do not confirm all facts. Atty. Leckstein also states that should the Certificate of Non-Conformity not be granted, the next step would be to continue with a use variance.
The Board discusses the proofs and the request for a Certificate of Non-Conformity.
Motion is made by Mr. Gilmore to grant the Certificate of Non-Conformity and seconded by Ms. Faccone.
Ayes: Mr. Gilmore, Ms. Faccone, Ch. East, Mr. Granata, Mr. Liszanckie, Mr. Anderson
Nays: None
Absent: VC Faust, Mr Mednick
ZB 2023-01
Robert Gemignani
2 Hampton Rd., Blk 3304 lot 23
Rear deck setback is 20 ft. where 40 ft. is required; Front yard impervious coverage is 9%, proposed is 15.33% where 12% is permitted.
Mark Steinberg, Esq., states that he represents the applicant in this matter.
Atty. Leckstein marks the following into evidence:
A-1 Application
A-2 Denial
A-3 Boundary and Topographic survey
A-4 Architectural Plans
A-5 Colorized Survey
Atty. Leckstein swears in Mr. Gemignani. The applicant states that he would like to extend the living room, add a two-car garage and have an upstairs bedroom for future use. There are no new variances required; however, the existing rear deck setback is 22.89 ft. (according to survey) . where 40' is required. Applicant is also looking to make the driveway an l-shaped driveway. The applicant states that he has had two cars stolen in the past three years from the driveway. He would like to put his vehicles into a garage. The front yard impervious coverage is discussed.
The Board discusses the application. It is noted that there was no public in attendance that wished to ask a question or make a comment.
Motion is made by Mr. Gilmore and seconded by Mr. Liszanckie to approve the application as discussed.
Ayes: Mr. Gilmore, Mr. Liszanckie, Ch. East, Mr. Granata, Mr. Anderson, Ms. Faccone.
Nays: None
Absent: VC Faust, Mr. Mednick
ZB 2023-02 McDonalds Corp. 18 Route 35, Blk 902 Lots 24 & 25 Preliminary and Final Site Plan – Applicant seeks to install a side-by-side drive-through accessory use
Gordon Gemma, states that he is the attorney for the applicant from the firm of Prime & Tuvel.
Atty. Leckstein marks the following into evidence:
A-1 Application
A-2 Preliminary and Final Site Plan
A-3 Boundary and Topographic Survey
A-4 Traffic Impact and Assessment Study
A-5 Drainage Summary
B-1 Board Engineer's Report
B-2 Board Planner's Report
B-3 Environmental Commission Review Letter
B-4 Shade Tree Commission Review Letter
B-5 Borough Code Official's Comments
B-6 Fire Prevention No Comment
B-7 Historical Commission No Comment
Atty. Gemma reviews that this is an application to replace the current single lane drive-thru lane with a sideby-side dual lane drive thru lane.
Atty. Leckstein swears in the Board Professionals.
Anastasia VanRyckdegroot, Engineer, is accepted as an expert by the Board and is sworn in by Atty. Leckstein. She adds A-6 as aerial photos of the property. The engineer reviews the prior variances that are in place. She also review the side by side drive thru that is the main focus of this application. This is part of a nationwide initiative to make the ordering experience more efficient and easier process as more and more people do not go inside the restaurant to order and eat their meal. There will be two menu boards and then funnel into the existing lane for payment and pick-up.
The handicapped parking is discussed at length and it is agreed upon that the spaces will be moved from the current location to the north side of the building where it is believed to be a safer location.
The parking lot, deliveries, and parking spaces are discussed and the Board professionals ask that the two parallel spaces be removed and landscaping be added to that location. Traffic circulation, garbage collection is discussed. One ev make-ready space will most likely next to the ADA location.
The Board professional letters are reviewed. A bike rack will be added to the site. Left turns are discussed and it is requested that the applicant petition the State Department of Transportation to be able to add a no left turn sign from Highway 35 north to the property. However, if the Department of Transportation denies the request, this will not affect the approval.
Justin Taylor, Traffic Engineer is sworn in by Atty. Leckstein and accepted by the Board. Mr. Taylor reviews the benefits of a dual drive-thru which accounts for 80% of the overall customers.
Planner Matthew Flynn is sworn in by Atty. Leckstein and is accepted as an expert by the Board. Mr. Flynn reviews the variances requested including the conditional use variance.
Chairman East asks if there is any public in attendance that wish to ask a question or make a comment. None heard.
The Board professionals review the application. Time-frame for the make-ready ev space is discussed and the Board Planner states that this make-ready space should be completed when the renovations to the site are complete and it has to be a full station/useable in three years.
Mr. Gilmore makes a motion to approve the application as discussed, seconded by Ms. Faccone.
Ayes: Mr. Gilmore, Ms. Faccone, Ch. East, Mr. Granata, Mr. Liszanckie, Mr. Anderson
Nays: None
Absent: VC Faust, Mr. Mednick
ZB 2022-28 373 South Holdings, LLC (BB Tents)
373 South Street, Blk 1401 Lot 20.01
Atty. Leckstein states that it has come to the town's attention that the applicant has applied for a grease trap and the applicant has specifically testified that they would not be preparing food on location. Atty. Leckstein asks the Board if they want him to reach out to the applicant's attorney to ascertain clarification for this request. The Board asked many questions about what was being done on the site. A Board member states that he passed the site and noticed that there was outside propane tank storage on the site, which was never addressed and that there were more trucks and cars on location that were discussed at length during testimony.
Atty. Leckstein states that he has an email sent to him from the Giordano firm that he reads on record asking why the resolution was not heard this evening. Atty. Leckstein calls the attorney that sent the email on the record and asks about the grease trap and the outside storage of propane tanks. The applicant's attorney advised Atty. Leckstein that he would speak to the applicant and get back to him.
Miscellaneous
None
Adjournment
Motion is made by to close the meeting at 9:20 p.m. by Mr. Liszanckie and seconded by Mr. Anderson. All in Favor.
Respectfully Submitted,
Colleen Matthews Board Secretary
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Annals of DAAAM for 2011 & Proceedings of the 22nd International DAAAM Symposium, Volume 22, No. 1, ISSN 1726-9679
ISBN 978-3-901509-83-4, Editor B. Katalinic, Published by DAAAM International, Vienna, Austria, EU, 2011
Make Harmony between Technology and Nature, and Your Mind will Fly Free as a Bird
Annals & Proceedings of DAAAM International 2011
HIGH LEVEL DESIGN OF A SEMANTIC SEARCH ENGINE
CRISTESCU, S[orin] - A[lexandru]
Abstract: The Internet consists of an increasing number of web pages and web services. The vast majority are described by human-readable HTML and WSDL, respectively, which makes them suitable to be found in syntactic searches (textual matching). Annotating them with semantic information unleashes a huge potential, providing more suitable results in the search process, which benefits both humans (in the case of web pages), but also companies (in the case of web services). This paper presents the key requirements and design decisions for a semantic search engine dealing with web services annotated with semantic information using SAWSDL (w3.org) Key words: semantic search engine, semantic web provides more accurate results and at the same time it allows evaluating similarity of concepts defined in different ontologies.
1. INTRODUCTION
Web services are traditionally registered in a UDDI-like repository. A client needs to discover such a web service and then invoke it. In the real world this process is only used in a very limited way, mostly inside companies that control both the registration and the discovery process. This is due to the limitations of both phases, which are based on syntactic matching, rather than semantic.
A traditional search engine needs to perform three basic steps in order to provide results to their consumers: crawling the web, indexing the web pages and actually searching for textual matches. A semantic search engine needs to provide the same functionality, with the notable difference that the indexing and searching are based on concepts (semantics), rather than on pure text (syntax). In this paper we present an algorithm for semantic matching of web services annotated using SAWSDL. We also present a high-level design of the semantic search engine.
We propose a registration and discovery process that would open up the usability of web services to real-world applications over the Internet. The idea is basically to have a search engine for web services, similar to a traditional search engine for web pages. However, in order for this to alleviate the limitations of the traditional search engines, we propose one based on semantic information. Our precondition is that web service descriptions (WSDL) need to be annotated with semantic concepts according to the SAWSDL standard (SAWSDL, 2007).
In the area of semantic matching for web services, most of the research focuses on matching based on a semantic distance between the concepts. (Pukkasenung et al., 2010) proposes a matching algorithm based on the semantic distance for each of inputs, outputs, preconditions and effects (IOPEs). We also believe that using IOPEs gives accurate results, since we maximize the semantic information to base the matching on. At the same time, if matching of inputs and outputs is scalable to many users, extending the algorithm with preconditions and effects introduces only a small performance penalty, since the matching of the latter has less complexity than the matching of inputs or outputs. However, we propose matching IOPEs based on Tversky's model (Cardoso et al., 2008) and only use the semantic distance as a first filter, as explained in section 2. This
Regarding registration, virtually all research in the area of semantic web services mentions registration of these services to UDDI by creating plug-ins that allow adding semantic capabilities and inference power to UDDI. However, the very creators of the standard – Microsoft, IBM and SAP – dropped their support for UDDI in 2007. We propose a replacement for UDDI that needs to address the main limitations of this standard: overwhelming complexity, lack of security, poor scalability, lack of good tooling, etc. Such a replacement is in fact the indexing step of a semantic search engine. Thus, semantic web services would be indexed based on their IOPEs annotated with semantic concepts. For example, if an input of a web service is annotated with the concept OrderRequest: http://www.w3.org/2002/ws/sawsdl/spec/ontology/purchaseord er#OrderRequest, then this concept is used in the index, much as a traditional search engine would index words. The advantage of approaching web service registration as indexing in a search engine is that we can take advantage of the work already done in the indexing area of classic search engines.
A major difference with respect to traditional search is that in case of semantic web search we don't need all matching results, but only the best match, which is the web service to be invoked by the client who's looking for a match.
The search step then would mean matching the IOPEs of a requested web service to the advertised services based on Tversky's semantic matching model, which compares the properties of concepts.
2. HIGH LEVEL DESIGN
The first important requirement to the data our search engine works with is that the WSDL descriptions of the services be annotated with semantic information. Our semantic search engine deals with services whose descriptions (WSDL files) contain IOPEs annotated with ontological concepts using SAWSDL. Our crawlers are fed with URLs pointing to semantically annotated WSDL documents. They fetch the documents and store them compressed in a repository. Each document is assigned a unique docID, derived from its URL. Importantly, the crawlers also fetch the ontology files used to annotate the WSDLs.
Then the forward index is converted into four inverted indexes, each corresponding to I, O, P and E respectively. For
The indexer parses each WSDL document and creates a forward index, which keeps the relation between each docID and the hits, i.e. I, O, P, E concepts. At the same time, for each ontology referred by the IOPE concepts, the indexer involves an inference engine (Jena) to calculate the Tversky's matching values between each two concepts of that ontology. This list of matches is sorted in descending order by the matching values and is stored together with the corresponding ontology file. As we'll see later, this greatly improves the performance of the search.
each concept from IOPE, a unique wordID is generated. The indexes are sorted by this wordID.
The search algorithm is structured on three levels:
With these preparations in place, the search process needs to return the best matching web service for a given profile. By profile we mean a set of IOPEs representing the desired characteristics of a service. The preconditions and effects are not mandatory, but the inputs and outputs are.
1. First a syntactic (textual) matching is done with the IOPEs of the given profile; this is the same as what a traditional search engine would do, but it only returns the most relevant match (preferably one that covers all IOPEs);
3. If there was no result from the previous step, more complex semantic matching is performed: for each output concept in the given profile, we take all concepts from the same ontology (except the subclasses covered at step 2) in decreasing order of Tversky's model value pre-calculated for the current output; we compute the wordID for each such concept and look it up in the corresponding index; if at least one output can't be matched, the algorithm stops and no match is returned; then we do the same for inputs; if we have at least one input matched, we find the matches common to the outputs and the inputs; finally, we check which of these also match the preconditions and effects of the given profile, if they exist.
2. If there was no result, a first kind of semantic matching is done: for each output concept in the given profile, we take each subclass in its ontology in increasing order of the semantic distance, as defined in (Pukkasenung et al., 2010); we compute the wordID for the current subclass and look it up in the corresponding index; thus, we try to find the best matches for all outputs according to the semantic distance; if at least one output can't be matched, the algorithm moves to step 3; then we do the same for inputs, but now we take the superclasses of each given input; if we have at least one input matched, we find the matches common for the outputs and the inputs; finally, we check which of these also match the preconditions and effects of the given profile, if they exist;
Note that in step 1 we do a standard, textual match. This helps when an advertised web service is annotated with a concept such as:
Step 2 performs a first semantic match. Note that we need all outputs of a required profile to be matched. If any output is not matched by an advertised web service, we'd remain with a partial answer, which is not acceptable, since the outputs are used to compose and further invoke web services. As for the inputs, the requirement is less strict: we need at least an input to match, not necessarily all. In order to match an input, we use the covariance principle: if the required profile's input is a subclass of the advertised service's input, they match. Intuitively this means that if an advertised service can deal with a certain concept, it can also deal with its derived concepts, since they are just restrictions of the original concept. However, for the outputs we have the dual principle (contravariance): if an advertised service outputs a certain concept, we can never require a more restrictive version (i.e. a subclass) of that. Only a superclass of that concept will match.
http://www.w3.org/2002/ws/sawsdl/spec/ontology/purchaseord er#OrderRequest, which is also part of the required profile and where the namespace and the name of the concept match textually. This alleviates the need for a semantic match, since we can assume both the required profile and the advertised service mean the same thing.
Finally, if there are no matches so far, Tversky model is used, which provides a matching value for any two concepts of an ontology. We start with the best Tversky match (e.g. two concepts which differ by just a property) and then, if no match is found, we proceed with lower matches, until a certain threshold. The threshold is necessary to eliminate really bad matches and it is a parameter of the search process.
3. NON-FUNCTIONAL DESIGN
Just like a traditional search engine, a semantic one must fulfill certain performance criteria. Naturally, we can base our work on the experience of traditional search engines.
By design, disk seeks need to be avoided as much as possible, as they are expensive operations. Indexes are typically implemented as B+trees, which helps in minimizing the number of disk seeks needed to find an item.
Among the non-functional requirements, availability and scalability score high. Typically they are dealt with redundancy, where data is duplicated and distributed across the nodes of a distributed hash table (DHT).
A search engine such as Google (Brin & Page, 1998) uses a custom-made storage system for indexing its data, called Bigtable. It is a distributed storage system, designed to scale to petabytes of data across thousands of servers. For our prototype, we use Apache Hadoop Distributed File System (HDFS, 2007), an open source implementation in Java of a distributed file system designed to hold huge amounts of information and provide fast access to it.
Compression techniques should be chosen as a tradeoff between compression/decompression speed and compression ratio. The original Google implementation chose zlib to compress the crawled HTML pages. Our prototype also uses zlib to compress the ontology files, which tend to be large.
4. LIMITATIONS AND FUTURE WORK
In order to open the semantic web to real-world applications, tools are needed that facilitate matching the web services by their capabilities, composing and invoking them. For this to happen, we need a proper search engine for semantic web services. In this paper we present the high-level design of such a search engine, with the precondition that the WSDL files describing the web services be semantically annotated according to SAWSDL. Our proposal is a combination between traditional, textual (syntactic) matching and semantic matching, the latter involving semantic distance and Tversky's model to provide accurate results. While the first results are encouraging, more work needs to be done especially in matching ontologies: what happens if two concepts come from different ontologies but mean the same thing ? We need to be able to match them.
Also, note that we limit our algorithm to SAWSDL annotated descriptions. This excludes e.g. any annotations following the WSDL-S standard. It also excludes annotated RESTful services, which use their WADL descriptions. These limitations need to be addressed in a real-world semantic search engine. They are the next steps in our research.
5. REFERENCES
Brin S. & Page L. (1998). The anatomy of a large-scale hypertextual Web search engine, Proceedings of the Seventh International World Wide Web Conference, Brisbane, Australia, doi:10.1016/S0169-7552(98)00110X,pp.107-117
Pukkasenung P., Sophatsathi P. & Lursinsap C. (2010). An Efficient Semantic Web Service Discovery Using Hybrid Matching, Proceedings of the Second International Conference on Knowledge and Smart Technologies, Chonburi,Thailand, pp. 49-53
Cardoso J, Miller J. & Emani S. (2008), Web Services Discovery Utilizing Semantically Annotated WSDL, In: Reasoning Web, Baroglio et al., (Ed.), pp. 240-268, Springer-Verlag ISBN 978-3-540-85656-6, Berlin
*** (2007) http://hadoop.apache.org/hdfs/ - Hadoop Distributed File System, Accessed on: 2011-08-11
*** (2007) http://www.w3.org/TR/sawsdl/ - SAWSDL, Accessed on: 2011-08-11
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Home of the Eagles
Hank Meyer, Principal
Vice Principals: (Student Alpha)
Taigan Keplinger (A-E)
Dianna Shoop (F-L)
(Interim Vice Principal)
Laurie Weiss (M-R)
Amber Clark (S-Z)
Inside this issue:
PLEASANT GROVE HIGH SCHOOL PRINCIPAL'S NEWSLETTER
Pleasant Grove High School 9531 Bond Road Elk Grove, CA 95624
Volume 13, Issue 4
February/March 2018
Administration: 686-0230
Vice Principals: 686-0237
Counseling: 686-0233
Athletics:
686-0245
Website: www.pghs.net
PRINCIPAL'S MESSAGE:
It's been a busy start to the second semester. On January 23 we held a Pleasant Grove Community Parent meeting to listen to parents' concerns about racial incidents at PGHS. We heard heartfelt accounts of many painful experiences students have had here; this helped us solidify actions already in process and plan our future steps more effectively and with greater understanding. Our goal is to make sure all students have a positive experience at Pleasant Grove.
We had our Multi-Cultural Assembly on January 10. The many entertaining performances represented various cultures. Students loved all of the acts and were supportive of the entertainers. This showcase continues to highlight the good things that can happen in a welcoming community such as PGHS. Another harmony-building event is Unity Day, and we had our second one on January 25, with over 150 students in attendance. These two events are key for promoting the open-minded and understanding culture that's so important to us at PGHS.
A reminder: We mailed first semester grades home January 5. The marks on these report cards stand as the official semester grades recorded on a student's permanent record – appearing on the official transcript – so please make sure they're accurate.
We'll begin February with our mid-term WASC (Western Association of Schools and Colleges) visit on February 5 and 6. A five-member committee will arrive and review the progress of PGHS since the last visit three years ago. We've been working hard to prepare for the visit and are confident the committee will be pleased with what we've been doing.
Take Your Parent to School Day will be Thursday, February 15. This is an excellent opportunity to experience a typical school day at PGHS by actually attending classes with your child. Senior parents, this is your last chance, so don't miss out on this rewarding way to spend time with your senior son/daughter as their PGHS experience begins to wind down.
On February 26 at 6:30 p.m. we'll have our second Academic Awards ceremony. We'll honor students who achieved a 3.67 or higher GPA in the fall semester. Our rigorous and challenging academics means recognition at this event is a significant distinction. I hope you can join us in honoring these hard-working students.
PRINCIPAL'S MESSAGE: (continued)
On March 1 we'll have our Incoming 9 th Grade Parent Night at 6:00 p.m. in the MP room. If you know of incoming 9 th graders, please encourage their parents to attend this event. It's a highly informative night in which counselors do an excellent job providing an overview of the high school experience at PGHS. The information can be a bit overwhelming, but it does help parents become aware of all of the resources available at this school.
Please note that on Saturday, March 17 at the Sacramento Library Galleria, the PGHS Junior Prom will be held from 7:30 to 11:00 p.m. This is an important event for the juniors – a time for them to celebrate as a class, knowing the junior year is coming to an end. Please carefully review the dance contract on page 10 so you and your student are aware of Pleasant Grove's behavior and dress expectations.
On March 9 the third quarter will end with a minimum day. Students who receive a D or F on their report card will have their report card mailed home. All other students will receive their report card in their March 15 Advocacy class. After this class, please check with your student to review his/her progress through the third quarter. This mid-semester check is critical. Why? It enables you to see how things are going while students still have plenty of time to improve their performance and earn a grade they'll be proud of for the second semester.
Our spring play, You Can't Take It With You, will be presented on March 15 -17 and 22 - 24 at 7:00 p.m. in our Black Box Theater, with a 2:00 p.m. matinee on March 24. Mr. Sandoval did an excellent job with our fall musical and I'm confident the spring play will be another entertaining show.
On March 15 we'll have Unity Day 3. I believe the overall welcoming atmosphere that exists at PGHS is largely a result of programs like Unity Day. If your student hasn't participated in one of these, please encourage him or her to do so.
,
Finally, I'm thankful for all the work our dedicated parents have done in organizing and preparing for this year's Sober Grad Night which takes place Tuesday, May 22 at Country Club Lanes immediately following the graduation ceremony . I'm especially grateful to Shelly Morris for her leadership as president of PTSO in organizing Sober Grad Night. For Shelly, VP Nishan Sandhar, and Treasurer Wanda Terrell, this will be their last Sober Grad Night. They have spent countless hours over the last four years in organizing Sober Grad. I wish them the best in the future. Please see the Sober Grad Night section of the newsletter for more details. Sincerely,
Principal Hank Meyer
GRADE REPORTING
TERM 2
12/18/2017-05/25/2018
| Progress Report T-2, S-1, P1 | FRI, FEB 2 | MON, FEB 5 4:00 P.M. | TUES, FEB 6 | TUES, FEB 6 | HAND OUT ADVO. THUR, FEB 8 |
|---|---|---|---|---|---|
| Quarter Report T-2, S-1, P2 | FRI, MAR 9 | MON, MAR 12 4:00 P.M. | TUES, MAR 13 | TUES, MAR 13 | D’S & F’S MAILED HAND OUT ADVO. THUR, MAR 15 |
| Progress Report T-2, S-1, P3 | FRI, APR 20 | MON, APR 23 4:00 P.M. | TUES, APR 24 | TUES, APR 24 | D’S & F’S MAILED HAND OUT ADVO. THUR, APRIL 26 |
| Report Card T-2, S-1, T | FRI, MAY 25 | MON, MAY 28 2:00 P.M. | MON, MAY 28 | MON, MAY 28 | MAILED MON, MAY 28 |
EQUITY IN EDUCATION:
In order to help support and maintain a positive school climate where all students feel included and valued, Pleasant Grove High School faculty, staff, and students are dedicated to pursuing educational opportunities around equity in education.
One of the many positive student groups on campus is the Pleasant Grove Unity Group which meets one, or sometimes two, times per month during Advocacy to discuss issues affecting our students. This diverse group of student leaders tackle issues related to race, religion, culture, gender and ethnicity by getting to know each other and engaging in solution-oriented discussions. In the role of group facilitator, we have been so fortunate during these past couple of months to have had the help and support of Al Rowlett; CFO of Turning Point Community Programs, former EGUSD Board Member, father of PGHS students, PGHS School Site Council member, and active community member. Other participants in the group have been site administrators, teachers, and even members from our security team. They come to hear first-hand from our student members the issues that face students on our campus. Together they help problem-solve and provide support and encouragement to the students' on-going work.
The Unity Group will present at the staff meeting this month as well as in Advocacy classes for the remainder of the school year. The purpose of their presentation is to discuss issues affecting PGHS students on campus as well as ways that teachers can support our students in feeling safe on campus.
Additionally, a team of PGHS educators including teachers and administrators will attend the Equity Institute offered through EGUSD during February and March. This professional development experience is designed to build the cultural proficiency capacity of educators so we can most effectively support all of our students.
ASB NEWS...
February and March usher out winter and bring us a number of important upcoming events. Junior Prom is just around the corner. Guest passes are available now in the ASB room and are due by Wednesday, March 7. The dance takes place on Saturday, March 17, at the Tsakopolous Library Galleria at 828 I Street, located in downtown Sacramento from 7:30 - 11:00 p.m. Tickets will be sold from February 26 through March 2 for $40 w/ASB card and $50 w/o ASB card and for all off campus guests. The following week tickets increase by $10. The last day to buy tickets is March 7.
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In February, Academic Achievement Awards will be awarded. Students who earned a 3.67 GPA or higher for the fall semester will be recognized if they sign up for recognition. A list of eligible students will be posted February 14 and the students have until Feb 21 to sign up. Academic Award applications will be available Wednesday, February 14. Students who qualify may pick up an application in the MP room during their lunch. Applications are due back to the ASB room by Wednesday, February 21 The ceremony takes place on Monday, February 26 , from 6:30 - 8:00 p.m. in the gymnasium. All honorees are asked to be in the gym by 6:15 so that we can start on time.
Additionally, Prom Ball Expo will take place on Friday, February 9 during both lunches. Each year our "models" are Junior Prom and Senior Ball royalty. Students will have the opportunity to speak to a number of vendors that they can use for Junior Prom and/or Senior Ball.
In March, we will begin selling tickets for Senior Ball which will be at the Sheraton Hotel on April 14. Tickets will be sold from March 19 through March 21 for $90 w/ASB and $100 w/o ASB and for all off campus guests. The ticket includes dinner. Tickets will be sold after spring break from April 2 - 4 for $110 for everyone.
Lastly, we will have our final Unity Day of the year on March 15. This is an event intended to help students get to know other students and gain a broader understanding of the various cultures/groups on campus. Hopefully this activity helps to bring our student population a better understanding of the things they have in common with others their age. Sign ups begin March 1. The first 130 students who sign up get to participate.
February and March are packed with important dates to remember, and students are encouraged to participate in the upcoming events!
PBIS NEWS
PGHS: DIVERSTY WALL
Rigor
Relevance
Relationships
Respect
1,877 Students qualified for Renaissance!
448 Students earned Eagle (4.0 gpa)
534 Students earned Blue (3.5 gpa)
373 Students earned White (2.5 gpa)
Way to soar EAGLES!
Advocacy:
PGHS students completed relevant, timely digital citizenship lessons produced by our own PGTV crew.
Multicultural Assembly:
107 students from 13 different clubs representing 9 different cultures on the PGHS campus performed during the 2018 Multicultural Assembly.
In a follow-up activity to the assembly, over 1500 students created tapestry pieces in response to the Maya Angelou quote: "In diversity there is beauty and there is strength." The tapestry is on display in the cafeteria.
Soaring Eagle Luncheon:
96 Students were recognized by their teachers at our Soaring Eagle Luncheon for their outstanding character, contributions to the classroom, or other specific areas of excellence.
Kindness Week:
During Kindness week ASB students worked hard to ensure that 400 wishes of the PGHS student body were granted.
PGHS Student Equity Group:
Student, staff and community members continue to meet 1 to 2 times each month to discuss issues surrounding equity on the PGHS campus.
All Star Eagles- Unified Sports Basketball Game:
PGHS student athletes of all ability levels competed in a basketball game this winter that drew a large supportive crowd and was a huge success for all involved. This will become an annual tradition that showcases PG staff and students' passion for inclusivity.
ELECTRONIC DEVICE POLICY/ATTENDANCE
ELECTRONIC DEVICE POLICY
Personal electronic devices include such things as cell phones, iPods, mp3 players, cameras, laptop computers, iPads, tablets, and personal gaming systems. These devices are permitted on the campus and students are permitted to use them at certain times, but are prohibited from using them at other times.
These devices are permitted to be used:
- before and after school
- during the lunch period
- in the classroom during school hours ONLY when given specific permission by the teacher for educational purposes that are directly related to the course content for that particular class.
These devices are NOT permitted to be used:
- during passing periods
- in classrooms during school hours
- in classrooms during ANY quiz, test, or exam even if it is for "educational purposes" as described above
- in any restroom or locker room
Students violating the Electronic Device Policy are subject to disciplinary consequences including, but not limited to, Saturday School, home suspension, and/or the confiscation of the device. Devices that have been confiscated can ONLY be picked up by the parent/guardian at the administration office during normal hours of operation.
2017 - 2018 PGHS ATTENDANCE PROCEDURES AND FAQS
Student has to leave school early or call in an absence?
Parent can call theAttendance Office 916-686-0230 ext. 1
Parent will need to come into the office with ID to sign out student.
Student arrives late to school?
Student is considered late once bell has rung.
Student needs to check into the office upon arrival.
Student will be sent to the Vice Principal's Office if more than 30 minutes late without acceptable excuse.
Student arrives late to school due to early medical, dental or court appointments?
An official note must be presented to the Attendance Office upon arrival to school and the student's attendance record will be adjusted.
Student becomes sick or hurt at school?
Student should report to Student Services (Health Clerk) with hall pass.
Parent will be notified and asked to come into Student Services office to sign out students.
Students SHOULD NOT USE CELL PHONES TO CALL PARENTS when ill. They must obtain a pass to the Health Clerk from the teacher or staff member.
| Period 0 | 7:00 |
|---|---|
| Period 1 | 8:00 |
| Period 2 | 9:06 |
| Period 3 | 10:16 |
| Period 4 | 11:22 |
| 1st Lunch | 11:22 |
| Period 5 | 11:59 |
| 2nd Lunch | 12:28 |
| Period 6 | 1:05 |
| Period 7 | 2:11 |
| Minimum Day | | |
|---|---|---|
| Period 0 | 7:00 | 7:55 |
| Period 1 | 8:00 | 8:35 |
| Period 2 | 8:41 | 9:16 |
| Period 3 | 9:22 | 9:57 |
| Period 4 | 10:03 | 10:38 |
| 1st Lunch | 10:03 | 10:33 |
| Period 5 | 10:39 | 11:14 |
| 2nd Lunch | 10:44 | 11:14 |
| Period 6 | 11:20 | 11:55 |
| Opening Day (Fall) | | |
|---|---|---|
| Advocacy | 8:00 | 8:30 |
| Period 1 | 8:36 | 9:30 |
| Period 2 | 9:36 | 10:30 |
| Period 3 | 10:40 | 11:34 |
| Period 4 | 11:40 | 12:34 |
| 1st Lunch | 11:40 | 12:11 |
| Period 5 | 12:17 | 1:11 |
| 2nd Lunch | 12:40 | 1:11 |
| Period 6 | 1:17 | 2:11 |
| Period 7 | 2:17 | 3:11 |
| PSAT (Reverse Min Day) | | |
|---|---|---|
| Testing | 8:00 | 11:59 |
| Lunch | 12:05 | 12:35 |
| Period 1 | 12:41 | 1:01 |
| Period 2 | 1:07 | 1:27 |
| Period 3 | 1:33 | 1:53 |
| Period 4/5 | 1:59 | 2:19 |
| Period 6 | 2:25 | 2:45 |
2017-18 BELL SCHEDULE
| Late Start Thursday | | |
|---|---|---|
| Period 0 | 7:00 | 7:55 |
| Period 1 | 8:48 | 9:34 |
| Period 2 | 9:40 | 10:26 |
| Advocacy | 10:32 | 11:02 |
| Period 3 | 11:12 | 11:58 |
| Period 4 | 12:04 | 12:50 |
| 1st Lunch | 12:04 | 12:35 |
| Period 5 | 12:41 | 1:27 |
| 2nd Lunch | 12:56 | 1:27 |
| Period 6 | 1:33 | 2:19 |
| Period 7 | 2:25 | 3:11 |
| Period 0 | 7:00 |
|---|---|
| Period 1 | 8:00 |
| Period 2 | 8:59 |
| Period 3 | 10:02 |
| Period 4 | 11:01 |
| 1st Lunch | 11:01 |
| Period 5 | 11:38 |
| 2nd Lunch | 12:00 |
| Period 6 | 12:37 |
| Period 7 | 1:36 |
| Opening Day (Spring) | | |
|---|---|---|
| Period 0 | 7:00 | 7:55 |
| Advocacy | 8:00 | 8:10 |
| Period 1 | 8:16 | 9:14 |
| Period 2 | 9:20 | 10:17 |
| Period 3 | 10:27 | 11:24 |
| Period 4 | 11:30 | 12:27 |
| 1st Lunch | 11:30 | 12:02 |
| Period 5 | 12:08 | 1:05 |
| 2nd Lunch | 12:33 | 1:05 |
| Period 6 | 1:11 | 2:08 |
| Period 7 | 2:14 | 3:11 |
| Testing Block 1 | 8:00 |
|---|---|
| Passing | 10:00 |
| Testing Block 2 | 10:10 |
IMPORTANT EVENTS TO REMEMBER...
DRESS CODE FOR PLEASANT GROVE HIGH
Parents or guardians have the primary responsibility for appropriate standards of dress and grooming. However, as an educational entity, the Secondary Division of the Elk Grove Unified School District has the responsibility to establish and maintain standards of dress and grooming that support a positive, appropriate, and safe learning and teaching environment.
The purpose of a dress and grooming code is to facilitate education, not to inhibit any person's taste in attire or appearance. Students should be clean and neatly dressed in a manner that will be appropriate to the school setting, not hazardous to the health and safety of the students, and not disruptive or distracting from the educational program of the school. To that end, no articles of clothing, apparel or school materials, including hats, backpacks, and binders, may have pictures, printing, or writing that is crude, vulgar, profane, sexually suggestive, racially, ethnically, or religiously intolerant, that contain images of weapons, tobacco, drugs and/or alcohol, or which the school's administration reasonably predicts will disrupt the learning environment.
Specifically, the students at Pleasant Grove High School are expected to abide by the following dress code:
1. PANTS, SHORTS, SKIRTS, DRESSES:
- Cover all undergarments
- Pants are worn at the natural waist/hip area as opposed to "sagging"
- Any holes, rips or frays are to be mid-thigh or lower
- Hems of shorts, skirts and dresses are to be mid-thigh or longer
- Pajama bottoms may only be worn during designated spirit days
- Belts are to be worn around the natural waist/hips.
2. TOPS, SHIRTS, BLOUSES:
- Cover all undergarments, including clear bra straps
- Cover the midriff; tops must completely cover the skin and overlap the waistband of pants, shorts, or skirts. It is suggested to avoid wearing garments that, when arms are raised above the student's head, do not fall naturally below the midriff area
- Are modestly cut to minimize exposing cleavage
- "See-through" or fishnet fabrics are worn over an opaque garment to ensure skin is covered
- Keep the following items at home: muscle shirts, halter tops, strapless tops, bandeaus, off the shoulder tops, or bra-like tops
3. FOOTWEAR:
- Shoes are to be worn at all times
- House slippers and "wheelies" are to remain at home
4. HAT/HEAD COVERING POLICY:
The Elk Grove Unified School District allows students to wear certain types of hats on campus to protect them from damage caused by exposure to the sun. At Pleasant Grove High School students are expected to respect others by not wearing hats or caps that contain writing and/or images that are deemed by school administration to be disruptive to the learning environment and assure that cap bills face forward during the school day. Also, bandanas, skull/wave caps, and masks are to be removed prior to school starting as are grooming items and headwear such as hair rollers, shower caps, hair rags and picks.
Please note that teachers may prohibit the wearing of hats within their individual classrooms as consistent with their respective classroom policies.
The school administration may limit or prohibit specific clothing that has been determined by law enforcement or gang experts to be affiliated with an actual gang. In consultation with law enforcement or other gang experts, the school administration may limit clothing or apparel where there is a reasonable basis for identifying such clothing or apparel as gang affiliated. Limitations and prohibitions on gang-related clothing or apparel will be applied equally to all students, and in no instance will a student's clothing or apparel be identified as gang-related based solely on the student's race, national origin or ancestry. Students failing to comply with the dress code will be provided the opportunity to borrow loaner clothes or to call their parents or guardians to bring a change of clothing. Inappropriate items are confiscated for the remainder of the school day or taken from campus by the parent/guardian. In the case of repeated violations, students may be subject to progressive disciplinary consequences.
PTSO NEWS...
Pleasant Grove High School - PTSO Membership & Volunteer Form MAKE A DIFFERENCE! Join the PGHS Parent/Teacher/Student Organization (PTSO)
What is P.T.S.O.? It stands for Parent, Teacher, and Student Organization. We are a volunteer, non-profit service organization that supports Pleasant Grove High School.
Why join? Support your school. Find out firsthand what is happening with your student's education. We are not part of the national PTA so all your money stays at PGHS. Your money goes toward Senior Grad Night, library contests, awards, Staff Appreciation Breakfast and PTSO scholarships. Membership is one of the requirements to be eligible for a PTSO scholarship. We are a non-profit organizations and we are also tax deductible.
Meetings: Dates to be determined, held in the ASB room. You do not have to be member to attend, only to vote.
Senior Grad Committee: We have had seven successful years and would like to continue this tradition. Parents of all grades are needed. Junior parents, if you don't get involved this year it can put next year's party in jeopardy. Please be a part of this terrific event. We usually meet once a month prior to the event.
Where you can find us: Parents in the PGHS.net homepage. Check it out! Questions? Contact Shelley Morris (President) firstname.lastname@example.org
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PGHS PTSO Membership Form
1. Name (nombre
):________________________________________________________________
parent (padre) student (estudiante) teacher (maestro) staff (personal) community (comunidad)
2. Name (nombre):________________________________________________________________
parent (padre) student (estudiante) teacher (maestro) staff (personal) community (comunidad)
Address (dirección/ciudad)__________________________________________________________________
Preferred phone number (número de teléfono) (_______)________________________________
E-mail address (dirección de correo electrónico) _________________________________________
Your student*(s) in this school and grade (circle one):
Estudiante(s) en la escuela y su año escolar
1. ____________________________________________________________ 9 10 11 12
2. ____________________________________________________________ 9 10 11 12
Total amount paid ($10 per person) ____________________________________
* If you have more than two students please write on the back. All your dues stay at PGHS. Thank you!
DANCE CODE FOR PLEASANT GROVE HIGH
Junior Prom and Senior Ball are right around the corner. As you shop for the night's wardrobe, please keep in mind the dress expectations at PGHS. Is your son or daughter intending on inviting a guest to either dance? If so, please forward the expectations to the intended date so they have plenty of time to find apparel that complies with the contract outlined below.
Dance Expectations
a. All participants must arrive with an actual school/picture ID and receipt at the door within the first 90 minutes of the dance. Guests must enter with their PGHS student along with the approved guest pass.
b. Students who leave the dance will not be re-admitted for any reason.
c. Any participant found in unauthorized areas will be removed from the dance. PG students are subject to disciplinary action.
d. Being under the influence or in possession* of alcohol or drugs will result in immediate removal. PG students will be issued a minimum 5-day home suspension. (*Possession includes arriving in a vehicle that knowingly contains drugs or alcohol.)
Dress Code Requirements
A. Shirts with collars are suggested, and must remain on throughout the dance.
B. T-shirts are not to be worn as an outer garment.
C. Pants must be on the waistline (no sagging); nice jeans are acceptable for informal dances.
D. All undergarments are to be covered so they are not visible.
E. See-through fabrics must have a backing which covers the skin from chest to mid-thigh. Cutouts exposing midriff are prohibited.
F. Excessive exposure of cleavage is to be minimized.
G. Back of dress may not be lower than the waist.
H. Hemline and/or slits on dresses are to be mid-thigh or lower.
I. Very short, skin-tight, "sausage" or "tube" style dresses or skirts are not allowed.
If dress code is not followed, students will:
(a) not be permitted into the dance, or (b) be removed.
If you have any questions or concerns about your clothing, please contact PGHS administration.
Dancing Regulations
A. All dancers must remain vertical with feet on the ground.
B. Refrain from rubbing or touching any private body parts, yours or others.
C. Refrain from break dancing and sexually suggestive movements such as grinding, freaking, mashing, and/or lap dancing.
If you, or your guest, violate the dance regulations, you will both be removed from the dance, and refunds will not be given!
ENGLISH NEWS
Yearbooks
Yearbooks are currently on sale for $90.00 and can be purchased at the Site Controller's office. On February 1, the price of yearbooks will increase to $110, so make sure to visit the Site Controller before then.
Poetry Out Loud
Poetry Out Loud 2018 is over, and the winner of the school competition is senior, Sage Innerarity. Sage will go on to compete in the February 15 county competition at Rosemont High School. Congratulations to Sage!
Study Sync
During their Release Day, the 9th Grade Professional Learning Community (PLC) Team shared teaching/student highlights, how to teach To Kill a Mockingbird in a culturally responsive manner, and successes of StudySync.
Each teacher continues to implement and appropriately scaffold StudySync. Specifically, Johna Mullins enjoys the research links and projects because it allows the students to collaboratively engage in the unit's texts and/or themes. She has noticed that students want to learn the material and the added context bolsters their understanding of the text.
For To Kill a Mockingbird, Molly Wanless elevated her students' understanding of empathy through a "Spheres of Influence" activity. It allowed the students to contemplate the relationships in their lives then to take that knowledge to construct a "Spheres of Influence" for each To Kill a Mockingbird character. Throughout the process, the students personally revised their circles to accurately reflect their world: who has control, influence, or neither in their lives? A moment that devastated most students revealed itself when they realized that Mayella's (character from To Kill a Mockingbird) spheres were either blank or consisting of negligent individuals. To conclude, an unexpected but authentic takeaway was when this activity invited an academic, open dialogue about the racially insensitive viral video.
Every other Friday, Kimith So encourages and participates in 15-20 minutes of gratitude with students. In a free-write format, he and his students will detail which aspects of their day/life that they are grateful for. After writing, the students have the option to join him in sharing their writing. As the year progresses, he will provide variety to this gratitude activity by allowing students to use the freewrite time to vent without repercussion or to write a validation. Ultimately, he has found that it strengthens his community with an emphasis on relationship and respect.
Perry Mansch began the year setting the academic foundation with teaching 40 literary terms that he calls the "Fab 40." He guides the students through the definition, spelling, and accurate application of the terms with the aid of visual and written texts. As a result, his students were able to accurately explicate Paul Laurence Dunbar's "Sympathy" to reveal the pain the caged bird endures.
Theresa Taylor and Kevin Luhdorff both tackled the daunting, yet necessary, task of teaching writing. In Mr. Luhdorff's IDEA class, students were to research how their assigned occupation could people survive the apocalypse. To follow the paper, the students presented their finding to their peers with a focus on their presentation skills. If they scored well (rated by their peers) on their presentation, then their group "survived the apocalypse" and earned a zombie figurine made by Mr. Luhdorff. In Ms. Taylor's class, she and her students view writing as an effective means of communication due to her variety of writing types: personal narrative, career paper, controversial topic research paper, etc. As an added resource for students, Ms. Taylor partnered with the Teacher Librarian Dany'l Van Someren.
In Rejeania Castillo's English 11 AP class, the students engage in a Media Circle each week in order to be informed citizens. In preparation for this activity, the students select an article within the past 5 years of their choice to discuss. One student brought in the Sacramento Bee article ("Nooses and the N-word. Student at suburban high school says racism is rampant"). It was evident that students needed a space to unpack/vent about the events occurring on campus due to their eagerness to support or negate events in the article. To conclude the discussion, the students provided constructive feedback about the school's and district's response. As a follow-up to the impromptu discussion, the students composed condensed rhetorical precis about one of the following: Superintendent Hoffman's letter to the community, Principal Meyer's response to the social media incident, the 3 African-American students' letter, or an article of their choice that addressed the issue.
English Learners
Our next ELAC meeting has been rescheduled to Tuesday, February 20 at 6:00 p.m.. in LRC 25 from Tuesday, January 16. On our agenda will be the new state test, English Language Proficiency Assessments for California (ELPAC). PGHS will begin administering this test to our English learners on March 12 and continue through March 23. We hope you will be able to join us to learn more about this new assessment.
PGHS/KAMS LIBRARY NEWS
February @ the PGHS/KAMS Library is commemorating Black History Month with book displays, trivia library challenge and more. Visit the Crocker Art Museum's Black History Month Family Festival Sunday .Feb. 18 from 12 - 4 p.m. (free) PBS videos Celebrate Black History Month Get ready for the 2018 Winter Olympics…stop by the library and check out nonfiction and fiction books.
Winter = Rainy Days … Avoid Expensive Textbook Fine$ Keep your textbooks DRY and protected; store them inside plastic bags inside backpacks. Wet books = moldy books = $80-$130 replacement costs. Students are responsible for the care and keeping of their library materials. NEVER LEAVE textbooks in classrooms--the #1 way textbooks are lost.
Parents: Please remind your student to return overdue textbooks or pay fines (cash or checks) during library hours 7:20 - 3:20 and avoid the No Activities List.
Class of 2018 SENIORS: Pay off library fines and be cleared before April to participate in May's graduation activities.
Lost a Textbook? Students visit the library before school or during lunch to ask about his/her library account to determine if the lost book was returned=cleared. If the student account shows the book lost, there are 3 options posted under the library'shttps://egusdpghs.ss13.sharpschool.com/our_school/pghs_kams_library/textbook_information/
FREE e-Reading Outside PGHS/KAMS Library Walls with EBSCO databases
PGHS students, staff and families can access hundreds of online magazines for free in just a few clicks. Click on our library main page: https://egusdpghs.ss13.sharpschool.com/our_school/pghs_kams_library
Click on the EBSCO logo. User & Password: pgstudent Click on EBSCOhost among the other 11 other databases to search E-magazines.
How to search EBSCO video tutorial: https://www.youtube.com/watch?v=Im52V1A8p04
Wanted: Student Library TAs for 2018-19 School Year. Attention current sophomore and juniors with outstanding attendance, self-motivation, integrity and interested in the BEST TA job on campus…Go see Mrs. V @ the library to inquire about being a library TA next year. Limited spots, so apply early!
Thank you to our student & parent volunteers who dedicate time every week before school and during lunch to keep computer checkout running smoothly. The library cannot function without our volunteers. PG PARENTS & STUDENTS: Interested in becoming a library volunteer? Email Mrs. Van Someren, PGHS Teacher Librarian at email@example.com
PGHS/KAMS Library Hours & Staff
Open to students for quiet study, computer use, printing and tutoring by library staff. Mon, Tues, Wed, *Th. & Fri - 7:20 to 3:20 *Late-start Thursdays *8:00 - 3:20 p.m.
Dany'l Van Someren, PGHS Teacher Librarian firstname.lastname@example.org Linda Kennedy, KAMS Teacher Librarian email@example.com Nicole Strange, PGHS Library Tech firstname.lastname@example.org Julie Cager, KAMS Library Tech email@example.com
Library direct line 916-892-3540
AGRICULTURE NEWS
Spring is quickly approaching…a very busy time of year for the Agriculture Department, but fun and rewarding too. It is the time of the year filled with field days, competitions, food faires, leadership conferences, National FFA Week, county fair and many more fun and exciting events for FFA members to be involved with.
This year, 12 FFA members earned their State FFA Degree! This a new record for Pleasant Grove FFA! Students receive this honor through their involvement in the FFA program, SAE projects, school activities and community involvement. Congratulations to the following students:
National FFA Week is quickly approaching, and will be held February 19 - 23 this year. We have some great lunch time activities and a spirit week as well! We are also excited to announce that this year Pleasant Grove FFA will be hosting our first annual Donkey Basketball Game! This year's game will be held in the PGHS gym on Monday March 12 at 7:00 p.m. Tickets are available from any FFA member or Agriculture Instructor, with pre-sale tickets priced at $9 for adults, $7 for students, and $5 for children 12 and under.
ATHLETIC NEWS...
Message from Bruce Belden, Athletic Director……
2018 SPRING SPORTS TRYOUT/PRACTICE WILL BEGIN:
Boys Golf
Feb. 5-8 – Pre-season practice rounds – meet at RMCC Driving Range after school Try-out will be held at RMCC Feb. 12, 13, 14, 15, 19, 20, 21, and 22 after school
Be sure all required paperwork is completed and turned in to Mr. Belden prior to trying out. Student/athletes are not allowed to tryout without being cleared ahead of time. Pghsathletics.org
Construction of the new track and football field continues to move forward. Final touches to the field are being completed and the cork in-fill will be spread soon. The Mondo track surface will be installed, soon. It requires a bit warmer weather to be installed.
MATH NEWS
MOCK AP CALCULUS AB & BC EXAM
Students in Mrs. Burke's and Mrs. Ward's AP Calculus AB & BC classes will be taking a practice AP Calculus exam on Saturday, April 28 from 8:00 a.m. - noon in the cafeteria.
AMERICAN MATHEMATICS CONTEST
Sixty of our top math students will represent our school and compete in the AMC (American Mathematics Contest) this year. The AMC is one in a series of examinations (followed in the United States by the American Invitational Examination and the USA Mathematical Olympiad) that culminate in participation in the International Mathematical Olympiad, the most prestigious and difficult secondary mathematics examination in the world. The competition will take place on February 7 from 1:15 - 3:15 p.m. in the library. Participants for these competitions have been pre-selected by their current math teacher based upon their performance in their honors/AP math classes. The math department will also be providing the competitors with free ice cream sundaes after the competition.
MATHLETES UPDATE
The PG Mathletes competed in 5 competitions so far this year. The students took 2 nd place in their last competition at Jesuit and have an overall 3 rd place rank for the EGUSD Cup. The students are working hard to find ways to solve challenging math problems every week. We are always looking for more club members. Interested in Joining? Come to our weekly club meetings on Mondays after school in HM 1. Our meets for the spring semester are as follows:
February 8 at TBD
March 8 at Franklin HS
April 24 at CSU, Sacramento
HONORS or AP MATH SIGN UPS
Students who wish to take Honors Math classes (Honors Math II or Honors Math III) or AP Math classes (AP Calculus AB, AP Calculus BC or AP Statistics) should speak to their current math teacher. Students may sign up by completing their course selection form.
Based upon the data for the past twelve years, students at PGHS who have been successful in Honors and AP math courses are students who:
1. Earned at least a B in their pre-requisite math course.
2. Have a strong work ethic and are diligent students.
3. Are independent thinkers and persistent problem solvers.
SUMMER WORK for HONORS & AP MATH CLASSES
All students who plan to take an Honors Math or AP Math course in 2018-2019 will need to complete summer work. Summer work packets will be available on pghs.net in June 2018. Summer work will contain selected math topics from the student's current math course that serve as pre-requisite skills for the student's Honors/AP Math class next year.
STUDENT SERVICES DEPARTMENT
COUNSELORS:
The Pleasant Grove High School Counseling and Guidance Program works to ensure that every student will have an opportunity to develop academically, vocationally, personally and socially through supportive relationships and sequential guidance activities. Counseling services fall within three main areas: Academic, Career /Vocational and Personal/Social. Please feel free to call your student's counselor to discuss your student. Students are assigned a counselor by their last name as indicated below.
| COUNSELOR | STUDENT ALPHA |
|---|---|
| Teresa Schmutte | A-Chan |
| Sandi Allen | Chao-Gor |
| Todd Hirsch | Gos-Lew |
| Petra Pohl | Li-O |
| Michele Jimenez-Lundy | P-Sn |
| Dawn Grovhoug | So-Z |
| Sebastian Lampe | |
SAT and ACT 2017-2018
Pleasant Grove School Code: 053953
It is recommended that students take the SAT and/or ACT in the spring of their junior year, and again in the fall of their senior year.
Most college-bound students know that a necessary component of an admission application is a college admission test score. Most colleges and universities will not process an application without one. The two national tests are the SAT (Scholastic Assessment Test) and the ACT (American College Test) – and almost all four-year colleges and universities in the nation accept either SAT Reasoning Test or ACT scores equally. Because research indicates that many students perform quite differently on the SAT and the ACT, it may benefit students to take both tests since colleges typically use the higher of the two scores for admission, scholarship, and athletic eligibility.
SAT
The SAT Reasoning Test is a 3 hour and 45 minute test that measures critical reading, mathematical reasoning and writing skills related to successful performance in college. It is used by college admissions officers as a supplement to the secondary school record.
The SAT: Reasoning Test fee for the 2017-2018 school year is $52.50
Fee Waivers are available to high school juniors and seniors (limit 2) who demonstrate financial need. See Ms. Williams in the Career Center.
Registration can be completed by mailing in the registration form available in the Career Center during the school year, or by registering online at www.collegeboard.org (credit card required)
The SAT Subject Tests (formerly SAT II: Subject Tests) Students take the SAT Subject Tests to demonstrate to colleges their mastery of specific subjects like English, history and social studies, mathematics, science, and languages. It is recommended that subject tests be taken at the completion of a particular course or series of courses related to the subject area. (Required by some private colleges in addition to the SAT Reasoning and/or ACT.) Visit the website or pick up an SAT Registration Bulletin in the Career Center for information on Subject Test Fees. Subject tests are no longer required, unless specified by individual colleges.
STUDENT SERVICES DEPARTMENT (continued)
2017-2018 SAT and ACT Test Dates- Pleasant Grove High School - 053953
It is recommended that students take the SAT and/or ACT in the spring of their junior year, and again in the fall of their senior year.
Most college-bound students know that a necessary component of an admission application is a college admission test score. Most colleges and universities will not process an application without one. The two national tests are the SAT (Scholastic Assessment Test) and the ACT (American College Test) – and almost all four-year colleges and universities in the nation accept either SAT Reasoning Test or ACT scores equally. Because research indicates that many students perform quite differently on the SAT and the ACT, it may benefit students to take both tests since colleges typically use the higher of the two scores for admission, scholarship, and athletic eligibility.
SAT
The SAT Reasoning Test is a 4-hour test that measures critical reading and writing skills and mathematical reasoning related to successful performance in college. It is used by college admissions officers as a supplement to the secondary school record.
The SAT: Reasoning Test fee for the 2017-2018 school year is $46.00 and $60.00 with the essay portion (UC system requires essay portion)
Fee Waivers are available to high school juniors and seniors (limit 2) who demonstrate financial need. See Ms. Williams in the Career Center.
Registration can be completed by registering online at www.collegeboard.org (credit card required)
The SAT Subject Tests (formerly SAT II: Subject Tests) Students take the SAT Subject Tests to demonstrate to colleges their mastery of specific subjects like English, history and social studies, mathematics, science, and languages. It is recommended that Subject Tests be taken at the completion of a particular course or series of courses related to the subject area. (Required by some private colleges in addition to the SAT Reasoning and/or ACT.) Visit the website or pick up an SAT Registration Bulletin in the Career Center for information on Subject Test Fees.
SAT Test Dates during the 2017-2018 school year:
Seniors must test by the December test administration or earlier (some colleges require testing to be complete in October).
SAT Reasoning and SAT Subject Tests cannot be completed on the same test date. Students wishing to complete both tests must register for two separate test dates
STUDENT SERVICES DEPARTMENT (continued)
ACT
The ACT is a group of tests administered by ACT and required or recommended by most colleges as part of the admission process. Tests measure educational development in English, mathematics, reading and science reasoning. Students may register for one of two Test Options: the ACT or ACT Plus Writing which includes a 30-minute Writing Test (UC system requires writing portion). Check the website (www.actstudent.org) for a list of institutions that recommend, require, or do not need the results from the ACT Writing test.
Students may register by using the online registration option at www.actstudent.org (credit card required).
The ACT test (no writing) fee for the 2017-2018 school year is $42.50 The ACT Plus Writing fee is $58.50. UC's require the writing portion.
Fee waivers are available to high school juniors and seniors (limit 1 waiver per student, 1 time only) who demonstrate financial need. See Ms. Williams in the Career Center.
ACT Test Dates during the 2017-2018 School Year:
)
THE LAST TEST FOR SENIORS IS DECEMBER.
Important Websites
California Colleges Career Websitewww.californiacolleges.edu
Kuder Career Planning Systemwww.kudernavigator.com
California State University Application www.csusmentor.edu
University of California Homepage www.universityofcalifornia.edu
University of California Application www.universityofcalifornia.edu/apply
Historically Black Colleges and Universities www.edonline.com/cq/hbcu
Los Rios Community Colleges (CRC, SCC, ARC) www.losrios.edu
NCAA Clearinghouse www.eligibilitycenter.org
United States Military www.military.com
STUDENT SERVICES DEPARTMENT (continued)
Important Dates for Seniors 2017-2018
Twice Monthly
CRC Representative available in the Career Center (Fridays)
Check Weekly
The College Visit Board and Bulletin for college visits.
August/September
August 26
Senior class transcript review and post-secondary presentations.
SAT Administration
September – November
Senior/Counselor Conferences begin. Counselors will send passes to students for their scheduled time. For students who wish to request an early conference date, see your counselor.
September-November
College Application Workshops- UC, CSU and Common Applications (sign up in the Career Center, space is limited)
September- December College visits in the Career Center (sign up in the Career Center)
September 15
Historically Black College Fair – Gain exposure to many Historically Black Colleges and Universities (HBCU). Meet with official college admissions officers. On-the-Spot Admissions, assistance and information on required SAT and ACT tests, available scholarships and financial aid. Monterey Trails HS 9-12.
September 22
Registration deadline for the October 28 ACT Test date
October 1 – November 3 Apply online to CSU’s. Application deadline is November 30.
October 4
EGUSD College and Career Fair @ Valley High School from 6:30 - 8:00 p.m.
October 5
October 7
Registration deadline for the November 4th SAT Reasoning or Subject Test date.
SAT Administration
October 9
October 28
Financial Aid Night at Pleasant Grove High School – in Cafeteria at 6:30 p.m.
ACT Administration
November 1 - 30
Apply online to UC’s. Application deadline is November 30.
November 1
ASVAB Test- Administered at PGHS 8 - 11 a.m.
November 2
November 3
December 2
December 9
Registration deadline for the December 2nd SAT Reasoning or Subject Test date.
Registration deadline for the December 9 ACT test date.
SAT Administration
ACT Administration
October - March 2
FAFSA and Cal Grant form filing period for financial aid - Due March 2
January - February
Community College Application Workshops and Online Orientations- Los Rios Community College District
Important Websites
California Colleges Career Websitewww.californiacolleges.edu
Kuder Career Planning Systemwww.kudernavigator.com
California State University Application www2.calstate.edu
University of California Homepagewww.universityofcalifornia.edu
University of California Applicationwww.universityofcalifornia.edu/apply
Historically Black Colleges and Universities www.edonline.com/cq/hbcu
Los Rios Community Colleges (CRC, SCC, ARC) www.losrios.edu
NCAA Clearinghousewww.eligibilitycenter.org
United States Military www.military.com
STUDENT SERVICES DEPARTMENT (continued)
Start with the FAFSA- It's Free!
To apply for federal and state financial aid, you'll need to complete the free application for Federal Student Aid, or FAFSA. Whether you apply online a www.fafsa.ed.gov, it's free. Many college and state agencies also use the FAFSA to award their own student aid dollars.
Tips for Completing the FAFSA
You will need records of income for the prior- prior year to when you will start school. For example, students planning to attend college for the 2018-2019 school year, will need financial information from 2017.
Dependent students and their parents should gather these materials beforehand:
* Your FSAID (required for parent and student) when filing online. Get your FAFSA ID at fsaid.ed.gov
* Student's and parents' social security numbers
* Student's driver's license (if any)
* Parents' 2017 income tax return with all schedules and W-2 forms
* 2016 bank statements, mortgage information, business, farm, stock, bond and other investment records
* Records of untaxed income- welfare, Temporary Assistance to Needy Families (TANF), veterans and Social Security benefits, your Alien Registration Card, if you are not a US Citizen
You should file your FAFSA as soon as possible after October 1, 2017 and no later than March 2, 2018 as required for the Cal Grant Program. Make sure that you complete the 2018-2019 form, not the 2017-2018 form. It will be available 10/1/2017!
The easiest, fastest and smartest way to file the FAFSA is online using FAFSA on the WEB at www.fafsa.ed.gov. The site is available in both English and Spanish.
Don't disqualify yourself! If your family's income is too high, you may not receive need-based aid, but you could still qualify for scholarships, work- study or low interest student loans. So be sure to apply! It's also a good safety net if your financial situation suddenly changes.
Cal Grants
Cal Grants are free money for college. Every high school senior that meets the academic, financial and eligibility requirements, and applies on time, is guaranteed a Cal Grant to attend a qualifying California college. The guarantee also extends to high school seniors who first go to a California Community College and then transfer to a four-year college within 5 years. To be eligible for a Cal Grant, you must:
Submit both the FAFSA and the Cal Grant GPA Verification form by the March 2 (EGUSD will submit the Cal Grant GPA verification for all seniors) deadline. Be a US citizen or an eligible non-citizen. Attend a qualifying California college. Have a family income and assets below the allowed ceiling (changes each year- check them out at www.csac.ca.gov).
STUDENT SERVICES DEPARTMENT (continued)
CAREER CENTER UPDATE
The Career Center, located in the Student Services building has a fully equipped computer lab. We will be able to accommodate classes throughout the year during our career units. In addition we will be offering college application workshops and numerous college visits.
Career/College Units:
Juniors: February/March (3 days) Career Unit (resume, values assessment, college/career choices etc.)
Sophomores: March/April (1 day) Career Unit (skills assessment, college major search, career choices etc.)
Freshmen: September - November (1 day) Career Unit (interest assessment, college and career exploration, 4-year plan, career choices, etc.)
Please contact Sebastian Lampe or Gina Williams with questions - 686-0233
| DATE | GRADE |
|---|---|
| January | 11 to 12 |
| January/February | 10 to 11 |
| February | 9 to 10 |
INCOMING 9TH GRADE PARENT NIGHT MARCH 1, 2018
INCOMING 9TH GRADE COURSE SELECTION MARCH 5 & 9, 2018
6:00 p.m. in the PGHS Cafeteria
Albiani Middle School in science classes
Make-up in the library
MARCH 21, 2018
9:00 - 11:00 a.m.
Dear Parents and Guardians:
We would like to extend an invitation for you to participate in our "Take Your Parents to School Day" to be held at Pleasant Grove High School on Thursday,
February 15, 2018.
It is extremely important that you register on-line
at P
GHS.net or pick up a form in the school office w
hichwill be available February 5, 2018.
We realize how busy you are and would greatly appreciate any amount of time you are able to spend in class with your child and at the school.
Your comments, contribution, and participation are especially welcome at Pleasant Grove High School. We look forward to seeing you on February 15. Please let us know if you will be able to participate by registering through our online system by Tuesday, February 13, 2018.
Respectfully,
Hank Meyer, Principal
Agenda of Activities
Opening program will begin in the Pleasant Grove High School gymnasium.
7:30 - 8:00 a.m. Registration/Continental Breakfast
8:00 - 8:40 a.m. Orientation/Entertainment
Principal's Welcome Message
8:48 a.m. - 3:11 p.m. Attend Classes
9:40 - 10:26 a.m. Various parent workshops offered throughout the day.
EGUSD INFORMATION...
EGUSD Parent Handbook of Student Academic Learning Expectations
Due to budget cuts, hard copies of "A Parent Handbook of Student Academic Learning Expectations" will not be distributed to sites this year. The handbook can be accessed by parents off of the EGUSD website at the following link(s):
Elementary: http://www.egusd.net/students_parents/pdfs/0910_K-6_Parent_Pamphlet.pdf
Secondary: http://www.egusd.net/students_parents/pdfs/0910_7-12_Parent_Pamphlet.pdf
Student Accident Insurance
2017-18 Opt-Out Form
Dear Parents/Guardians:
The school district assumes no liability for accidents to students at school (E.C. 49472, 49471, 48980) and the district does not provide medical insurance for individual students. However, you may purchase student accident insurance if you wish to do so. The insurance provides coverage for your child while on school grounds or in school building during the time your child is required to be there during a regular school day while being transported by the district to and from school or other place of instruction; or while at any other place as an incident to school-sponsored activities and while being transported to, from and between such places.
Markel will no longer be providing application packets. Applications will ONLY be accepted online at the following link, http://markel.sevencorners.com or by phone: (877) 444-5014.
The forms are available on the District's website: http://www.egusd.net/students-families/egusd-forms/ This form provides parents the opportunity to opt their student out of public media coverage, posting of student images and names through EGUSD digital communication tools, release of directory information, films, and family life education.
Please note - the forms expire annually.
EMERGENCY CONTACT INFORMATION
For further information: http://www.egusd.net/
riskmanagement/Info-SAR.html#SAI
If your child's emergency information has changed, please come to the administration office to pick up an "change of information" form.
ELK GROVE UNIFIED SCHOOL DISTRICT
2017-2018 SCHOOL YEAR CALENDAR
To access the EGUSD 2017-2018 school year calendar Go to the district's website: www.egusd.net/calendars/index.cfm
Mission Statement
The Pleasant Grove High School community will challenge all students to excel in an academically rigorous setting where they establish and achieve individual goals, communicate effectively, and interact respectfully and responsibly as they prepare for the future.
Student Core Values
To that end, the following four core values guide students in their educational pursuit at PGHS. The student at PGHS will demonstrate:
- RIGOR - by utilizing and developing their critical thinking skills in a rigorous academic environment, by communicating effectively, and by seeking and creating solutions to complex problems.
- RELEVANCE - by applying current learning to advance their career, social and civic goals.
- RELATIONSHIPS – by fostering relationships among other students and staff to develop life-long, self-directed learning and interpersonal skills that build connections to the school and global community.
- RESPECT – by honoring self and others through accepting personal responsibility for their actions and showing respect for diverse voices and life experiences.
|
PO Box 130 | Manchester, CT 06045 Phone: (860) 646-4667 | Fax: (860) 649-3934 www.cametoidtechnologies.com
PURCHASE TERMS AND CONDITIONS (2018)
"Buyer" refers to Cametoid Technologies, Inc., a privately held company incorporated in Manchester, Connecticut.
"Seller" refers to the vendor/supplier/contractor or the like who is selling their product(s) and/or service(s) to Cametoid Technologies, Inc. and/or its customer(s).
"Parties" refers to the buyer and seller together with respect to this agreement.
"Agreement" refers to the contractual agreement being entered into by the parties.
1.0 Acceptance – In accepting the purchase order, the seller agrees to the terms and conditions contained herein.
2.0 Agreement – The agreement shall be governed by the laws of the United States of America. The purchase order, including pertinent drawings, specifications, and all other information, if any, shall constitute the entire agreement between the parties and supersedes all prior offers, negotiations, and agreements relating to the subject matter. No condition inserted by the seller in acknowledging and accepting this order shall be effective unless such condition(s) is/are accepted by the buyer in writing. No waiver by the buyer of any default shall be deemed a waiver of any subsequent default. Either the buyer or seller may assign their rights under this contract, but neither may without the written consent of the other party delegate their performance to an assignee.
3.0 Shipping instructions and Invoicing – The seller agrees to properly prepare all goods for shipping so as to prevent damage in transit, to comply with the buyer's shipping and/or routing instructions, and to ship in accordance with common carriers, in a manner so as to incur a minimum transportation cost. No additional charge shall be made against the buyer unless otherwise stated herein in connection with the foregoing. The seller bears all risk of loss, deterioration, or damage until the goods are delivered as required in the agreement. The seller shall be paid in cash or equivalent, as agreeable to the seller, after the date of goods/services and by the terms of the purchase order, upon the submission of properly certified invoices in duplicate, the prices stipulated herein for goods delivered and accepted or services rendered and accepted, less deductions, if any, as provided herein.
4.0 Delivery – Delivery shall be in accordance with this order and time is of essence. When the seller has reason to believe that a delivery will not be made as scheduled, written notice concerning the cause of the delay and estimated delivery date shall be forwarded immediately to the buyer. If shipment by premium transportation becomes necessary in order to fulfill the seller's delivery requirement(s) of this agreement, transportation charges in excess of what the buyer has previously agreed to pay, shall be paid by the seller. Nothing contained in this article shall prevent termination by the buyer under the provisions of this order.
5.0 Warranty – The seller expressly warrants that all goods covered by this agreement will conform to the specifications, drawings, samples, or other information provided or specified by the buyer, and will be merchantable of good material and workmanship and free from defect. The seller expressly warrants that all goods covered by this agreement which are of the seller's design or are the seller's standard product or are in accordance with seller's specifications, will be fit and sufficient, for the purpose intended. Payment for, inspection of, and acceptance of the goods shall not constitute a waiver of any breach of warranty. The warranties of the seller together with the service guarantees shall extend to the buyer's customers. The seller must notify the buyer any nonconforming product shipped to the buyer.
6.0 Changes -No changes in this order shall be made by the seller without prior written amendment by the buyer's authorized procurement representative. The buyer shall have the right to make changes and/or additions to the drawings, designs, and specification of material, specifically manufactured, to issue additional instructions, or to reduce or increase the quantities, or to modify the method of shipment, packaging, or place of delivery. If any such changes made cause an increase or decrease in the time require for, or the cost of, the performance of any part of this order, an equitable adjustment in the delivery requirement or contract price will be made and this order will be modified in writing accordingly. Any claim for adjustment under this provision must be asserted by the seller, in writing, within thirty (30) days from the date a change is ordered. Nothing in this provision, however, shall excuse a seller from proceeding with the order as changed.
Seller must notify the buyer any changes in product and/or process definition and, where required, obtain buyer’s approval
7.0 Buyer Furnished Property – All drawings, materials, tool specification, data, and other items and information, furnished or specifically paid for by the buyer shall remain the property of the buyer, and shall be returned upon completion of the seller's work, without additional cost, shall be kept for filling orders for the buyer, shall be kept separate, and shall be clearly identified as the property of the buyer. The seller assumes all liability for loss and/or damage, with the exception of normal wear and tear, and agrees to supply detailed statements of inventory, as requested by the buyer. Neither the purchase order nor delivery to the seller of the buyer's property shall grant or convey to the seller any rights to reproduce the articles called for here under, the drawings, specifications, data, tool specification, or other information, for anyone other than the buyer. –Seller must notify Buyer any changes in product and/or process definition and, where required, obtain buyer's approval
8.0 Insurance – The seller will carry adequate insurance (fire, theft, extended coverage) against unusual risks of loss covering any property belonging to the buyer, so long as such property is in the possession, control of, or transit from, the seller's facility, as delivery requirements called for herein. Said insurance shall be payable to the buyer and the seller as their interest may appear.
9.0 Indemnification – The seller shall indemnify and hold harmless the buyer, its officers and employees, to the full extend of any liability, loss, damage, or other cost or expense by reason of alleged or actual property damage or personal injury arising out of, as a result of, or in connection with, any act or omission of the seller, its employees, agents, subcontractors, or lower tier subcontractors.
10.0 Patents – The seller warrants that the sale or use of its products shall not infringe any United States or foreign patent, and the seller undertakes to indemnify the buyer against all judgements, decrees, costs, and expenses resulting from any alleged infringement and to defend, upon request of the buyer, its vendees, licensees, leasees, or assignees under any claim of patent infringement in the use or sale of the seller's products. The seller agrees to obtain like protection from its suppliers of materials or items incorporated in the products and/or services covered by this order.
11.0 Price Reduction – If during the term of this order, the seller makes a general price reduction in the price of any of the products being purchased by this order, at the state quantities, an equivalent price reduction shall be applied to this order for similar quantities placed under this order and unshipped at the time of such general price reduction. Such newly established prices shall apply for the duration of this order, or until such prices are further reduced.
12.0 Taxes – The purchase order shall not impose upon the buyer any liability for payment or reimbursement of any tax or taxes now, or hereafter, imposed by any taxing authority, upon the transaction(s) herein. Unless the seller in its acceptance of the purchase order and price quotation expressly specifies the nature and amount of tax to be added thereto, and such additional amount is further agreed to by the buyer. Any tax so imposed and not agreed to by the buyer shall be paid by the seller.
13.0 Default – If the seller fails to make delivery or repudiates or if the buyer regretfully rejects the goods or revokes acceptance thereof then with respect to any goods involved, and with respect to the whole, if the breach goes to the hole of the contract, the buyer may cancel all or any part of the contract. Whether or not the buyer does so, the buyer may, in addition, recover from the seller, damages as to all goods affected whether paid or not, if they have been identified in the contract. The buyer may cover by making, in good faith, and without unreasonable delay any purchase of or contract to purchase goods, in substitution for those due from the seller. The buyer shall recover from the seller as damaged the difference between the cost of cover and the contract price together with any incidental or consequential damages, but less expenses saved in consequences of seller's breach. The foregoing shall not be the exclusive remedies of the buyer for any such breach by the seller, but the buyer shall have all other remedies available in law or equity. The seller, however, shall not be liable for excess costs if failure is beyond the control and without fault or negligence of the seller.
14.0 Setoff and Withholding – The buyer may set off any amount due from the seller, whether or not in the purchase order, against any amount due the seller hereunder. The buyer may withhold from payment to the seller an amount sufficient to reimburse the buyer for any loss, damages, expenses, or other costs or liabilities related to the seller's alleged or actual failure to comply with any requirement of the purchase order.
15.0 Termination – Buyer may terminate under the purchase order in whole or in part at any time by written notice to the seller. Upon termination in whole or in part of this work under the purchase order by buyer pursuant to this section, seller will, as to the terminated portion of the purchase order, stop work immediately, notify subcontractors to stop work, and protect property in seller's possession in whole where buyer has or may acquire any interest. Except where such termination is occasioned by the default or delay of seller, seller may claim reimbursement on forms which buyer will furnish on request, for seller's actual costs incurred up to and including the date of termination which are properly allocable to, or apportionable under recognized accounting practices to the terminated portion of the purchase order, including liabilities to subcontractors previously billed or paid for, but excluding any charge for interest or any materials which seller may be able to defer to other orders. Seller may also claim reasonable profit on the work actually done by seller prior to such termination, the rate of which shall not exceed the rate used in establishing the original purchase order price. The total of such a claim shall not, however, exceed the cancelled commitment value of the purchase order.
16.0 Identification of Documentation – All documents submitted to the buyer in connection with this order, eg: invoices, packing slips, correspondence, etc., shall be identified with the purchase order number, the applicable purchase order item number, buyer's part number, as applicable, and buyer's description of the item being purchased. Failure to comply with this provision may result in the rejection of documentation, the shipment, or both.
17.0 Insolvency of Seller – If the seller shall become bankrupt, insolvent, or make an assignment for the benefit of creditors, during the term of this contract, this contract shall be deemed breached by the seller, and the buyer shall have the right to terminate this contract by serving written notice of such termination. Such termination shall not affect any claim for damages available to the buyer.
18.0 Waste Disposal – If the purchase order is for the transportation, treatment, and/or disposal of waste, the buyer's liability ends once the seller's truck has been loaded.
19.0 Inspection – Specifications – All goods shall be in accordance with the specifications specified on the purchase order and shall be subject to inspection and test by the buyer during manufacture
20.0 Goods - Where practical and at all other items and places. All goods shall be received subject to buyers while in seller's possession. Goods returned to the seller will be inspection and acceptance regardless of source inspection, inspection or test of, or payment for. Acceptance by the buyer does not relieve seller of liability for latent defects or fraud. The buyer shall have the right to reject any goods found to be defective in materials, workmanship, or otherwise not in compliance with the requirements of the order and returned the same at seller's expense, or may require replacement or correction by seller. If any goods fabricated by seller from materials furnished by the buyer are rejected due to seller's fault or failure to meet requirements of this order, the seller shall pay buyer the replacement cost of the material so furnished. Seller will pay buyer replacement cost of buyer's materials or tools damaged charged back to the seller at full purchase order price plus all transportation charges.
21.0 Right of Entry – Seller acceptance of the purchase order entitles buyer access to seller's premises and any place necessary to determine and verify the quality of contracted work, records, and materials. This includes, but is not limited to, source inspection, process, paperwork, or quality system audit, survey, or verification that all requirements and specifications stipulated by the purchase order are met or are being met. This right of entry shall also include buyer's customer(s), supplier(s), regulatory agencies, or representative(s) of the buyer.
22.0 Delegation of Supplier Verification to Subcontractors – Where buyer has delegated product verification to seller, the buyer shall explicitly define the requirements for the delegation. The seller shall maintain explicit records to demonstrate compliance to specification and objective evidence to support seller verification.
23.0 Requirements Flowdown – If seller is required to further subcontract work, materials, and/or inspection, it shall be the seller's sole responsibility to ensure that all terms, conditions, and specifications stipulated in the buyer's purchase order flow down to seller's subcontractor(s). Any characteristics not verifiable upon receipt of goods by buyer shall be controlled by seller or seller's subcontractor, in accordance with this and other provisions. This flowdown of requirements must include buyer's right of entry to seller or seller's subcontractor's premises, and seller or seller's subcontractor's requirement to maintain and provide objective evidence to support verification of workmanship and compliance to all requirements of the buyer's original purchase order. Buyer reserves the right to flow down additional requirements to satisfy specific customer and or business requirement that apply. Suppliers agree to flow down applicable order requirements to any approved subcontractors along with all government ratings. All customers providing Cametoid Technologies with Boeing related purchase orders, per the requirements of D14426, must be in compliant with the Purchase order requirements detailed within Appendix A of the user instructions located in D14426. Flowdown requirements can be found here: http://active.boeing.com/doingbiz/d14426/Appendix-D.pdf
24.0 Certificate of Compliance - Suppliers shall provide a Test Report or Certificate of Compliance verifying that the order meets all referenced standards, purchase order requirements, as well as applicable commercial or military standards. Special process suppliers must utilize only qualified personnel to perform special processes and maintain all process, inspection and test records pertaining to purchase orders for a period of 40 years.
25.0 Where required by the purchase order, test reports and/or test specimens must be provided with the first delivery scheduled or a date to be specified by the purchase order.
26.0 All production, quality, and testing records must be maintained for a period of not less than 10 years. These records must be readily available for audit, review, and/or inspection, as per provision 17.0 above.
27.0 Partial Invalidity: Wavier – If any provisions of these Terms and Conditions or the purchase order hereunder are or become void or unenforceable, the other provisions shall remain valid and enforceable. Waiver of one provision of these Terms and Conditions by buyer shall in no way act as a waiver of any other provisions herein.
28.0 Assignment – The seller shall not assign, sublet, or subcontract the purchase order, in whole or in part, without the prior written approval of the buyer.
29.0 Order of Precedence – In the event of inconsistency among the provisions of the purchase order, such inconsistencies shall be resolved by giving precedence in the following sequence: (1) Provisions of the purchase order itself; (2) These terms and conditions; and (3) other documents, drawings, samples, exhibits or attachments.
30.0 Quality Management System - The supplier shall maintain a Quality Management System that adequately insures all products and/or services will meet the specified requirements. Suppliers must notify Cametoid Technologies of any changes to their Quality Management System or certifications.
31.0 Nonconforming Material - Material found to be non-conforming per the specifications of the purchase order, shall be held and not released, without approval from the Buyer. Approval will be in the form of an e-mail, fax, or letter. The Seller shall notify the Buyer of the nonconforming material in the form of an e-mail, fax or letter.
32.0 Counterfeit parts prevention on purchase order terms and conditions - Seller agrees and shall ensure that only new and non-counterfeit parts, materials and components are used in products required to be delivered to buyer. No other parts, materials or components shall be used unless approved in advance in writing by buyer. To further mitigate the possibility of the inadvertent use of counterfeit parts, materials or components, Seller shall only purchase parts, materials and components directly from the Original Equipment Manufacturers (OEMs), directly through the OEM's authorized distribution chain, or directly from Independent Distributors. If procured from Independent Distributors, Seller shall make available to Buyer upon adequate OEM documentation in Buyer's sole judgment that authenticates the traceability of the parts, materials and components to the applicable OEM. If the required items cannot be procured from the above identified three sources, use of parts, materials or components product without appropriate traceability documentation from independent brokers or any other sources is not authorized unless first approved in writing by Buyer. Seller must present full, complete and compelling support for its request and include in its request all actions to ensure that the parts, materials and components thus procured are legitimate and not counterfeit. Buyer may also request at any time a certification of traceability from the Seller and/or Seller's sources.
33.0 Configuration Changes - The Seller shall maintain configuration control of all parts, materials and processes such that, after the delivery of the initial lot, all subsequent lots shall be the same as the initial lot for all parts, materials and processes. There shall be no changes in product and/or process, changes of suppliers, changes of manufacturing, process, product, facility, certification status and location without prior notification in writing to Buyer, for approval. Seller shall not outsource any processes without written notification to Buyer, for approval.
34.0 Product Safety and Conformity - Supplier is expected to develop, implement, and maintain effective policies and training programs to ensure their employees are aware of their relevant contribution to the quality, safety and conformity of their products and/or services.
35.0 Ethical Behavior - Supplier acknowledges and agrees that our Buyer requires that Supplier maintain a high standard of ethical conduct in all its dealings with the Buyer. Cametoid Technologies Inc., policy prohibits all employees from accepting gratuities, gifts, entertainment or other favors as well as from engaging in any activities which create the perception of a conflict of interest, from any current or prospective Supplier. Supplier is encouraged to implement their own written code of conduct and to flow down their principles to the entities that furnish them with goods and services. Cametoid Technologies Inc., expects its Supplier to maintain effective programs to encourage their employees to make ethical, value driven choices in their business dealings.
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Centre of Sierra Leone Studies – The politics of Sierra Leone
The government of Sierra Leone is the governing authority of the Republic of Sierra Leone, as established by the Sierra Leone Constitution. The Sierra Leone government is divided into three branches: the executive, legislative and the judicial. The seat of government of Sierra Leone is in the capital Freetown.
The government of Sierra Leone takes place in a framework of a presidential representative democratic republic, whereby the President of Sierra Leone is both head of state and head of government, and of a multi-party system.
Executive power is exercised by the president.
Legislative power is vested in by the Parliament of Sierra Leone.
The judiciary of Sierra Leone is independent of the executive and the legislature.
Civil rights and freedom of religion are respected.
From the BBC Website – early 2017
Sierra Leone, a country in West Africa, has a special significance in the history of the transatlantic slave trade as the departure point for thousands of West African captives. The capital, Freetown, was founded as a home for repatriated former slaves in 1787.
But the country's modern history has been overshadowed by a brutal civil war that ended in 2002 with the help of Britain, the former colonial power, and a large United Nations peacekeeping mission.
Sierra Leone has experienced substantial economic growth in recent years, although the ruinous effects of the civil war continue to be felt.
The country is also rich in diamonds and other minerals. The trade in illicit gems, known as "blood diamonds" for their role in funding conflicts, perpetuated the civil war. The government has sought to crack down on the trade.
Republic of Sierra Leone
Capital: Freetown
- Population 6.1 million
- Area 71,740 sq km (27,699 sq miles)
- Languages English, Krio (Creole language derived from English) and a range of African languages
- Major religions Islam, Christianity
- Life expectancy 48 years (men), 49 years (women)
The media in Sierra Leone – BBC early 2017
Media freedom in Sierra Leone has its limits; media rights monitors say high-level corruption is a taboo topic, with officials using libel laws to target errant journalists.
Challenges facing broadcasters include unreliable power supplies, poor funding and low advertising revenues. There are dozens of radio stations, most of them privately owned.
A national public broadcaster, the Sierra Leone Broadcasting Corporation (SLBC), was formed in 2010 by a merger of the former state-run broadcaster and a UN radio network.
BBC World Service can be heard on FM in Freetown (94.3), Bo (94.5) and Kenema (95.3). Voice of America and Radio France Internationale broadcast on FM in Freetown.
Dozens of newspapers are published in Freetown, despite low literacy levels. Most of them are privately-run and are often critical of the government.
The press
[x] Awoko
[x] Standard Times
[x] Awareness Times
Television
[x] Sierra Leone Broadcasting Corporation (SLBC) - terrestrial network with limited coverage
[x] ABC TV - private
[x] Sierra Leone Broadcasting Corporation (SLBC) - national broadcaster
[x] Radio Democracy 98.1 FM - Freetown station, once the voice of the exiled Kabbah government, regarded as pro-government
[x] Kiss FM - private station in Bo
[x] SKYY FM - private station in Freetown
[x] Capital Radio - private station in Freetown
[x] Believers Broadcasting Network - Freetown, Christian FM station
Radio
[x] Voice of the Handicapped - founded as an FM station for disabled citizens, but attracts a wider audience
News agency/websites
[x] Cotton Tree News - news website, operated by NGOs
[x] Sierra Leone News Agency
A brief time line
A chronology of key events
1787 - British abolitionists and philanthropists establish a settlement in Freetown for repatriated and rescued slaves.
[x] Freetown, the capital, is a port city and commercial hub
[x] Settled by freed and rescued slaves in 18th century
[x] 1821: Made seat of government for British territories in West Africa
[x] Became capital in 1961
1808 - Freetown settlement becomes crown colony.
1896 - Britain sets up a protectorate over the Freetown hinterland.
1954 - Sir Milton Margai, leader of the Sierra Leone People's Party, appointed chief minister.
1961 - Sierra Leone becomes independent.
1967 - Military coup deposes Premier Siaka Stevens' government.
1968 - Siaka Stevens returns to power at the head of a civilian government following another military coup.
1971 - Sierra Leone declared a republic, Stevens becomes executive president.
1978 - New constitution proclaims Sierra Leone a one-party state with the All People's Congress as the sole legal party.
1985 - Maj-Gen Joseph Saidu Momoh becomes president following Stevens's retirement.
War and coups
1991 - Start of civil war. Former army corporal Foday Sankoh and his Revolutionary United Front (RUF) begin campaign against President Momoh, capturing towns on border with Liberia.
1991 September - New constitution providing for a multiparty system adopted.
1992 - President Joseph Momoh ousted in military coup led by Capt Valentine Strasser, apparently frustrated by failure to deal with rebels. Under international pressure, Capt Strasser announces plans for the first multi-party elections since 1967.
1996 January - Valentine Strasser ousted in military coup led by his defence minister, Brig Julius Maada Bio. constitution
1996 - Ahmad Tejan Kabbah elected president in February, signs peace accord with Sankoh's rebels in November.
1997 - Peace deal unravels. President Kabbah deposed by army in May. Maj Johnny Paul Koroma, in prison awaiting the outcome of a treason trial, leads the military junta - the Armed Forces Revolutionary Council (AFRC). Koroma suspends the constitution, bans demonstrations and abolishes political parties.
Kabbah flees to Guinea to mobilise international support.
1997 July - The Commonwealth suspends Sierra Leone.
1997 October - The UN Security Council imposes sanctions on Sierra Leone, barring the supply of arms and petroleum products. A British company, Sandline, nonetheless supplies "logistical support", including rifles, to Kabbah allies.
1998 February - Nigerian-led West African intervention force Ecomog storms Freetown and drives rebels out.
1998 March - Kabbah makes a triumphant return to Freetown amid scenes of public rejoicing.
1999 January - Rebels backing Revolutionary United Front leader Foday Sankoh seize parts of Freetown from Ecomog. After weeks of bitter fighting they are driven out, leaving behind 5,000 dead and a devastated city.
Sierra Leone's blood diamond legacy
Are Africa's commodities an economic blessing?
1999 May - A ceasefire is greeted with cautious optimism in Freetown amid hopes that eight years of civil war may soon be over.
1999 July - Six weeks of talks in the Togolese capital, Lome, result in a peace agreement, under which the rebels receive posts in government and assurances they will not be prosecuted for war crimes.
1999 November/December - UN troops arrive to police the peace agreement - but one rebel leader, Sam Bokari, says they are not welcome. Meanwhile, Ecomog troops are attacked outside Freetown.
2000 April/May - UN forces come under attack in the east of the country, but far worse is in store when first 50, then several hundred UN troops are abducted.
2000 May - Rebels close in on Freetown; 800 British paratroopers sent to Freetown to evacuate British citizens and to help secure the airport for UN peacekeepers; rebel leader Foday Sankoh captured.
2000 August - Eleven British soldiers are taken hostage by a renegade militia group called the West Side Boys.
Disarming rebels
2000 September - British forces mount operation to rescue remaining UK hostages.
2001 January - Government postpones presidential and parliamentary elections - set for February and March - because of continuing insecurity.
[x] RUF leader Foday Sankoh was idolised as a lion by supporters
[x] RUF was notorious for mass rape and mutilations during civil war
[x] Sankoh died before he could be tried by UN-backed war crimes court
2001 March - UN troops for the first time begin to deploy peacefully in rebel-held territory.
2001 May - Disarmament of rebels begins, and British-trained Sierra Leone army starts deploying in rebel-held areas.
2002 January - War declared over. UN mission says disarmament of 45,000 fighters is complete. Government, UN agree to set up war crimes court.
2002 May - Kabbah wins a landslide victory in elections. His Sierra Leone People's Party secures a majority in parliament.
2002 July - British troops leave Sierra Leone after their two-year mission to help end the civil war.
2003 July - Rebel leader Foday Sankoh dies of natural causes while awaiting trial for war crimes.
2003 August - President Kabbah tells truth and reconciliation commission that he had no say over operations of pro-government militias during war.
2004 February - Disarmament and rehabilitation of more than 70,000 civil war combatants officially completed.
War crimes trials
2004 June - UN-backed war crimes war crimes trials begin.
2004 September - UN hands control of security in capital over to local forces.
2005 August - UN Security Council authorises opening of a UN assistance mission in Sierra Leone from 2006, to follow departure of peacekeepers in December.
2005 December - The last UN peacekeeping troops leave Sierra Leone, marking the end of a fiveyear mission to restore order.
2006 March - Liberian ex-president Charles Taylor is arrested in Nigeria and handed over to the war crimes court in Sierra Leone which indicted him.
2006 December - President Kabbah says 90% of the country's $1.6bn (£815m) debt has been written off after negotiations with international creditors.
Taylor trial
2007 June - Start of former Liberian President Charles Taylor's war crimes trial in The Hague, where he stands accused of instigating atrocities in Sierra Leone.
Sierra Leone's special war crimes court in Freetown delivers its first verdicts, finding three militia leaders guilty.
2007 August - Presidential and parliamentary polls. Ernest Bai Koroma wins the presidency and his All People's Congress, formerly in opposition, wins a majority in parliament.
2009 October - UN-backed Special Court winds down after seven years investigating civil war atrocities. Its remaining case, the trial of Charles Taylor, continues in The Hague.
2010 September - UN Security Council lifts last remaining sanctions against Sierra Leone - an arms embargo and a travel ban for rebels.
2012 February - Energy companies report discovery of oil off the coasts of Liberia and Sierra Leone. Work continues to estimate their size.
2012 April - The UN-backed Sierra Leone war crimes court in The Hague concludes its work with the conviction of former Liberian leader Charles Taylor of aiding and abetting war crimes in the Sierra Leone civil war.
2012 November - First elections for since the end of the civil war held without UN oversight. President Koroma wins a second term.
2013 April - Sierra Leone deploys a battalion of troops to Somalia to join the African Union peacekeeping mission.
Ebola epidemic
2014 July - Sierra Leone declares a state of emergency to tackle the deadly Ebola outbreak which has killed more than 700 in West Africa.
2014 August - President Ernest Bai Koroma dismisses Health Minister Miatta Kargbo over her handling of the Ebola epidemic that has killed more than 400 people in Sierra Leone.
2014 September - People in Sierra Leone are instructed to stay indoors for three days, as part of the country's strategy to stop the spread of the deadly Ebola virus.
2015 March - Vice-President Samuel Sam-Sumana seeks asylum in US embassy, claiming his life is in danger. President Koroma accuses him of fomenting violence, and dismisses him.
2016 March - The World Health Organisation declares Sierra Leone Ebola-free for a second time, after a new flare-up in the wake of the first all-clear in November.
The Sierra Leone page of The Economist http://www.economist.com/topics/sierra-leone
https://www.amazon.co.uk/Sierra-Leone-Political-David-Harris/dp/184904323X
The Constitution http://thecommonwealth.org/our-member-countries/sierra-leone/constitution-politics
Face Book page, focused on politics https://www.facebook.com/groups/143184262439799
Analysis of recent elections https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/67647/electionssl-2007-2008.pdf
Women in Politics https://assets.publishing.service.gov.uk/media/57a08ac5ed915d3cfd00092c/CS_Women_and_Poli tics_SL.pdf
State Department (USA) Sierra Leone page https://www.state.gov/r/pa/ei/bgn/5475.htm
Gender Politics http://democracyinafrica.org/women-organising-gender-equality-sierra-leonean-politics/
Political Parties in Sierra Leone https://en.wikipedia.org/wiki/All_People%27s_Congress
Freedom House Report on Sierra Leone https://freedomhouse.org/report/freedom-world/2012/sierra-leone
Parties and Pressure Groups https://archiveshub.jisc.ac.uk/search/archives/48451aeb-3905-3fa9-9a8a-56f28870ae2f
Elections in Sierra Leone http://africanelections.tripod.com/sl.html
The political economy http://www.gsdrc.org/docs/open/hd710.pdf
Chieftaincy and politics – post war https://assets.publishing.service.gov.uk/media/57a08cc340f0b64974001414/R8095c.pdf
Post WW2 politics https://books.google.co.uk/books/about/Politics_in_Sierra_Leone_1947_67.html? id=TVEeAAAAIAAJ&redir_esc=y
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The Need of Advanced Driver-Assistance System's Development based on an Analysis of Road Accidents
Diana GHEORGHE Bucharest University of Economic Studies, Romania email@example.com
Taking a look at the numbers of road accidents using Machine Learning techniques and configuring predictions based on historic data, the paper aims to emphasize the need of a method to decrease numbers of accidents. Machine learning techniques have shown great potential in analyzing large-scale datasets related to road accidents. By leveraging these techniques, researchers have been able to identify key contributing factors, such as driver behavior, road conditions, and vehicle characteristics, which play a crucial role in accident occurrence. Through the analysis of historical accident data, machine learning models can effectively predict the likelihood of future accidents and identify high-risk areas, enabling proactive measures to be implemented. ADAS systems provide real-time information and assist drivers in making informed decisions while driving, thereby mitigating potential risks. A particular interest of this Article is underlining the importance of ADAS in the automotive field and how it can benefit the drivers.
Keywords: Machine Learning, ADAS, Road accidents, Automotive Industry
DOI: 10.24818/issn14531305/27.3.2023.02
Introduction This research study is focusing on analyzing the evolution of road accidents throughout the years and emphasizing the need of an Advanced Driver-Assistance System (ADAS), as part of the Infotainment division. On one side it is focusing on how hardware components can work to make features that benefit the driver in terms of safety. On the other hand, the paper applies Machine Learning (ML) models with usage of a well-known predictor, namely Random Forest, to car accidents dataset. By leveraging machine learning algorithms to analyze historical accident data, insights can be gained regarding the need of ADAS's further development. 1
Recent years have witnessed an immense technology development with the boost in hardware and software capabilities alltogether. This has made possible for new technologies to emerge in the Automotive Industry, making easier for the manufacturers to include features that can prevent disaster and alert the driver on certain imminent dangers.
The author has taken into consideration facts from the past years, current behavior and future predictions of the market.
2 Advanced Driver-Assistance System (ADAS)
2.1 What is ADAS
Millions of people are involved annually in car accidents. Whether it is due to speed, drowsiness, lack of concentration or environmental distress, it is a global problem.
Introduction of ADAS has started around the year 1948, when a modern Cruise Control was developed by the American engineer Ralph Teetor [1]. It has since advanced and become an essential part of the modern automotive industry. Moreover, it has come to spotlight in recent years among the Euro NCAP (European New Car Assessment Program) summits, waiting for special regulations and conformities to be taken in support of its advancement.
2.2 ADAS Car Components
The ADAS we know today consists of various mechanism of data collection, including: RADAR, LiDAR and cameras. RADARs, which use radio waves are combined with LiDAR's laser-like light measurement system to determine distance and angle of different environment variables surrounding the car.
These hardware components give us features like Rear-view camera parking assistance, Pedestrian detection, Lane Departure Warn- ing (LDW), Traffic sign recognition (TSR). The usage of hardware components for different ADAS-related features can be seen in Figure 1.
Data collection and processing is possible with the help of high-performance processors such as Samsung's newly-developed Exynos V9 for Automotive usage, a processor model that includes an octa-core CPU, GPU and high RAM. The development of processors specifically used in Automotive underlines the growth and potential laying in this industry, and displays a glimpse at the future improvements that can be achieved.
2.3 Levels of ADAS
As ADAS features imply various fabricating and maintenance costs, they are present in a wide range of cars in various degrees. The Euro NCAP has launched, in 2020, new ADAS ratings adapted to the technology's possibilities [3].
The Adaptive Cruise Control, that takes into account the acceleration and braking on highways driving are a representative of an ADAS Level 1 vehicle, as it acts like an assistant to the driver. There is no moment in which the driver can fully let go of its assignments.
An ADAS Level 2 consists of a mild automation, a semi-automated process where the driver can trust the car at parking, or driving through slow-motioned traffic. However, even here, the driver must also assist the automation system at any moment.
Level 3 offers more automation and the driver can leave the control of the car. However, this automation is conditional and the system will announce the driver when he should manage the car again.
Level 4 is the last level where a driver is needed. Although it operates autonomous in most cases, if there are extreme conditions where the driver's input is needed it will send signals and wait for an immediate answer. If not provided, the car functionality is shut down and the car is locked.
Level 5 is the highest that can be achieved and implies full automation, thus no necessity for a driver. The role of the person can now switch to the one of a passenger's and
no driving license should be required for this level. So far, no car has reached this ADAS level as it is not sustained by current technology and by marketing strategies.
Achieving full automation means that there will be no need of a driver and thus, no need for various features currently present in the infotainment structure. This will lead to a restructuration in the whole industry chain, from manufacturing, production sites, to marketing and managing levels.
There are various controversies on marketing vehicles as having higher ADAS levels than they have in reality. Recent years have shown that there is a great need of regulations and analysis towards this field.
However, whether we are talking about a level 1 or a level 5 rated ADAS featured car, there is a considerate potential of improvement towards achieving the prevention of road accidents.
This article further focuses to find the Automotive areas that can be enhanced and provides an analysis on the number of accidents that happened in a span of 10 years and applies Machine Learning (ML) models to predict the variation of the data.
3 Prediction of Vehicle Accidents
In the past years, there has been substantial research in the field of prediction, various Machine Learning (ML) and Deep Learning (DL) techniques being proposed [4]. The pa- per uses a hybrid approach, involving ML, DL and Evolutionary techniques, being among the most successful forecasting methods [5] [6].
For the study the work environment is PyCharm program with Python serving as a programming language. The usage of different libraries such as pandas, seaborn, matplotlib are present throughout the code development.
This study involves a set of data from a span of 10 years with vehicle accidents that happened in the United Kingdom [7]. The dataset is consisting of three subsets and more than four million rows: the accidents that happened with their descriptions, the vehicle and driver's criteria and the casualty's labels. Data manipulation has been performed to indicate the best outcome possible. The categorical values have been changed to numerical and the null-value containing rows have been removed.
Before applying the ML model, a series of analysis have been performed on the available labels.
3.1 Exploratory Analysis
Exploratory analysis provides valuable insights into the dataset, helps identify issues related to data quality or anomalies, and guides further steps in the analysis and modeling process.
Taking a look at the count of accidents grouped by Year, it can be seen that there has been registered a decrease, yet small, and with tendencies of growing towards the more recent years.
Being categorized, from left to right as Fatal, Serious and Slight it can be observed in the chart above (Figure 3) that the severity of the casualty has a significant increase as the severity gets lighter.
Figure 4 displays how the age of the driver also plays an important role as it can be seen main accidents are clustered in the gap 17-62 years, with significant spikes on the beginning of each new group of age: the twenties, thirties and forties.
Impact of environmental conditions on the road accidents have been explored further taking into account Light Conditions, Weather Conditions, Road Surface factors and Road Type.
Focusing on the light conditions on the time of impact, the most cases have occurred on daylight or on the darkness with lights lit, Figure 5.
Referring to weather conditions, with no high winds, there still is a large number of acci- dents happening in mild weather conditions, Figure 6.
Furthermore, the Road Surface Conditions display the same behavior, as seen in above Figure 7, with no particular extreme condi- tions, but with most cases registered for dry or wet/damp roads.
Considering the Road Type in Figure 8, to be observed that the most cases are registered on single carriageway, followed by dual carriageways, with almost a quarter of the cases mentioned beforehand.
The Analysis implicates that, in certain cases, the weather, road state, light conditions were not extreme, therefore the avoidance of accidents could have been higher. This implicates that ADAS might play a big role in the future development of traffic monitoring.
4 Random Forest Regressor for data prediction
The Random Forest Regressor is an ensemble of decision trees made to combat the bi- ases that can occur when using a singular decision tree [8]. One decision tree, on its own, can provide an overfitting result, meaning that its prediction can be very high for the data provided, but in reality, perform poorly outside its dataset.
A Random Forest consists of multiple decision trees, each tree being an individual. The process called Bagging allows the model to select randomly, for reach tree, a subset of the training data on which to perform. Moreover, each decision tree from the forest gets a random set of features on which to perform the algorithm on, Figure 9. This stops the ensemble from generating same errors and biases [9].
In the upcoming analysis this paper uses the Random Forest Regressor model based on a series of independent and dependent variables, with the main focus on the gravity of the casualty.
Age of Driver, Engine Capacity (CC), Light Conditions, Road Type, Weather Conditions and Road Surface Conditions.
Therefore, the dependent variable is considered to be, from the dataset, the Casualty Severity. As independent variables, the author has taken into consideration the following:
The split between train and test sets has been obtained with the help of module train_test_split of sklearn.model_selection library, while considering a 20% test size and remaining 80% training size.
With the module Random Forest Regressor from sklearn library, the forest has been instantiated with 50 decision trees and a random state of 42 and has been trained on the previously split subsets.
Having a maximum depth of 48, there is a need to set the depth lower for better graphical visualization of the tree. Hence, the depth has been set to 3, obtaining, while looking at the first decision tree, Figure 10.
As it can be observed by looking at the root node in the first decision tree the split has been made considering the value of X to be set at 5.5 or less, having a square root error of 0.106, meaning the distance from the regression line to the set of split data points. As shown in the graph, the number of samples taken into the root node is 56022 with a prediction of 2.897.
gine_Capacity_(CC)" and "Light_Conditions" present a higher importance compared to the rest. At the other end, "Age_of_Driver" and "Road_Surface_Conditions" have a null importance, meaning that in further development of this process those latter variables could be removed with no implication for the accuracy of the prediction.
Further, the author focuses on the importance of the considered labels, as follows: "En-
The calculations can be seen in Figure 11 and the resulted graph is shown in Figure 12.
The forest's predict method has been used on the test data, obtaining a Mean Absolute Error of 0.2 and an Accuracy of 90.88%. The Accuracy indicates that the model used fits the purpose.
method "trial and error", found in the natural evolution of organisms.
Further analysis and calibrations will give an even better outcome, and will serve as a base for the usage of other ML techniques along with DL and Evolutionary methods.
5 Evolutionary Algorithms
Evolutionary Algorithms (EA) consist of a set of methods which are inspired by the natural evolution and behavior of organisms. The core concept that lays as the foundation of these algorithms is the problem-solving
The algorithms belonging to EAs are grouped in several categories, the most important ones being: Genetic algorithms, Evolutionary strategies, Evolutionary programming, Genetic programming and Swarm Intelligence (SI). Nowadays, the most successful approaches are of hybrid type, that is algorithms that combine classical, ML and DL techniques, with EAs.
In this paper we report a hybrid method, involving RFs and one of the most commonly used SI techniques, PSO (Particle Swarm Optimization).
5.1 Particle Swarm Optimization (Swarm intelligence)
Particle Swarm Optimization (PSO) is a population-based optimization algorithm inspired by the collective behavior of bird flocks or fish schools. It is commonly used to solve optimization problems, particularly in the field of computational intelligence and machine learning [10].
Each particle represents a potential solution to the problem and moves within the search space by adjusting its position based on its own experience and the experiences of neighboring particles.
The PSO algorithm, considering its implementations steps, is described as follows [11]:
The basic idea behind PSO is to create a swarm of particles that move through a search space to find the optimal solution.
Initialization: Initialize a population of particles randomly within the search space. Each particle has a position and a velocity, as it can be seen in the following code snippet.
```
# Initialize the swarm swarm_position = np.random.rand(num_particles, 4) # assuming 4 hyperparameters swarm_velocity = np.zeros((num_particles, 4)) swarm_best_position = swarm_position.copy() swarm_best_fitness = np.zeros(num_particles)
```
Evaluation: Evaluate the fitness or objective function value for each particle based on its current position in the search space. In the following code fragment, the fitness function quantifies the quality of the particle's position in relation to the optimization problem being solved.
```
def fitness_function(train_features, train_labels , test_features, test_labels, hyperparameters): # Instantiate the Random Forest Regressor with the given hyperparameters n_estimators=int(round(hyperparameters[0])) max_depth_value=int(round(hyperparameters[1])) min_samples_leaf=int(round(hyperparameters[2])) max_features=int(round(hyperparameters[3])) random_forest = RandomForestRegressor(n_estimators=n_estimators, max_depth=max_depth_value, min_samples_leaf=min_samples_leaf, max_features=max_features) # Train the model random_forest.fit(train_features, train_labels) # Make predictions on the testing data y_pred = random_forest.predict(test_features) # Calculate R-squared r_squared = r2_score(test_labels, y_pred) # Return R-squared as the fitness value return r_squared
```
Update personal best: Update the personal best position and fitness value for each particle. The personal best represents the best solution found by each particle individually up to the current iteration.
Update global best: Identify the particle with the best fitness value among all the particles in the swarm. This particle's position is considered the global best position. Updates of personal best and global best are calculated in the following lines of code.
```
# Update particle's best position and fitness if fitness > swarm_best_fitness[i]: swarm_best_fitness[i] = fitness swarm_best_position[i] = swarm_position[i].copy()
```
```
# Update global best position and fitness if fitness > global_best_fitness: global_best_fitness = fitness global_best_position = swarm_position[i].copy()
```
Update velocity and position: In the code fragment below, it is displayed the update of the velocity and position of each particle based on its current velocity, personal best position, and global best position. The new velocity determines the direction and magnitude of movement, while the new position reflects the updated location of the particle in the search space.
```
# Update particle's velocity and position using PSO equations inertia_weight = 0.8 cognitive_weight = 1.5 social_weight = 1.5 swarm_velocity[i] = (inertia_weight * swarm_velocity[i] + cognitive_weight * np.random.rand() * (swarm_best_position[i] - swarm_position[i]) +social_weight * np.random.rand() * (global_best_position - swarm_position[i])) swarm_position[i] += swarm_velocity[i]
```
Iteration: Repeat steps 2 to 5 for a specified number of iterations or until a termination condition is met. The particles move through the search space, adjusting their positions based on their velocities and experiences.
a maximum number of iterations, reaching a desired fitness value, or a predefined tolerance level.
Termination: The algorithm terminates when a stopping criterion is satisfied. This could be
The algorithm helped improving the previous method by obtaining an R-squared of 0.024, as seen in Figure 12.
PSO aims to strike a balance between exploration (searching a wide area of the search space) and exploitation (narrowing down to promising regions). The particles communicate and share information about the best positions found so far, allowing for collective learning and convergence towards the optimal solution.
opens a path of further research aiming to improve road accidents.
6 Conclusion
The paper successfully applies the Random Forest Regressor to fit the data obtaining a good prediction accuracy. It further applies hybridization with an Evolutive algorithm, PSO, obtaining the increase of R-squared variable and thus a better explanation of the variation of Casualty Severity data. By predicting the variation of car accidents number and the responsible variables for it, the paper
In conclusion, machine learning predictions of car accidents provide a valuable framework for evaluating the role of ADAS technologies in accident prevention. The integration of these predictions with ADAS systems can enhance their capabilities and optimize their performance in real-world driving scenarios. By leveraging machine learning analysis, researchers and industry stakeholders can make informed decisions regarding the design, implementation, and improvement of ADAS technologies to promote safer and more efficient transportation systems.
As an extension of the research, the continuation of exploring various evolutionary algorithms and their hybridization with machine learning models is desired, optimizing the data used in the study, researching the market and trends in the usage of deep learning models, composing a new deep learning model inspired by biology and adapting it to the needs of the study.
References
[1] Hyundai, "The Evolution of Cruise Control," 2018. [Online]. Available: https://www.hyundai.news/eu/articles/sto ries/the-evolution-of-cruise-control.html.
[2] Group, The Windscreen Company, "Complete Guide to ADAS," 21 02 2023. [Online]. Available: https://www.thewindscreenco.co.uk/adasguide/complete-guide-to-adas/.
[3] EURO NCAP, "About Europ NCAP," 2023. [Online]. Available: https://www.euroncap.com/en/abouteuro-ncap/timeline.
[4] L. Ding, Y. Zou, Z. Zhang, T. Zhu and L. Wu, "Vehicle Acceleration Prediction Based on Machine Learning Models and Driving Behavior Analysis," Applied Sciences, vol. 12, no. 10, 2022.
Petrom," Economic Computation and Economic Cybernetics Studies and Research, vol. 50, no. 3, 2016.
[6] C. Cocianu, C. Uscatu and M. Avramescu, "Improvement of LSTM-Based Forecasting with NARX Model through Use," Electronics, 2022.
[7] Kaggle, "Kaggle," [Online]. Available: https://www.kaggle.com/datasets/silicon9 9/dft-accident-data.
[8] T. Yiu, "Understanding Random Forest," [Online]. Available: https://towardsdatascience.com/understan ding-random-forest-58381e0602d2. [Accessed 2023].
[9] L. Breiman, "Random Forests," Springer, vol. 45, no. 1, 2001.
[10] T. Bäck and P. Schwefel, "An Overview of Evolutionary Algorithms for Parameter Optimization," Evol. Comput., vol. 1, no. 1, 1993.
[5] C. Cocianu and H. Grigoryan, "Machine Learning Techniques for Stock Market Prediction. A Case Study Of Omv
[11] Eberhart and S. Yuhui, "Particle swarm optimization: developments, applications and resources," Proceedings of the 2001 Congress on Evolutionary Computation (IEEE Cat. No.01TH8546), vol. 1, 2001.
Diana GHEORGHE graduated from Bucharest University of Economic Studies, Faculty of Informatic Economics. She works as a Full Stack Software Engineer in the Automotive field, at Harman International. Currently pursuing PhD research focused on Analysis of Financial Data using biologyinspired Artificial Intelligence algorithms. The area of interest is focused on different Artificial Intelligence and Machine Learning techniques and their development across the Automotive Industry.
|
from "In Defense of Rural America" By Ron Ewart, President of the
"Donald Trump Makes Obama Walk the Plank"
National Association of Rural Landowners and nationally recognized author and speaker on freedom and property rights issues Copyright Sunday, January 18, 2015 - All Rights Reserved
An Experiment in Satire
We will return to our articles on corruption next week, Where we will take on the massive corruption in public education.
(Refer to Disclaimer at end of article)
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SCENE 1: We enter the scene as Commodore Trump ushers President Obama out onto the plank in preparation for his jump into Davy Jone's Locker. President Obama was brought on board the USS Bill Ayers for trial at sea because the Congress would not impeach him. Walking the plank is the punishment meted out to the President by the officers of the ship, resulting from multiple and repeated violations of the law and an utter disregard for the Constitution. Senator's Reid and Congresswoman Pelosi came aboard as seconds for the President, but have been tied to the main mast as punishment for constant and irreverent interruptions at Obama's sea trial. Midshipman Clinton has been designated to inflict additional punishment on Reid and Pelosi, if it becomes necessary. Commander Romney holds up the scroll of charges against President Obama in preparation for reading them out loud to the officers and crew before sending Obama to the deep. Commodore Trump is about to issue further orders to the crew as the scene unfolds.
Commodore Trump: "President Obama, stand where you are and don't move! Quartermaster, direct the helmsman to make way at top speed for the deepest waters in the ocean, preferably where there are schools of sharks. All seaman hop to and raise all sails on the main and mizzen masts, make fast the jibs, powder monkeys stand down, stow the grog and …… "
(Just then Senator Reid interrupts the Commodore mid sentence)
Senator Reid: "This is an outrage Commodore and I protest in the strongest terms against this extreme punishment of President Obama. The President thought he was well within in his rights to do what he did. His czars told him he could."
Commodore Trump: "Midshipman Clinton, if Senator Reid opens his mouth again give him a couple of whacks on his dumbie with the "cat." If that doesn't work, stuff a gag in his mouth."
(Congresswoman Pelosi starts to open her mouth but then closes it abruptly as Midshipman Clinton reluctantly raises the "cat" above her head. The ship is now headed out to the deep sea at flank speed, with all sails snapped taught in the wind. After the ship reaches the deep ocean, the sails are trimmed and the ship lies adrift on the surface, Commodore Trump speaks.)
Commodore Trump: "All hands listen up where you stand. Commander Romney, are you prepared to read the charges against the President?"
Commander Romney: "Yes Commodore but there are almost 100 of them. Do you want me to read them all?"
Commodore Trump: "Yes, yes, shiver me timbers lad, get on with it! I'll interrupt you if I think it's necessary. Proceed and be quick about it and don't be a drivelswigger!"
Commander Romney: "Yes Commodore. President Obama, as you await your punishment, the three senior officers of the USS Bill Ayers, after hearing all of the evidence against you in a fair trial at sea, in a unanimous vote, have found you guilty as charged for the following crimes."
"1. Appointment of a shadow tribunal of officers (you called them 'czars') who were not approved by the Congress or the Commodore and myself, yet this secret tribunal had overarching regulatory powers over all other senators, congressmen and the justices, a clear violation of the constitution."
"2. You received no approval from the Congress or the senior officers of this ship for your attack on Libya in violation of the War Powers Act. You lied to the Congress and the senior officers and crew when you said that there were no troops on the ground there, when in fact there were several thousand on shore. You continue to cover up the attack on our embassy in Benghazi where our Ambassador and 3 brave men died needlessly."
"3. You have betrayed the allies of our nation, Israel and Great Britain and placed the security of those allies in grave danger. You increased funding to the Palestinian Authority while you have entered into a pact with the terrorist group Hamas and the disclosure of British nuclear secrets to the Russians. You even gave missile codes to British Trident missiles to Putin."
"4. By your Dream Act Executive Order you have encouraged tens of thousands of illegal children and adults to cross our borders. Your current executive order that will give legal status to 5 million illegal aliens already here only create another magnet for more crossings. What are we to do with them? How will we feed them? Who is going to pay for their care? Millions of Americans could lose their jobs and go hungry because of your illegal actions. And worse, you have added more debt to this nation's already un-payable debt."
"5. You have telegraphed confidential and classified information to our enemies against the consult of your senior officers – while embracing negotiations with our enemies, Iran, the Taliban, and the Muslim Brotherhood. That's treason!"
"6. You and U. S. Attorney General Holder, betrayed the citizens of Arizona and forced upon them a great burden by not allowing them to secure their borders against this illegal invasion that you alone created. You and Holder conspired against several other states and deprived them of their autonomy and burdened them with greater costs, in violation of the 10th Amendment."
"7. You have engaged in cover-ups of illegally selling arms to our enemies and Mexican drug lords with the back door intent to disarm the American population. You have used the IRS as a political weapon against those who oppose your policies."
"8. You have negotiated bad deals with our enemies where are enemies get the goodies and America gets nothing in return."
"9. Evidence was presented at trial that your previous associates were domestic terrorists that you associated with before becoming President. You ordered that this ship be named after one of those terrorists."
"10. You have purposely ignored constitutional laws that you swore on oath to uphold, by providing special treatment to your friends and campaign contributors, changing laws, choosing winners and losers and triggering racism, animosity, jealousy and division within the Nation."
Commander Romney Pauses: "There is more Commodore. Do you want me to continue? Some of these charges are really juicy."
Commodore Trump: No, No, No, we've heard enough Commander. Enter the rest of the charges in the ship's log and send a copy by carrier pigeon to Congress. President Obama, you have heard the charges against you. Do you have any last words before your sentence is carried out?"
President Obama: "I have many last words Commodore and it should only take me about four hours to sum up my objections and complaints. I have never lied to the American people and I have always consulted with my czars before I made any decisions. If it's anyone's fault, it's my czars' fault, not mine. And further, go back through the records and you will find that the previous President, I believe his name was Bush, did the same things for which I have been accused. He wasn't forced to walk the plank. So it must be the previous President's fault as well. This whole trial and punishment for these alleged phony crimes, is a sham and a travesty of justice. There's not a smidgeon of substance to the charges. When I get out of this I'm going to file a formal complaint with the DC Circuit Court. I have friends on that court. They will overturn the fraudulent decision of this kangaroo trial and …..
(Suddenly, Commodore Trump interrupts the President.)
Commodore Trump: "Time's up Mr. President. You have had your say and like everything else that comes out of your mouth, it is always someone else's fault and you lie with every breath you take. I've been told that you and Michelle secretly fly the Jolly Roger over your bed in the White House. You've hornswaggled the American people and this crew for the last time. You have brought disgrace to the presidency. You would have been the first to be fired on the Apprentice Reality TV Show. Jump into the sea and be done with it or I'll run ye through with me sword."
(Obama jumps off the plank into the choppy sea yelling "Allahu Akbar." The last the crew sees of him is his head bobbing up and down in the wake of the ship disappearing into the distance. A few sharks suddenly appear, but the President's fate is left to the mysteries of the briny deep, as the ship sails out of sight.)
Commodore Trump: "Midshipman Clinton, put Senator's Reid and Congresswoman Pelosi in irons and shove them down into the ship's bilge. Let 'em sweat in there for a while. If they survive in the bilge for a few days, put them on seaman's duties. They've been corrupt politicians for way too long. Then return to directing the ship's house keeping. Make those hollystones sing out smartly on the deck."
Midshipman Clinton: "But Commodore, I protest? Reid and Pelosi are my comrades and what difference does it make if the decks are clean?"
Commodore Trump: "That's an order Midshipman Clinton! Quit your belly aching and jump to!"
Commander Romney: "Commodore Trump, I ask the Commodore for his permission to rename the ship the USS America and scrap forever from the records, the USS Bill Ayers."
Commodore Trump: "I agree Commander. Quartermaster, direct the ship's painter to change the name of the ship to USS America and so record it in the ship's log. It's high time this ship had a name for which it can be proud."
Quartermaster: "Aye, Aye Commodore."
We leave the scene as Commodore Trump returns to his quarters and Commander Romney climbs to the poop deck. On the rail of the poop deck, he overlooks the rest of the ship with a gleam in his eye and a crooked smile on his face. He says to himself, "there is Karma after all." He barks an order to the Quartermaster to change course and return to port. To this day the ship's crew and officers and much of America have a silent dread that somehow Obama will survive the perils of the deep and return to take control of America under martial law by issuing an executive order for which he has no legal authority. The thought sends shivers down the spine of every man on board. A wave of revulsion rumbles through the bowels of the ship at the possibility of an Obama apparition.
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ON A MORE SERIOUS NOTE: President Obama has sullied the office of the President of the United States and brought shame and embarrassment to it. He acts as if he was King but is perceived as a buffoon. He is arrogant and a narcissist. He is laughed at and mocked by leaders all around the world for his weakness and lack of leadership, including both our allies and our enemies. He has insulted and turned his back on Israel, one of our staunchest allies. He makes diplomatic and cultural gaffs that are unconscionable. Every single one of his domestic policies has impeded America's economic and job growth. Like most socialist policies, Obama's and the Democratic Congress' nationalizing the health care industry under Obama Care is blatantly unconstitutional, takes individual control away from private citizens, is egregiously expensive and adds to an already unsustainable debt. But worse than that, Obama is an imminent danger to American freedom and prosperity. He should be impeached rather than being forced to walk the plank. Sadly, neither punishment would seem to fit the crimes he has committed against America, the American people and the Constitution.
It is not just Obama ladies and gentlemen. Presidents, politicians, judges and bureaucrats, at all levels of government, have become systemically corrupt over the last 100 years. Corruption is a flesh-eating disease that devours liberty. If there was a tried and true method to expose this corruption and return honor and integrity to government and the people, which of you will step up to the plate? We will reveal more on that subject in subsequent articles.
To learn more about the original watercolor painting for this article and the artist Dave Ewart, log onto http://www.narlo.org/obama_walks_the_plank.html. The original and prints are available.
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DISCLAIMER: This article is and is meant to be satire only. Under no circumstances are we advocating violence against the U. S. president or anyone else for that matter ….. even if they are liberals.
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NOTE: The foregoing article represents the opinion of the author and is not necessarily shared by the owners, employees, representatives, or agents of the publisher.
Ron Ewart, a nationally known author and speaker on freedom and property rights issues and author of this weekly column, "In Defense of Rural America", is the president of the National Association of Rural Landowners (NARLO) (http://www.narlo.org/), a non-profit corporation headquartered in Washington State, an advocate and consultant for urban and rural landowners. He can be reached for comment at mailto:firstname.lastname@example.org.
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Symbolic-numeric Sparse Interpolation of Multivariate Polynomials
[Extended Abstract]
Mark Giesbrecht School of Computer Science University of Waterloo, Canada email@example.com
George Labahn School of Computer Science University of Waterloo, Canada
Wen-shin Lee Dept. Wiskunde en Informatica Universiteit Antwerpen, Belgium firstname.lastname@example.org
ABSTRACT
email@example.com
of the dense representation size).
We consider the problem of sparse interpolation of an approximate multivariate black-box polynomial in floating-point arithmetic. That is, both the inputs and outputs of the black-box polynomial have some error, and all numbers are represented in standard, fixed-precision, floating point arithmetic. By interpolating the black box evaluated at random primitive roots of unity, we give efficient and numerically robust solutions. We note the similarity between the exact Ben-Or/Tiwari sparse interpolation algorithm and the classical Prony's method for interpolating a sum of exponential functions, and exploit the generalized eigenvalue reformulation of Prony's method. We analyze the numerical stability of our algorithms and the sensitivity of the solutions, as well as the expected conditioning achieved through randomization. Finally, we demonstrate the effectiveness of our techniques in practice through numerical experiments and applications.
1. Introduction
In many computer algebra applications, multivariate polynomials are encountered in such a way that an implicit representation is the most cost effective for computing. A blackbox representation of a multivariate polynomial is a procedure that, for any given input, outputs the evaluation of the polynomial at that input. Black boxes may also represent approximate polynomials, where the coefficients may have errors or noise. In such cases one would expect the evaluations of the black box to have errors as well. In this paper we demonstrate effective numerical algorithms for the sparse interpolation problem for approximate black-box polynomials: how to reconstruct an accurate representation of the polynomial in the power basis. This representation is parameterized by the sparsity — the number of non-zero terms — and its cost will be proportional to this sparsity (instead
Suppose we have a black box for a multivariate polynomial f ∈ C [x1, . . . , xn] which we know to be t-sparse, that is,
where c1, . . . , ct ∈ C , (dj1 , . . . , djn ) ∈ Z ≥0 are distinct for 1 ≤ j ≤ t, and t is "small." Evaluating
at our own choice of points α1, α2, . . . ακ ∈ C n , where κ = O(t), we would like to determine the coefficients c1, . . . , ct ∈ C and the exponents dj1 , . . . , djn , for 1 ≤ j ≤ t, of f. Of course, if the evaluation points are not exact, this may not possible, so we ask that our algorithms are numerically robust: if the evaluations e b1, . . . , e bκ are relatively close to their true values, we want the coefficients e c1, . . . , e ct ∈ C we compute to also be relatively close to their values in the exact computation.
Black-box polynomials appear naturally in applications such as polynomial systems [5] and the manipulation of sparse polynomials (e.g., factoring polynomials [16, 6]). Sparsity with respect to the power (or other) basis is also playing an ever more important role in computer algebra. As problem sizes increase, we must be able to capitalize on the structure, and develop algorithms whose costs are proportional only to the size of the support for the algebraic structures with which we are computing. A primary example is that of (exact) sparse interpolation of f as in (1.1), reconstructing the exponents dj k and non-zero coefficients c1, . . . , ct from a small number of evaluations of f. The best known exact interpolation methods that are sensitive to the sparsity of the target polynomial are the algorithms of Ben-Or/Tiwari [3] and of Zippel [25]. Although both approaches have been generalized and improved (see [26, 15, 14, 24]), they all depend upon exact arithmetic.
With recent advances in approximate polynomial computation, we are led to investigate the problem of sparse interpolation in an approximate setting. Black-box polynomials can capture an implicit model of an object which can only be sampled approximately. Moreover, sheer size and complexity requires that we exploit sparsity and use efficient (i.e., IEEE floating point) arithmetic in a numerically sound manner. Polynomial interpolation is an important component in approximate multivariate factorization algorithms [7], and sparse interpolation can often be used to speed up the procedure when there are more than two variables.
The problem of multivariate polynomial interpolation is hardly new, with early work going back at least to Kronecker [17]. See [8] for a survey of early work in this area. More recently there has been much activity on the topic, of both an algorithmic and mathematical nature. See [18] for a good survey of the state of the art. To our knowledge, none of the previous numerical work has considered the problems of identifying the (sparse) support and sparse multivariate interpolation. Sparsity is considered in a different, bit-complexity model, using arbitrary precision arithmetic by Mansour [19], who presents a randomized algorithm for interpolating a sparse integer polynomial from (limited precision) interpolation points (wherein bits of guaranteed accuracy can be extracted at unit cost). The algorithm guarantees an answer with controllably high probability, though its cost is dependent on the absolute size L of the largest coefficient in f, as well as the sparsity t and degree. Moreover, it would also seem to be quite expensive, requiring about O((log L) 8 · t log deg f) bit operations.
In Section 2, we present the algorithm of Gaspard Riche, Baron de Prony, from 1795 [21] (generally referred to as "Prony's algorithm") for interpolating sums of exponential functions. We show that it is very similar to the algorithm for sparse polynomial interpolation of Ben-Or and Tiwari [3]. In Section 3 we adapt Ben-Or and Tiwari's method to floating-point arithmetic and identify the numerical difficulties encountered. We also adapt a recent, and much more stable, variant of Prony's algorithm [20, 12] to the problem of polynomial interpolation. This algorithm, developed for the shape from moments problem, makes use of generalized eigenvalues for added numerical stability.
In Section 4, we give a detailed analysis of the numerical behaviour of our algorithms and sensitivity of the underlying problems. In particular, we show that the stability of our algorithms is governed by ∥V − 1 ∥ 2 / min |cj|, where V is a (hidden) Vandermonde matrix of the support terms of the polynomial evaluated at the sample points. The coefficients c1, . . . , ct are intrinsic to the problem, and in some sense having one of them too small may indicate an incorrect choice of t. On the other hand, the condition of V (as indicated by ∥V − 1 ∥) is really a property of the method, and we address this directly.
Our key innovation in this regard is the use of evaluation points at random roots of unity. The use of roots of unity allows us to reconstruct the exponents in our multivariate problem using the Chinese remainder algorithm. Numerically this also adds considerable stability to the interpolation problem by reducing large variations in magnitude implied by evaluating polynomials of high degree. In particular, the Vandermonde matrix V discussed above will have entries which are roots of unity. Still, difficulties can arise when the values of different terms in the target polynomial become clustered, and a naive floating point implementation of Ben-Or/Tiwari may still be unstable. It is the choice of a random primitive root of unity which avoids this clustering with high probability. We prove modest theoretical bounds to demonstrate this improvement by exhibiting a bound on ∥ V − 1 ∥ which is dependent only on the sparsity (and not on the degree or number of variables in f ). Moreover, we show that in practice the improvement in stability is far more dramatic, and discuss why this might be so.
In Section 5, the numerical robustness of our algorithms is demonstrated. We show the effects of varying noise and term clustering and the potential numerical instability it can cause. We demonstrate the effectiveness of our randomization at increasing stability dramatically, with high probability, in such circumstances.
2. Prony and Ben-Or/Tiwari's methods for exact interpolation
In this section we describe Prony's method for interpolating sums of exponentials and the Ben-Or/Tiwari algorithm for multivariate polynomials. We show that these two algorithms are closely related.
2.1 Prony's method
Prony's method seeks to interpolate a univariate function F (x) as a sum of exponential functions. That is, it tries to determine c1, . . . , ct ∈ C and µ1, . . . , µt ∈ C such that
Since there are 2t unknowns, one would expect to need a system of at least the same number of equations in order to determine these unknowns. If bj = e µ j , by evaluating F (0), F (1), . . . ,F (2t − 1) we can obtain a non-linear system of 2t equations relating the 2t variables µ1, . . . , µt, c1, . . . , ct. Prony's method solves this non-linear system by converting it into a problem of root finding for a single, univariate polynomial, and the solving of (structured) linear equations. Let Λ(z) be the monic polynomial having the bj's as zeros:
It is straightforward to derive that λ0, . . . , λt−1 satisfy
After solving the above system for coefficients λ0, . . . , λt−1 of Λ(z), b1, . . . , bt (hence also µ1, . . . , µt) can be determined by finding the roots of Λ(z). The remaining unknown coefficients c1, . . . , ct can then be computed by solving the transposed Vandermonde system:
2.2 The Ben-Or/Tiwari method
For a given black-box polynomial f with n variables, in exact arithmetic the Ben-Or/Tiwari method finds coefficients cj and integer exponents ( d j 1 , . . . , d j n ) such that
for 1 ≤ j ≤ t, with c1, . . . , ct ̸= 0. Let βj(x1, . . . , xn) = x d j 1 1 · · · x d jn n be the j-th term in f, and
with ω1, . . . , ωn ∈ D pairwise relatively prime, where D is a unique factorization domain. Note that b k j = β j ( ω k 1 , . . . , ω k n ) for any power k.
If we set F (k) = f(ω k 1 , . . . , ω k n ), then the Ben-Or/Tiwari algorithm solves for the bj and the cj, much as is done in Prony's method. That is, it finds a generating polynomial Λ(z), determines its roots, and then solves a Vandermonde system. In addition, once the individual terms bj are found as the roots of Λ(z) = 0, the exponents (dj1 , . . . , djn ) are determined by looking at their unique factorizations: bj = ω d j 1 1 ω d j 2 2 . . . , ω d jn n , which can be easily achieved through repeated division of bj by ω1, . . . , ωn.
We note that, as an alternative which we employ in the our algorithms in the next section, we could also choose ω 1 , . . . , ω n to be roots of unity of relatively prime order (i.e., ω p i i = 1, ω j i = 1 for 1 ≤ j < p i , and p i > deg x i f , gcd( p i , p j ) = 1 whenever i ̸ = j ). Then, given b j , we can again uniquely determine ( d j 1 , . . . , d j n ).
3. Numerical methods for sparse interpolation
In this section we present two methods for black-box interpolation of sparse multivariate polynomials in floating-point arithmetic. One is a straightforward modification of the Ben-Or/Tiwari algorithm, while the other method makes use of a reformulation of Prony's method using generalized eigenvalues [12].
3.1 A Modified Numeric Ben-Or/Tiwari Algorithm
If the steps of the Ben-Or/Tiwari algorithm are directly implemented in floating-point arithmetic, then difficulties arise at various stages of the computation. The first difficulty is that the subroutines employed for linear system solving and root finding in the Ben-Or/Tiwari algorithm need to use floating-point arithmetic. Hence, they may encounter significant numerical errors. The second difficulty is that we can no longer employ exact divisions to recover the exponents of each variable in a multivariate term.
While it is well-known that Hankel and Vandermonde matrices can often be ill-conditioned, this is particularly true when the input is real, as it is in the Ben-Or/Tiwari algorithm. For example, when all the coefficients of f are positive, the Hankel matrix in Prony's algorithm is positive definite, and its condition number may grow exponentially with the dimension [1].
Instead, our modified numeric Ben-Or/Tiwari algorithm makes use of evaluation points at appropriate primitive (complex) roots of unity. This turns out to reduce our conditioning problems with the encountered Hankel and Vandermonde systems (see Subsection 4.1), and has the added advantage that it allows us to recover the exponent of each variable in a multivariate term. We also assume that we have an upper bound on the degree of each variable in f . Let f be as in (2.3). Choose p 1 , . . . , p n ∈ Z > 0 pairwise relatively prime such that p k > deg x k f for 1 ≤ k ≤ n . The complex root of unity ω k = exp(2 πi/p k ) has order p k , which is relatively prime to the product of other p j 's. Now consider the following sequence for interpolation:
with ωk = exp(2πi/pk). Setting m = p1 · · · pn and ω = exp(2πi/m), we see ωk = ω m/p k for 1 ≤ k ≤ n.
Each term βj(x1, . . . , xn) in f is evaluated as βj(ω1, . . . , ωn) = ω d j , and each dj can be computed by rounding logω (ω d j ) = log ω (βj(ω1, . . . , ωn)) to the nearest integer. Note that this logarithm is defined modulo m = p1 · · · pn. Because the pk's are relatively prime, the exponent for each variable (dj1 , . . . , djn ) ∈ Z n >0 can be uniquely determined by the reverse steps of the Chinese remainder algorithm (see, e.g., [11]). That is, we have dj ≡ dj k mod pk for 1 ≤ k ≤ n and
Algorithm: ModBOTInterp
Input:
- a floating-point black box f: the target polynomial;
- t, the number of terms in f;
- D1, . . . , Dn: Dk ≥ deg(fx k ).
-
c
j
and (d
j
1
, . . . , d
j
n
) for 1≤
t
d
j
1
d jn
j
Output:
j≤ tsuch that
P
=1
c
j
x
1
* · ·x
n
approximately interpolatesf
(1) [Evaluate f at roots of unity.]
(1.1) Choose p1, . . . , pn pairwise relatively prime and pj > Dj. Let m = p1 · · · pn, ω = exp(2πi/m), and ωk = exp(2πi/pk) = ω m/p k . (1.2) Evaluate αs = f(ω s 1 , ω s 2 , . . . , ω s n ), 0 ≤ s ≤ 2 t − 1.
(2) [Recover (dj1 , . . . , djn ).]
(2.1) Solve the associated Hankel system
(2.2) Find rootsb
1
, . . . , b
t
for Λ(z) =z
t
+λ
t−1
z
t−1
+
* · ·+λ
0 = 0.
(2.3) Recover (d
j
1
, . . . , d
j
n
) fromd
j
= round(log
j
)
via (3.2) by the reverse Chinese remainder algorithm.
ω
b
(3) [Compute the coefficientsc
j
. ]
Solve an associated Vandermonde system: (nowβ
d
j
x
1
* · ·x
jn are recovered,
˜
b can be eitherb
β
d
1
j
n
j
j
=
j
or
(ω
1
, . . . , ω
n
))
.
3.2 Interpolation via Generalized Eigenvalues
We now give another algorithm which avoids the solving for a Hankel system and the subsequent root finding. This is done by using a reformulation of Prony's method as a generalized eigenvalue problem, following [12]. As before, consider f as in (2.3) evaluated at primitive roots of unity as in (3.1). Define Hankel systems
Let bj = βj(ω1, . . . , ωn). If we set Y = diag(b1, . . . , bt), D = diag(c1, . . . , ct), and
then H0 = V DV Tr , H1 = V DY V Tr . The solutions for z ∈ C in the generalized eigenvalue problem
for a generalized eigenvector v ∈ C t × 1 , are bj = βj(ω1, . . . ωn) for 1 ≤ j ≤ t. If ω1, . . . , ωn are chosen as described in the previous subsection, we can also recover the multivariate terms βj(x1, . . . , xn) through the same method. To complete the interpolation, we need to compute the coefficients, which requires the solving of a transposed Vandermonde system over a numerical domain. The cost of the entire procedure is bounded by the cost of solving the generalized eigenvalue problem, which can be accomplished in a numerically stable manner with O(t 3 ) operations (see, e.g., [13]).
The algorithm for sparse interpolation using generalized eigenvalues is the same as ModBOTInterp with the exception of step (2), which we present here.
Algorithm: GEVInterp (Step 2)
(2) [Recover (dj1 , . . . , djn ).] (2.1) Find solutions b1, . . . , bt for z in the generalized eigenvalue problem H1v = zH0v. (2.2) Recover (dj1 , . . . , djn ) from dj = round(logω bj) via (3.2) by the reverse Chinese remainder algorithm.
4. Sensitivity analysis and randomized conditioning
In this section we focus on the numerical accuracy of the sparse interpolation algorithms presented in the previous section. We also introduce a new randomized technique which will dramatically improve the expected numerical stability of our algorithms.
Both the Ben-Or/Tiwari algorithm and the generalized eigenvalue method first recover the polynomial support. That is, they determine which terms are non-zero in the target polynomial. We look at the numerical sensitivity of both techniques, and link it directly to the choice of sparsity t and the condition of the associated Vandermonde system V . After the non-zero terms are determined, both methods need to separate the exponents for different variables and recover the corresponding coefficients, again via the Vandermonde system V . Finally, we show how randomization of the choice of evaluation points can substantially improve the conditioning of V , and hence improve the stability of the entire interpolation process.
4.1 Conditioning of the associated Hankel system
Consider the modified numeric Ben-Or/Tiwari algorithm described in Subsection 3.1. In order to determine coefficients for the polynomial Λ(z) = z t + λt−1z t − 1 + · · · + λ0, we need to solve a Hankel system as in (3.3). In general, if the polynomial f is evaluated at powers of real values, the difference between the sizes of varying powers will contribute detrimentally to the conditioning of the Hankel system. This problem of scaling is avoided in our method, since our H0 is formed from the evaluations on the unit circle. The following proposition links the condition of H0 directly to the condition of V and to the size of the reciprocals 1/|cj| of the coefficients cj in the target polynomial (for 1 ≤ j ≤ t).
Proposition 4.1.
Thus, bounds for ∥H − 1 0 ∥ involve both the (inverses of) the coefficients of the interpolated polynomial c1, . . . , ct and the condition of the Vandermonde system V . In some sense the coefficients c1, . . . , ct are intrinsic to a problem instance, and having them very small (and hence with large reciprocals) means that we have chosen t too large. The Vandermonde matrix V , on the other hand, is intrinsic to our algorithm, and we will address its conditioning, and methods to improve this conditioning, in the following sections.
4.2 Root finding on the generating polynomial
In our modified numeric Ben-Or/Tiwari algorithm, for recovering non-zero terms in f, we need to find the roots for Λ(z) = 0. In general, finding the roots of a polynomial can be very ill-conditioned with respect to perturbations in the coefficients [23].
However, all the roots bj = βj(ω1, . . . , ωn) as (2.3) are on the unit circle by our choice of evaluation points. Using Wilkinson's argument for points on the unit circle, the following theorem shows that the condition can be improved, and related to the separation of the roots b1, . . . , bt.
Theorem 4.1. For a given polynomial f (x1, . . . , xn) = P t j=1 c j β j ( x 1 , . . . , x n ) interpolated on the unit circle, let b k be a zero of Λ(z) and ˜ bk a zero of Λ(z) + ϵΓ(z), then
Note that ϵ ·∥Γ(z)∥1 is an upper bound for the perturbation of the polynomial Λ(z) evaluated on the unit circle, which is also a measure of the size of a perturbation in the solution of the Hankel system (3.3). The value of | Q j̸=k ( b k − b j ) | is directly related to the condition of the Vandermonde system (3.5), and depends on the distribution of bj's on the unit circle (see Subsection 4.6).
4.3 Error bounds for generalized eigenvalues
We can further analyze the generalized eigenvalue approach described in Subsection 3.2. In particular, we once again link the sensitivity directly to the condition of V , that is, to ∥V − 1 ∥, and to the magnitude of the smallest coefficient. Along similar lines to [12], we can prove the following:
Theorem 4.2. Assume the generalized eigenvalue problem in (3.6) has generalized eigenvalues b1, . . . , bt ∈ C and corresponding eigenvectors v1, . . . , vt ∈ C × 1 . Consider the perturbed problem
for ϵ > 0 and normalized perturbations b H0, b H1 ∈ C t × t with ∥ b H0∥ = ∥H0∥ and ∥ b H1∥ = ∥H1∥. Then (4.1) has solutions (generalized eigenvalues) e b1, . . . , e bt ∈ C , with
for 1 ≤ j ≤ t.
4.4 Separation of powers
After computing approximations e b1, . . . , e bt for the term values b1, . . . , bt, we still need to consider the precision required for correctly recovering the integer exponents (with respect to ω = exp(2πi/m)) by taking the logarithms of bj = ω d j (with respect to ω), for 1 ≤ j ≤ t, as in (3.2). Since each bj lies on the unit circle, we really need only consider the argument of e bj in determining its logarithm with respect to ω (i.e., we normalize e bj := e bj/| e bj|).
Two consecutive mth roots of unity on the unit circle are separated by an angle of radian 2 π m , and the distance between these two points is bounded below by twice the sine of half the angle between them. Thus, in order to separate any two such points by rounding one must have the computed values e b1, . . . , e bt of b1, . . . , bt correct to
k
for 1 ≤ j ≤ t, where p1, . . . , pn are primes with pk > deg fx for 1 ≤ k ≤ n.
We note that π/m is not a particularly demanding bound, and is easily achieved (for fixed precision floating point numbers) when H is well-conditioned, for reasonably size m. In particular, we need only O(log m) bits correct to effectively identify the non-zero terms in our target sparse polynomial.
4.5 Recovering the coefficients
Once the values of b1, . . . , bt, and hence exponents of the non-zero terms, have been determined, it still remains to compute their coefficients c1, . . . , ct, which can be done in a number of ways. Most straightforwardly, we can solve the Vandermonde system V in equation (3.4) (Step 3 in algorithm ModBOTInterp) to determine the coefficients c1, . . . , ct. The main issue in this case is the condition of V , which is not obviously good. We examine this in Subsection 4.6.
If the term are determined as general eigenvalues in (3.6) by the QZ algorithm, the computed eigenvectors v1, . . . , vt can be used to reconstruct the coefficients. See [12].
4.6 Condition of the Vandermonde System
While Vandermonde matrices can be poorly conditioned, particularly for real number data [9, 1], our problem will be better behaved. First, all our nodes (b1, . . . , bt) lie on the unit circle. For example, in the case of t × t Vandermonde matrices as in (3.5), the 2-norm condition number has the optimal value of 1 when the nodes are all the mth roots of unity [10, example 6.4]. A slightly less uniform sequence of nodes is studied in [4], where the nodes are chosen according to a Van der Corput sequence, to achieve a 2-norm condition number of √ 2t of a t × t Vandermonde matrix (for any t). Both results suggest the possibility of well-conditioning of complex Vandermonde matrices, especially when the spacing of the nodes is relatively regular.
More generally, when b1, . . . , bt are all mth roots of unity (for m ≥ t) we have the following bounds for ∥V − 1 ∥ from [10] (translated to the 2-norm):
̸
Of course, in our case these bounds may still be dependent exponentially on t and m, particularly if b1, . . . , bt are clustered. In the worst case, we find
For a more general discussion, see [2]. This indicates that as m, as well as t, gets larger, the condition of V can get dramatically worse, particularly if m is large. As an example, if m = 1000 (which might occur with a tri-variate polynomial of degree 10 in each variable) with 10 terms, V could have condition number greater than 10 16 . This is quite worrisome, as m is proportional to the number of possible terms in the dense representation, and in particular is exponential in the number of variables n. Moreover, the bound seems surprising bad, as one might hope for better conditioning as m gets larger, when there is greater "opportunity" for node distribution. This is addressed in the next subsection.
4.7 Randomized reconditioning
We now demonstrate how a small amount of randomization ameliorates the problem of potential ill-conditioning in the Vandermonde matrix dramatically.
Suppose p1, . . . , pn are distinct primes, pk > deg x k f, and ω = exp(2πi/m) for m = p1 · · · pn. If the target polynomial f is evaluated at powers of (ω1, . . ., ωn) for ωk = ω m/p k (cf. Subsection 3.1), the distribution of term values on the unit circle is fixed because the polynomial terms are fixed. We may well end up in a situation where the Vandermonde matrix is ill-conditioned as discussed above. To eliminate this possibility with high probability, we will introduce a randomization as follows. Instead of using ωk = ω m/p k = exp(2πi/pk), the principle pkth primitive root of unity, we choose a random pkth primitive root of unity, ωk = exp(2πirk/pk), for some 1 ≤ rk < pk. Equivalently, we choose a single r with r ≡ rk mod pk, 1 ≤ r < m, so that ωk = ω mr/p k (see (3.2)).
To analyze the distribution of term values, instead of the multivariate f = P t j=1 c j x d j 1 1 · · · x d jn n , we equivalently consider the univariate e f(x) = P t j=1 c j x d j where d j = d j 1 ( m/p 1 )+ · · · + djn (m/pn) (cf. Subsection 3.1). Now the term values are ω d 1 · · · ω d t , and the stability of recovering the djs thus depends upon the condition of the Vandermonde matrix V on nodes ω d 1 , . . . , ω d t . This in turn is inversely related to the product of the differences |ω d j − ω d k | for 1 ≤ j < k ≤ t as described in (4.2).
For each interpolation attempt, we pick an r uniformly and randomly from 1 . . . m−1. The condition number of the new Vandermonde matrix e V , with nodes bj = ω rd j for 1 ≤ j ≤ t is now inversely related to the differences |rdj − rdk| = r|dj − dk| mod m. In some sense we are multiplying each difference by (the same) random number r, hopefully minimizing the chance that there are many small differences. Once the Hankel matrix H0 is constructed, we can check the conditioning, and if it is poor, we can choose another random r and repeat the process. The next theorem, and especially the following discussion, gives us some assurance that we never have to do this very often.
Theorem 4.3. Let p1, . . . , pn > t 2 /2 be distinct primes as above, with m = p1 . . . pt and ω = exp(2πi/m). Let 0 ≤ d1, . . . , dt ≤ m − 1 be distinct. Suppose r is chosen uniformly and randomly from 1, . . . , m − 1 and let e V be the Vandermonde matrix on nodes bi = ω rd i . Then, with probability at least 1/2,
Proof. For 1 ≤ j < k ≤ t, let ∆jk = |dj − dj| mod m. There are at most `t 2 ´ ≤ t 2 /2 distinct values of ∆jk. Fix ℓ := m/t 2 , and let c ∈{1, . . . , ℓ}. For each ∆jk there is at most one r ∈ Z m such that r∆jk ≡ c mod m. Thus, there are at most t 2 /2 · ℓ = m/2 values of r such that for any ∆jk and any c ∈{1, . . . , ℓ} we have r∆jk ̸≡ c mod m.
Assume that the chosen r is such that r∆jk ̸≡ 1, . . . , ℓ. Then for all 1 ≤ j < k ≤ t we have
Using (4.2) this yields
This eliminates any dependence upon m, and hence any dependence upon the size of the dense representation of the polynomial. However, we believe this is probably still far from optimal. Considerable cancellation might be expected in the sizes of the entries of V − 1 , though bounding these formally seems difficult.
We have conducted intensive numerical experiments which suggest that the bound (in terms of t) on the condition number is much lower. For the experiments, we assume the worst case before the randomization, with nodes clustered as ω, ω 2 , . . . , ω t . We also assume that we are in the univariate case, where m is prime. Neither of these assumptions have any substantial effect on the results of the experiments. We ran the experiment 100 times for each value of m and sparsity percentage t , and report the median condition number.
Figure 2. Median condition number of V ; t a percentage of m.
It is observed that the actual condition number appears to be remarkably small, and a (perhaps naive) conjecture might be that it is linear in t. In any case, the condition number is low, and in practice this makes for a very stable recovery process from V . This will be fully validated in the upcoming Section 5.
Finally, we note that the techniques in Theorem 4.3 are easily extended to show that all leading minors of H0 are similarly well-conditioned. This leads us to a possible way to identify the sparsity t of f by simply computing α0, α1, . . . (at a random root of unity) until H0 becomes ill-conditioned. With high probability we should identified t. Again, numerical evidence suggests much better expected conditioning of the leading minors of H0, and hence quite a strong criteria for identifying the sparsity of f.
5. Experiments
For our experiments we have tested both the modified BenOr/Tiwari and the generalized eigenvalue methods. Our computational environment is the computer algebra system Maple 10 using hardware (IEEE floating point) arithmetic
Our algorithms interpolate multivariate polynomials. However, during the computation, a multivariate polynomial is regarded as a univariate polynomial on the unit circle through the (reverse) steps of the Chinese remainder algorithm (essentially variable substitution; see Subsection 3.1). Therefore, we concentrate our tests on sparse univariate examples. Since the stability of our algorithms is directly dependent upon the condition of the underlying Vandermonde system, we arrange our tests by the condition of this system. We look at the case when it is well conditioned, and when it starts offpoorly conditioned, and examine how randomness generally avoids the poorly conditioned case.
Term values evenly distributed on the unit circle
This is the best and "easiest" case, wherein the Vandermonde system is well-conditioned. We randomly generated 100 univariate polynomials, with the number of terms between 10 and 50, and roughly evenly distributed the term degrees between 0 and 1000. When the non-zero coefficients are randomly distributed between -1 and 1, the following table reveals the performance of both interpolation algorithms. Robustness is evaluated as the 2-norm distance between the interpolation result and the target polynomial. For this we list both the mean and median for the performance of the interpolation of these 100 random polynomials.
| Random noise | | Ben-Or/Tiwari |
|---|---|---|
| 0 | Mean | .120505981901393e −11 |
| | Median | .133841077792715e −11 |
| ±10−12 ∼10−9 | Mean | .581398079681344e −9 |
| | Median | .582075115365304e −9 |
| ±10−9 ∼10−6 | Mean | .570763804647327e −6 |
| | Median | .569467774610552e −6 |
| ±10−6 ∼10−3 | Mean | .577975930552999e −3 |
| | Median | .583391747553225e −3 |
| Random noise | | Generalized Eigenvalue |
| 0 | Mean | .120594593261080e −11 |
| | Median | .133636116920920e −11 |
| ±10−12 ∼10−9 | Mean | .581398474087412e −9 |
| | Median | .582077799081834e −9 |
| ±10−9 ∼10−6 | Mean | .570763804248465e −6 |
| | Median | .569467779291746e −6 |
| | Mean | .577975930554979e −3 |
As the above table illustrates, well-conditioned Vandermonde systems give excellent interpolation results, and the amount of the input noise is proportional to the error in the output. We also note that there is little gain in using the generalized eigenvalue algorithm in this case (and indeed, it is considerably slower). This should not be particularly surprising given Proposition 4.1.
Clustered term values
For a second experiment, we interpolate polynomials with terms x 0 , x 3 , x 6 , x ⌊ 994 t−2 ⌋ +6 , x ⌊ 2 · 994 t−2 ⌋ +6 , . . ., x ⌊ ( t − 3) · 994 t−2 ⌋+6 at powers of ω = exp(2π/1000), in which terms x 0 , x 3 , and x 6 are close to each other.
In our test, we encounter a (numerically) singular system when the (random) noise is in the range of ±10 − 9 ∼ 10 − 6 . We list the mean and median of all the non-singular results. We also note that 11 of the 99 non-singular results are of distance less or around .0001 from the target polynomial.
| Random noise | | Ben-Or/Tiwari |
|---|---|---|
| 0 | Mean | .136907950785253e −9 |
| | Median | .101038098751213e −9 |
| ±10−12 ∼10−9 | Mean | .118191438770386e −6 |
| | Median | .700404450937545e −7 |
| ±10−9 ∼10−6 | Mean | .713728504313218 |
| | Median | .641238385320081 |
| ±10−6 ∼10−3 | Mean | .843675339146120 |
| | Median | .754345867272459 |
| Random noise | | Generalized Eigenvalue |
| 0 | Mean | .137847635557337e −9 |
| | Median | .105150252450990e −9 |
| ±10−12 ∼10−9 | Mean | .118192220230628e −6 |
| | Median | .700455264514340e −7 |
| ±10−9 ∼10−6 | Mean | .710891838764534 |
| | Median | .641238385320072 |
| ±10−6 ∼10−3 | Mean | .843662476563188 |
| | Median | .754345867272456 |
In this experiment, good interpolation results may still be obtained for Vandermonde systems with a few nodes clustered on the unit circle. However, such results tend to be very sensitive to noise.
Effective randomization to ameliorate term value accumulation
In our third set of tests we consider the effect of randomization to improve the numerical conditioning of the interpolation problems. Here we consider polynomial interpolation associated with a Vandermonde system with 3 terms clustered. That is, the 100 random univariate polynomials, with the number of terms between 10 and 50, all have terms x 0 , x, and x 2 . All other remaining term are roughly evenly distributed the term degrees between 3 and 1000.
We interpolate the polynomial at powers of exp(2πi/1009). As the following table shows, the clustering greatly affects the effectiveness of both interpolation algorithms.
| Random noise | | Ben-Or/Tiwari |
|---|---|---|
| 0 | Mean | 92.8019727202980 |
| | Median | 73.4823536193264 |
| Random noise | | Generalized Eigenvalue |
| 0 | Mean | 92.8019727200298 |
| | Median | 73.4823536202312 |
However, after randomization, that is, instead of interpolating at powers of ω = exp(2πi/1000), we interpolate at powers of ω = exp(2rπi/1009) for a random r ∈{1, . . . , 1008}, for the same set of random polynomials, we have the following results.
| Random noise | | Ben-Or/Tiwari |
|---|---|---|
| 0 | Mean | 27.9983307662379 |
| | Median | .242793778266858e −7 |
| ±10−12 ∼10−9 | Mean | .869652877288326 |
| | Median | .170781612648532e −6 |
| Random noise | | Generalized Eigenvalue |
| 0 | Mean | 30.6022221605261 |
| | Median | .242734723141759e −7 |
| ±10−12 ∼10−9 | Mean | .863424321492980 |
| | Median | .170790199598136e −6 |
Notice that, although we do not obtain good interpolation results each time, the error at the median is generally quite good (a terribly conditioned randomization can affect the mean dramatically). In practice, upon obtaining an illconditioned result, we would simply re-randomize and repeat the computation. Theorem 4.3 provides assurances that we should never have to restart this many times before achieving a well-conditioned Vandermonde matrix, and hence obtain reliable results.
The full Maple code along with a broader range of experiments (including the examples mentioned in [22], can be found at the web site:
http://www.scg.uwaterloo.ca/ ∼ ws2lee/issac06-interp.
Acknowledgments
We thank Erich Kaltofen for his encouragement and comments, Bernhard Beckermann for his help (particularly on Section 4.1), and Bernard Mourrain. We would also like to thank Annie Cuyt and Brigitte Verdonk for pointing us to recent related works.
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Student's FEEDBACK OF CURRICULUM ASPECTS (2021-22) વિદ ાર ીઓના અભ યાસક મન લગતા પ વતભાિો
્ય
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ે
Excellence (5), Very Good (4), Good (3), Average (2), Poor (1)
How do you rate the sequence of the Courses that you have studied are in sequence to what you have studied in the previous semester?
આગળના સેમેસ્ટરમાં અભ્યાસ કરેલ અભ્યાસક્રમના યુવનટ રચનાની તુલનામાાં િતમાન અભ્યાસક્રમનાાં યુવનટ રચના કેિી લાગી ?
The chart displays the percentage of respondents. Approx. 92 % of students rate sequence to what they have studied in the previous semester as very good or excellent, 6 % percentage of students are just satisfied and 2 % students says that the sequence to what they have studied in the previous semester needs improvement.
Action Taken:
The senior Faculty members of the college through active participation in various University Statutory Bodies like Board of Studies, Academic Council, Executive Council, Senate etc., try to form the syllabus in to a meaningful subjective sequence.
How do you rate the syllabus of the courses that you have studied in relation to the competencies expected out of the course?
િતમાન ડીગ્રીનો અભ્યાસક્રમ કેટલા અાંશે અપેવિત સ્પર્ાતત્મકતા અનુરૂપ છે?
The chart displays the percentage of respondents. Approx. 93 % of students rate the competencies of the course as very good or excellent, 5 % percentage of students are just satisfied and rest of students, 2 % says that the competencies of the course needs improvements.
Action Taken:
The college Faculty Members as a part of the University syllabus committees, time by time make the suggestions to update the syllabus to fulfill the compatibility of the syllabus relevant to present needs of the various field of studies.
How do you rate the allocation of the credits to the courses? િતમાન અભ્યાસક્રમને યુનીિસીટીએ આપેલ ક્રેડીટ ગુણ તમને કેટલા અાંશે યોગ્ય લાગ્યા?
The chart displays the percentage of respondents. Appox. 95 % of students rate the allocation of the credits to the courses as very good or excellent, 3.5 % percentage of students are just satisfied and rest of students, 1.5 % says that the allocation of the credits to the courses needs improvement.
Action Taken:
As per the UGC Guidelines and instructions, as a part of the University Statutory Bodies like BoS and AC, the college faculty members play a pivotal role in allocating appropriate credits to the courses.
How do you rate the distribution of the contact hours among the course components (L-T-P)? િતમાન અભ્યાસક્રમના યુવનટ્સ/પ્રકરણોને આપેલ અભ્યાસ કલાકોની િહેંચણી તમને કેટલા અાંશે યોગ્ય લાગ્યા?
The chart displays the percentage of respondents. Approx. 95 % of students rate the distribution of the contact hours among the course components (L-T-P) as very good or excellent, 3 % percentage of students are just satisfied and rest of students, 2 % says that the distribution of the contact hours among the course components (L-T-P)needs improvement.
Action Taken:
As per the UGC and University Guidelines, the College Time-table Committee and the Departmental Committees plan Teaching and Practical Work distribution in such a way as to distribute the contact hours of the course to justify the teaching-learning process appropriately.
How do you rate the relevance of the Text Books and reference books by their international recognition to the Courses?
િતમાન અભ્યાસક્રમને લગતા લાઈબ્રેરીમાાં ઉપલબ્ર્ પાઠ્ય પુસ્તકો અને સાંદભત ગ્રાંર્થો શુાં આાંતરરાષ્ટ્રીય સ્તરના છે?
The chart displays the percentage of respondents. Approx. 92 % of students rate the international recognition of available textbooks and reference books as very good or excellent, 6.5 % percentage of students are just satisfied and only 1.5 % of students says that the collection of these books needs improvement.
Action Taken:
Every year, many new textbooks and reference books suggested by subject experts have been added for various subjects to the rich collection of the library.
How do you rate the percentage of courses having LAB components? આપના અભ્યાસક્રમમાાં લેબોરેટરી િકતને આપિામાાં આિેલ ભાર વિષે આપનો શુાં મત છે
?
The chart displays the percentage of respondents. Approx. 97 % of students rate the percentage of courses having LAB components very good or excellent, 2 % percentage of students are just satisfied and rest of students, 1 % says that the percentage of courses having LAB components needs improvement.
Action Taken:
As a part of the University Statutory Bodies, the college has actively contributed in balancing the Theoretical and Laboratory Teaching-Learning, and the college has developed the various departmental laboratories to fulfill the required practical infrastructure to justify the Laboratory work.
How do you rate the experiments in relation to the real-life Applications? આપના અભ્યાસક્રમને લગતા પ્રાયોવગક વશિણનુાં િાસ્તવિક જીિનમાાં શુાં મહત્િ છે?
The chart displays the percentage of respondents. Approx. 91 % of students rate the experiments in relation to the real-life Applications very good or excellent, 7 % percentage of students are just satisfied and rest of students, 2 % says that the experiments in relation to the real-life Applications needs improvement.
Action Taken:
Along with regular syllabus teaching, new Life Skill courses are implemented by the college to enhance the real-life learning experience of the students.
Whether the curriculum facilities available in your college are helpful for developing soft skills? શુાં આપની કોલેજમાાં ઉપલબ્ર્ અભ્યાસલિી સગિડો (સોફ્ટ સ્કીલ્સ: સ્પોકન ઈાંગ્લીશ, કોમ્યુટર, સાંશોર્ન િગેરે કૌશલ્ય વિકસાિિામાાં મદદરૂપ ર્થઇ શકે છે?
The chart displays the percentage of respondents. Approx. 91 % of students rate the curriculum facilities available in their college are helpful for developing soft skills very good or excellent, 8 % percentage of students are just satisfied and rest of students, 1 % says that the curriculum facilities available in their college are helpful for developing soft skills needs improvement.
Action Taken:
The college has developed two Computer Laboratories for Mathematical Software Teaching, a Language Laboratory for SCOPE, a Govt. of Gujarat initiative for English Language Proficiency through four Soft Skills Teaching etc to create employability among students.
Does the syllabus address to cross cutting issues such as environment, gender and human rights? શુાં િતમાન અભ્યાસક્રમ તત્કાલીન મુદ્દાઓ જેિાકે પયાતિરણ, જાવતિાચક અને માનિ અવર્કારને સ્પશે/ન્યાય આપે છે?
The chart displays the percentage of respondents. Approx. 93 % of students rate the syllabus address to cross cutting issues such as environment, gender and human rights very good or excellent, 6.5 % percentage of students are just satisfied and rest of students, 1.5 % says that the syllabus address to cross cutting issues such as environment, gender and human rights needs improvement.
Action Taken:
By implementation various University Elective Generic Papers to address the Cross-cutting issues such as environment, gender and human rights. Along with this, through various cocurricular and extra-curricular activities and competitions organized under NSS, NCC, Sarva Netrutva Project implemented by the Trust, and the seven Bands of Sapta-Dhara , Sapta-Dhara an initiative of Govt. of Gujarat, the college sensitizes students towards these cross cutting issues of environment, gender and human rights.
How relevant do you feel are the skills and knowledge that PSSHDA College provides students for the current employment situation in Overseas?
આપની કોલેજમાાં ઉપલબ્ર્ કૌશલ્ય અને જ્ઞાનલિી વશિણ શુાં વિદેશમાાં રોજગારને ધ્યાનમાાં લઈને કેટલા અાંશે ઉપયોગી છે?
The chart displays the percentage of respondents. Approx. 96 % of students rate the skills and knowledge that PSSHDA College provides students for the current employment situation in Overseas as very good or excellent, 3 % percentage of students are just satisfied and rest of students, 2 % says that it needs improvement.
Action Taken:
The faculties members of the college have referred popular international curricula. Through their active participation in various University Statutory Bodies like Board of Studies, Academic Council, Executive Council, Senate etc., they try to design the curriculum with experiential and application-oriented learning methodology. So, Students can learn to apply their knowledge and experience to real-life situations, making them ready to handle whatever life poses for them.
|
JobScheduler - Installation Guide
Installation and Configuration
April 2016
Contact Information
Software- und Organisations-Service GmbH
Giesebrechtstr. 15 D-10629 Berlin Germany
Telephone +49 (0)30 86 47 90-0 Telefax +49 (0)30 8 61 33 35 Mail firstname.lastname@example.org Web http://www.sos-berlin.com
Last Updated: 04/22/2016 05:31 PM
This documentation is based on JobScheduler Version 1.10.4.
Copyright © 2005-2016 SOS GmbH Berlin.
All rights reserved. All trademarks or registered trademarks are the property of their respective holders. All information and materials in this book are provided "as is" and without warranty of any kind. All information in this document is subject to change without further notice.
This product includes software developed by the Apache Software Foundation (http://apache.org/)
We would appreciate any feedback you have, or suggestions for changes and improvements; please forward your comments to email@example.com.
Table of Contents
1 Installation
The steps described below should be carried out when making a new installation of the JobScheduler, in the order presented below:
Database Configuration (page 27)
The JobScheduler requires a database except it will be used as an agent. The JobScheduler needs the database to archive logs and to remember jobs and order states. A JobScheduler agent doesn't have own jobs or orders and the logging is made by the JobScheduler which calls the agent. So an agent is running without a database.
You find the supported database management systems here.
Because of licensing restrictions when used with MySql®, Sybase or Microsoft® SQL Server databases, a JDBC® driver appropriate to the database version used must be provided by the end user themselves. Alternatively, a jTDS JDBC® driver, delivered with the JobScheduler setup, can be used for Microsoft® SQL Server and Sybase databases. Similarly, the MariaDB® driver is delivered with the JobScheduler setup, for use for MySql® Server and MariaDB® databases. For IBM® DB2 a JDBC® driver inlusive the license file must be provided by the end user too. Drivers for Oracle® Database and PostgreSQL are contained in the JobScheduler setup.
JobScheduler Installation (page 6)
Installation of the JobScheduler is carried out using a setup program. This can be downloaded from http://www.sos-berlin.com for Microsoft® Windows® and Linux®.
Look here to get an overview of the supported operating systems.
1.1 Requirements
The JobScheduler is for Linux® and Microsoft® Windows® in 64-bit and 32-bit available, for other operating systems currently still only in 32-bit.
1.1.1 Requirements for 32-Bit JobScheduler
* Oracle® Database Java® Runtime Environment (JRE) 32-Bit at least version 1.8.x. For IBM® AIX® you can use the IBM® Java 32-Bit at least version 1.8.x, too.
* For Unix®:
A shell in /bin/sh (or a symlink)
The JobScheduler requires some 32-Bit libraries. These are on Linux®:
* linux-gate.so.1
```
* libz.so.1 • libpthread.so.0 • libdl.so.2 • libm.so.6 • ld-linux.so.2
```
Two components (JobScheduler Object Editor (JOE) and JobScheduler Information Dashboard (JID)) of the JobScheduler are SWT applications which requires an X-windows system and GTK2. The installation includes a 32-Bit swt.jar, so you need the 32-Bit libraries:
* libgtk-x11-2.0.so.0
* libXtst.so.6
* For Microsoft® Windows®:
The library msvcr100.dll must be stored in C:\windows\system32 and also in C:\windows\SysWOW64 on 64-Bit Microsoft® Windows®.
You find the msvcr100.dll in the Java installation [Java® Runtime Environment (JRE) install path]\bin.
* If you use "Remote Configuration" then the Workload JobSchedulers and its Supervisor JobScheduler should have the same version. Further information about "Remote Configuration" can be found here.
1.1.2 Requirements for 64-Bit JobScheduler
* Oracle® Database Java® Runtime Environment (JRE) 64-Bit at least version 1.8.x. For IBM® AIX® you can use the IBM® Java 64-Bit at least version 1.8.x, too.
* For Unix®:
A shell in /bin/sh (or a symlink)
The JobScheduler requires some 64-Bit libraries. These are on Linux®:
* linux-vdso.so.1
```
* libz.so.1 • libpthread.so.0 • libdl.so.2 • libm.so.6 • libc.so.6 • ld-linux-x86-64.so.2
```
Two components (JobScheduler Object Editor (JOE) and JobScheduler Information Dashboard (JID)) of the JobScheduler are SWT applications which requires an X-window system and GTK2. The installation includes a 64-Bit swt.jar, so you need the 64-Bit libraries:
* libgtk-x11-2.0.so.0
* If you use "Remote Configuration" then the Workload JobSchedulers and its Supervisor JobScheduler should have the same version. Further information about "Remote Configuration" can be found here.
```
* libXtst.so.6
```
1.2 Installation Using the Setup Program
The following archive files including installer are available:
* jobscheduler_linux-x64.[release].tar.gz for Linux® 64-Bit
* jobscheduler_linux-x86.[release].tar.gz for Linux® 32-Bit
* jobscheduler_windows-x64.[release].zip for Microsoft® Windows® 64-Bit
* jobscheduler_windows-x86.[release].zip for Microsoft® Windows® 32-Bit
Unpack the archive in an arbitrary directory and change to the extracted directory ./jobscheduler.[release].
The installer can be started as a dialog or in batch mode (see Batch Installation (page 20)). If you use the installer as a dialog on Unix® then it requires an X-Server. If an X-Server is not installed, then use the Batch Installation.
```
/tmp/jobscheduler.[release]> ./setup.sh
```
Example: Start installer on Unix®
```
c\windows\Temp\jobscheduler.[release]>setup.cmd
```
Example: Start installer on Microsoft® Windows®
The setup requires administrator privileges on Microsoft® Windows®. The setup opens a dialog for this on Microsoft® Windows® if necessary. On Unix® a sudo prompt will be open. Don't log in as root on Unix® but use sudo!
Under Unix®, the root privileges are not required. If you want to install the JobScheduler without root privileges, then call
```
/tmp/jobscheduler.[release]> ./setup.sh -u
```
Example: Start installer on Unix® without root permissions
The setup dialog starts with the selection of the language to be used in the setup. This is followed by a greeting, acceptance of the license conditions and the specification of two installation directories. The binaries and libraries are stored under the first path. The configuration and log files are stored under the second path.
(page 11) dialog. For the rest of this documentation the first installation directory will be referred to as $SCHEDULER_HOME and the second as $SCHEDULER_DATA. Specification of the installation directories is followed by the Package Selection are to be found in the Setup Forms (page 12) chapter. After selection of the required packages, the necessary files The forms which are subsequently presented for the configuration of the JobScheduler depend on the packages which are selected for installation alongside the JobScheduler. Further details of the JobScheduler configuration are copied into the installation directories. After this, the scripts that configure the installation packages are executed. The processing of the installation scripts run during the setup is logged. This log file is to be found in the folder $SCHEDULER_DATA /logs and is named Install_V[release]_[date][time]_[series number].log .
JobScheduler Operations Center (JOC) can be accessed after the setup by entering the following URL in a web browser (Firefox, Microsoft® Internet Explorer, Chrome are supported):
http://localhost:[port]
where [port] is the port specified for the JobScheduler instance during setup.
1.3 Licenses
The JobScheduler is available with a dual licensing model. The GNU GPL 2.0 license is available for Microsoft® Windows® and Linux®, otherwise the commercial license is required.
If you choose the commercial license then an input field is shown to enter the license key. The license key will be written in the file $SCHEDULER_DATA/config/sos.ini. Even so the license key is invalid you can continue the installation and edit the $SCHEDULER_DATA/config/sos.ini later.
1.4 Installation Paths
The setup knows two paths. Both paths are expanded with the JobScheduler ID as subdirectory. The form to enter the JobScheduler ID will be described later on.
* /opt/sos-berlin.com/jobscheduler for Unix®. If you use the installer without root permissions then you must choose another folder (e.g. /home/[user]/sos-berlin.com/jobscheduler).
* C:\Program Files\sos-berlin.com\jobscheduler for Microsoft® Windows®
The configuration and log files are stored in this second path ($SCHEDULER_DATA). The default is
* /home/[user]/sos-berlin.com/jobscheduler for Unix®
* C:\ProgramData\sos-berlin.com\jobscheduler for Microsoft® Windows® Vista/2008/7
* C:\Documents and Settings\All Users\Application Data\sos-berlin.com\jobscheduler for Microsoft® Windows® XP/2003
1.5 Setup Packages
The following packages may be selected during setup:
JobScheduler
This is the basic package and must be installed. The package contains JobScheduler Operations Center (JOC) which is a Ajax based interface for monitoring and controlling the JobScheduler objects, like jobs, job chains and orders. Further the package contains JobScheduler Object Editor (JOE) to create, edit and maintain the JobScheduler objects and JobScheduler Information Dashboard (JID), which provides an overview of the jobs planned and those that have successfully been completed.
Database Support
This package allows the job protocols to be stored in a database. MySql® (5.x ++), Oracle® Database (8.1.x, 9.2, 10g, 11g), Microsoft® SQL Server (2000, 2005, 2012), PostgreSQL (8.x, 9.x), IBM® DB2 (8.x ++) und Sybase ASE 15.0. are supported.
Housekeeping Jobs
Housekeeping Jobs are automatically carried out by the JobScheduler, for example, resending temporarily stored protocol mails after a mail server failure; deleting temporary files or restarting the JobScheduler automatically. In addition, the Housekeeping Jobs package enables the JobScheduler to be configured as an event handler.
Package selection is made using the following dialog form:
1.6 Setup Forms
The number of forms shown during setup depends on the packages which have been chosen for installation.
1.6.1 The Basic JobScheduler Forms
The JobScheduler ID is entered in the JobScheduler ID input box. Omit special characters like/ \ : ; * ? ! $ % & " < > ( ) | ^
The ID is used on Microsoft® Windows® for the name of the service after setup. The service name has the syntax sos_scheduler_[scheduler_id].
The JobScheduler ID must be unique over all installed JobScheduler (except you want to build a cluster). Futher, the JobScheduler ID expands both installation paths as a subdirectory.
The next entry - the JobScheduler Port - is used for TCP communication with the JobScheduler e.g. for JOC.
You can call JOC with Jetty. Jetty needs a unique port for HTTP and HTTPS. See also here for more details about Jetty.
The Allowed Host field is required as a security feature of the JobScheduler, whereby communication can be restricted to particular computers. This is explained in more detail in the JobScheduler documentation.
changed manually (page 36) later on. The Port and the Allowed Host entries are also written to the $SCHEDULER_DATA/config/scheduler.xml file. The JobScheduler ID is written to the $SCHEDULER_HOME/bin/jobscheduler_environment_variables.(cmd|sh) file. The ports for Jetty are written to the $SCHEDULER_DATA/config/jetty.xml file. The configuration files can be
The SMTP Server is specified here along the mail sender, recipient and if required CC und BCC. Multiple addresses are to be separated by commas.
manually (page 36) at a later date. The values entered here configure the $SCHEDULER_DATA/config/factory.ini file, which can also be changed
Specify information regarding whether the JobScheduler should automatically forward job log files by e-mail.
subsequently changed manually (page 36). The entries made using this form are saved in the $SCHEDULER_DATA/config/factory.ini file, which can also be
The lower part is only shown when the housekeeping package was selected. It enables the JobScheduler to be configured as an event handler. Corresponding objects will be created in $SCHEDULER_DATA /config/live/sos/events respectively. This is explained in more detail in the Events documentation.
1.6.2 The Database Support Package Forms
The following forms are only shown when the Database Support package was selected.
or in a backup system or a load balancing cluster (see also Installation of a Cluster (page 41)). Further information The radio buttons in the form shown above determine whether the JobScheduler should be installed "stand-alone" about Backup Cluster can be found here, about Load Balancing look here. You can change the cluster option later (see here).
Alternatively, the tables can be created manually (page 28). If you have already installed another JobScheduler The database system is specified in the upper selection on this form. It is recommended that the box in the center of the form is checked, so that a script which creates and fills the necessary database tables can be executed. with the same database connection then abandon this option.
The database connection information is specified in the input fields. The middle part where you can choose the provided jTDS JDBC® driver is only shown for Sybase and Microsoft® SQL Server. If you selected MySql® then you get a checkbox for alternatively use of the MariaDB® JDBC® driver. If the jTDS JDBC® driver or the MariaDB® JDBC® driver is unchecked then you must enter your own JDBC® driver in a next dialog.
manually (page 36) if required. This configuration is saved in the $SCHEDULER_DATA/config/factory.ini, $SCHEDULER_DATA /config/hibernate.cfg.xml and $SCHEDULER_DATA/config/sos_settings.ini files. All files can be changed
This dialog form is offer for
* ... IBM® DB2.
* ... MySql® and you have unchecked the MariaDB® JDBC® driver for MySql® databases.
* ... Microsoft® SQL Server or Sybase and you have unchecked the jTDS JDBC® driver for Sybase and Microsoft® SQL Server databases.
The script for the creation of the database tables is started by the setup program and requires a JDBC® driver appropriate to the database system being used. The drivers for Oracle® Database and PostgreSQL are included in the setup. However, the relevant IBM® DB2, MySql®, Sybase and Microsoft® SQL Server JDBC® driver must be manually specified here. Note that for Microsoft® SQL Server and Sybase databases the jTDS JDBC® driver and for MySql® the MariaDB® JDBC® driver that is delivered as part of the JobScheduler setup can be used when the appropriate checkbox in the previous form is activated. For IBM® DB2 you have to provide a license file for the driver too.
As this driver will also be required by the JobScheduler later on, it is copied by the setup into the $SCHEDULER_HOME /lib/user_lib folder.
page: 19
2 Batch Installation
Note that when the JobScheduler installation is started with a parameterized XML file, no dialog forms will appear. The file scheduler_install.xml included in the extracted directory ./jobscheduler.[release] can be used for this purpose. You can start the setup as follows AFTER you have edited this file with the installation paths, host, port, database connection, etc..
```
/tmp/jobscheduler.[release]> ./setup.sh scheduler_install.xml
```
Example: Start installer on Unix® with parameter file
```
c:\windows\Temp\jobscheduler.[release]>setup.cmd scheduler_install.xml
```
Example: Start installer on Microsoft® Windows® with parameter file
The setup requires administrator privileges on Microsoft® Windows®. The setup opens a dialog for this on Microsoft® Windows® if necessary. On Unix® a sudo prompt will be open. Don't log in as root on Unix® but use sudo.
Under Unix®, the root privileges are not required. If you want to install the JobScheduler without root privileges, then call
```
/tmp/jobscheduler.[release]> ./setup.sh -u scheduler_install.xml
```
Example: Start installer on Unix® with parameter file and without root privileges
Installation Using the Setup Program (page 6) in the above chapter to get information about all setup settings. This scheduler_install.xml mirrors all the values which can specified during a setup dialog. Please read the
2.1 Licenses
The JobScheduler is available with a dual licensing model. The GNU GPL 2.0 license is available for Microsoft® Windows® and Linux®, otherwise the commercial license is required. In the following part of the scheduler_install.xml file you can choose the license model and enter the license key if necessary.
```
<com.izforge.izpack.panels.UserInputPanel id="licences"> <userInput> <!-- Select the license model (GPL or Commercial) --> <entry key="licenceOptions" value="GPL"/> <!-- If you selected GPL as license model than the licence must be empty. Otherwise please enter a license key if available. It is also possible to modify the license key later. --> <entry key="licence" value=""/> </userInput> </com.izforge.izpack.panels.UserInputPanel>
```
Example: License in scheduler_install.xml
Please read the section Licenses (page 8) in the above chapter for more information.
2.2 Installation Paths
You have to edit the following parts of the scheduler_install.xml file instead using the forms in the dialog setup.
```
<com.izforge.izpack.panels.TargetPanel id="target"> <!-- SELECT THE INSTALLATION PATH FOR THE BINARIES AND LIBRARIES The installation expands this path with the JobScheduler ID as subdirectory. The path must be absolute! Default paths are /opt/sos-berlin.com/jobscheduler for Unix® C:\Program Files\sos-berlin.com\jobscheduler for Microsoft® Windows® --> <installpath>[:choose absolute installation path of the JobScheduler:]</installpath> </com.izforge.izpack.panels.TargetPanel>
```
Example: $SCHEDULER_HOME in scheduler_install.xml
```
<com.izforge.izpack.panels.UserPathPanel id="userpath"> <!-- SELECT THE DATA PATH FOR CONFIGURATION AND LOG FILES The installation expands this path with the JobScheduler ID as subdirectory. The path must be absolute! Default paths are /home/[user]/sos-berlin.com/jobscheduler for Unix® C:\ProgramData\sos-berlin.com\jobscheduler for newer Microsoft® Windows® C:\Documents and Settings\All Users\Application Data\sos-berlin.com\jobscheduler for older Microsoft® Windows® --> <UserPathPanelElement>[:choose absolute data path of the JobScheduler configuration and log files:]< /UserPathPanelElement> </com.izforge.izpack.panels.UserPathPanel>
```
Example: $SCHEDULER_DATA in scheduler_install.xml
Please read the section Installation Paths (page 9) in the above chapter for more information.
2.3 Setup Packages
You have to edit the following part of the scheduler_install.xml file instead using the form in the dialog setup.
```
<com.izforge.izpack.panels.PacksPanel id="package"> <!-- SELECT THE PACKS WHICH YOU WANT INSTALL --> <!-- Package: JobScheduler JobScheduler Basic Installation THIS PACK IS REQUIRED. IT MUST BE TRUE --> <pack index="0" name="Job Scheduler" selected="true"/> <!-- Package: Database Support Job history and log files can be stored in a database. Database support is available for MySql®, PostgreSQL, Oracle® Database, Microsoft® SQL Server, IBM® DB2. THIS PACK IS REQUIRED. IT MUST BE TRUE --> <pack index="2" name="Database Support" selected="true"/> <!-- Package: Housekeeping Jobs Housekeeping Jobs are automatically launched by the JobScheduler, e.g. to send buffered logs by mail, to remove temporary files or to restart the JobScheduler. --> <pack index="5" name="Housekeeping Jobs" selected="true"/> </com.izforge.izpack.panels.PacksPanel>
```
Example: Packages in scheduler_install.xml
Please read the section Setup Packages (page 11) in the above chapter for more information.
2.4 JobScheduler's Host, Port, ID
You have to edit the following part of the scheduler_install.xml file instead using the form in the dialog setup.
```
<com.izforge.izpack.panels.UserInputPanel id="network"> <userInput> <!-- Network Configuration --> <!-- Enter the name or ip address of the host on which the JobScheduler is operated --> <entry key="schedulerHost" value=""/> <!-- Enter the port for TCP communication --> <entry key="schedulerPort" value="4444"/> <!-- Enter the port for Jetty HTTP --> <entry key="jettyHTTPPort" value="44440"/> <!-- Enter the port for Jetty HTTPS --> <entry key="jettyHTTPSPort" value="8443"/> <!-- To enter a JobScheduler ID is required. The IDs of multiple instances of the JobScheduler must be unique per server. The JobScheduler ID expands the above installation paths as subdirectory. Please omit special characters like: / \ : ; * ? ! $ % & " < > ( ) | ^ --> <entry key="schedulerId" value="scheduler"/> <!-- It is recommended to enable TCP access for the host where the JobScheduler will install, optionally enter additional host names or ip addresses. To enable all hosts in your network to access the JobScheduler enter '0.0.0.0'. --> <entry key="schedulerAllowedHost" value="localhost"/> <!-- Choose (yes or no) wether the JobScheduler should be started at the end of the installation --> <entry key="launchScheduler" value="yes"/> </userInput> </com.izforge.izpack.panels.UserInputPanel>
```
Example: Host, Port, ID in scheduler_install.xml
Please read the section The Basic JobScheduler Forms (page 13) in the above chapter for more information.
2.5 Cluster
or in a cluster (see also Installation of a Cluster (page 41)). In the following part of the scheduler_install.xml file you can choose wether the JobScheduler runs standalone
```
<com.izforge.izpack.panels.UserInputPanel id="cluster"> <userInput> <!-- Cluster Configuration --> <!-- The JobScheduler can be installed independent of other possibly JobSchedulers, as a primary JobScheduler in a backup system or as a backup JobScheduler. Use '' for a standalone, '-exclusive' for a primary or '-exclusive -backup' for a backup JobScheduler. A database is required for a backup system. All JobSchedulers in a backup system must have the same JobScheduler ID and the same database. Further you can set '-distributed-orders' for a load balancing cluster. For more information see http://www.sos-berlin.com/doc/de/scheduler.doc/backupscheduler.xml http://www.sos-berlin.com/doc/de/scheduler.doc/distributed_orders.xml --> <entry key="clusterOptions" value=""/> </userInput> </com.izforge.izpack.panels.UserInputPanel>
```
Example: Cluster in scheduler_install.xml
If the value of the clusterOptions entry element ...
* ... is empty then the JobScheduler runs standalone.
* ... is equal -exclusive then the JobScheduler is the primary in a Backup Cluster.
* ... is equal -exclusive -backup then the JobScheduler is the secondary in a Backup Cluster.
* ... is equal -distributed-orders then the JobScheduler is a member of a Load Balancing Cluster.
Further information about Backup Cluster can be found here, about Load Balancing look here.
2.6 Mail Settings
You have to edit the following parts of the scheduler_install.xml file instead using the forms in the dialog setup.
```
<com.izforge.izpack.panels.UserInputPanel id="smtp"> <userInput> <!-- Mail Recipients Configuration / SMTP Authentication --> <!-- Enter the ip address or host name and port (default: 25) of your SMTP server --> <entry key="mailServer" value=""/> <entry key="mailPort" value="25"/> <!-- Configure the SMTP authentication if necessary. --> <entry key="smtpAccount" value=""/> <entry key="smtpPass" value=""/> <!-- Enter the addresses of recipients to which mails with log files are automatically forwarded. Separate multiple recipients by commas --> <!-- Account from which mails are sent --> <entry key="mailFrom" value=""/> <!-- Recipients of mails --> <entry key="mailTo" value=""/> <!-- Recipients of carbon copies: --> <entry key="mailCc" value=""/> <!-- Recipients of blind carbon copies --> <entry key="mailBcc" value=""/> </userInput> </com.izforge.izpack.panels.UserInputPanel>
```
Example: Mail Configuration in scheduler_install.xml
```
<com.izforge.izpack.panels.UserInputPanel id="email"> <userInput> <!-- Mail Configuration / Event Handler --> <!-- Choose in which cases mails with log files are automatically forwarded. --> <entry key="mailOnError" value="yes"/> <entry key="mailOnWarning" value="yes"/> <entry key="mailOnSuccess" value="no"/> <!-- The Housekeeping package is required for configure JobScheduler as event handler Choose this option if you intend to use JobScheduler Events and - this JobScheduler instance is the only instance which processes Events - this JobScheduler instance is a supervisor for other JobSchedulers which submit Events --> <entry key="jobEvents" value="off"/> </userInput> </com.izforge.izpack.panels.UserInputPanel>
```
Example: Mail Configuration der scheduler_install.xml
Please read the section The Basic JobScheduler Forms (page 13) in the above chapter for more information.
2.7 The Database Support Package Settings
You have to edit the following parts of the scheduler_install.xml file instead using the forms in the dialog setup.
```
<com.izforge.izpack.panels.UserInputPanel id="database"> <userInput> <!-- Database Configuration These entries are only necessary if the package 'Database Support' is chosen.--> <!-- Choose the database management system. Supported values are 'mysql' for MySql®, 'Oracle® Database' for Oracle® Database, 'mssql' for Microsoft® SQL Server, 'pgsql' for PostgreSQL, 'db2' for IBM® DB2 and 'sybase' for Sybase. --> <entry key="databaseDbms" value="mysql"/> <!-- You can choose between 'on' or 'off' to create the database tables. If you have modified the initial data of an already existing installation, then the modifications will be undone. Data added remains unchanged. This entry should be only 'off', when you sure, that all tables are already created. --> <entry key="databaseCreate" value="on"/> </userInput> </com.izforge.izpack.panels.UserInputPanel>
```
Example: Database Support in scheduler_install.xml
```
<com.izforge.izpack.panels.UserInputPanel id="dbconnection"> <userInput> <!-- Database Configuration These entries are only necessary if the package 'Database Support' is chosen. --> <!-- Enter the name or ip address of the database host --> <entry key="databaseHost" value=""/> <!-- Enter the port number for the database instance. Default ports are for MySql® 3306, Oracle® Database 1521, Microsoft® SQL Server 1433, postgreSQL 5432, IBM® DB2 50000, Sybase 5000. --> <entry key="databasePort" value=""/> <!-- Enter the schema --> <entry key="databaseSchema" value=""/> <!-- Enter the user name for database access --> <entry key="databaseUser" value=""/> <!-- Enter the password for database access --> <entry key="databasePassword" value=""/> <!-- You must provide the MySql®, Microsoft® SQL Server or Sybase JDBC® Driver respectively if you selected corresponding DBMS type. For license reasons MySql®, Sybase and Microsoft® SQL Server JDBC® Drivers are not provided. Alternatively you can use the MariaDB® JDBC® Driver for MySql® and the jTDS JDBC® Driver for Microsoft® SQL Server and Sybase which is provided.--> <!-- You can choose between 'yes' or 'no' for using the jTDS JDBC® Driver This entry has only an effect for Microsoft® SQL Server or Sybase --> <entry key="connectorJTDS" value="yes"/> <!-- You can choose between 'yes' or 'no' for using the MariaDB® JDBC® Driver This entry has only an effect for MySql® --> <entry key="connectorMaria" value="yes"/> </userInput> </com.izforge.izpack.panels.UserInputPanel>
```
Example: License in scheduler_install.xml
```
<com.izforge.izpack.panels.UserInputPanel id="jdbc"> <userInput> <!-- Configuration for JDBC® Driver This entry is only necessary if the package 'Database Support' is chosen and you selected a DBMS type like MySql®, Microsoft® SQL Server or Sybase in the previous <userInput> element. --> <!-- You must provide the MySql®, Microsoft® SQL Server or Sybase JDBC® Driver respectively if you selected corresponding DBMS type. For license reasons MySql® and Microsoft® SQL Server JDBC® Drivers are not provided. Specify the JDBC® Driver source (e.g. mysql-connector-java-*.jar for MySql®, sqljdbc.jar for Microsoft® SQL Server, jconn3.jar for Sybase). Alternatively you can use the MariaDB® JDBC® Driver for MySql® and the jTDS JDBC® Driver for Microsoft® SQL Server and Sybase which is provided. --> <!-- Select the path to JDBC® Driver --> <entry key="connector" value=""/> </userInput> </com.izforge.izpack.panels.UserInputPanel>
```
Example: License in scheduler_install.xml
Please read the section The Database Support Package Forms (page 16) in the above chapter for more information.
3 Database Configuration
It is required that the JobScheduler is allocated a database and/or database schema and a database user except the JobScheduler is running as an agent. Instructions for the creation of the database itself are to be taken from the database documentation. MySql® (5.x ++), Oracle® Database (8.1.x, 9.2, 10g, 11g), Microsoft® SQL Server (2000, 2005, 2012), PostgreSQL (8.x, 9.x), IBM® DB2 (8.x ++) und Sybase ASE 15.0. are supported. The JobScheduler setup program creates the necessary database tables if the Database Support package is installed and the database connection is specified in the appropriate setup form.
The setup also requires a sufficient database permissions for CREATE TABLE, CREATE INDEX, CREATE TRIGGER INSERT, UPDATE, DELETE und SELECT statements.
,
The database configuration information is saved in the following configuration files (page 36).
* $SCHEDULER_DATA/config/factory.ini (using by JobScheduler)
* $SCHEDULER_DATA/config/hibernate.cfg.xml (used by JID)
* $SCHEDULER_DATA/config/sos_settings.ini (used by scheduler_install_tables.(sh|cmd))
3.1 MySql®
Because of licensing restrictions a MySql® JDBC® Driver is not provided. Please download a MySql® JDBC® driver before you start the JobScheduler installer. Alternatively, the MariaDB® JDBC® driver, delivered with the JobScheduler setup, can be used for MySql®
3.2 Microsoft® SQL Server and Sybase
Because of licensing restrictions when used with Sybase or Microsoft® SQL Server databases, a JDBC® driver appropriate to the database version used must be provided by the end user themselves. Alternatively, a jTDS JDBC® driver, delivered with the JobScheduler setup, can be used for Microsoft® SQL Server and Sybase databases. Otherwise please download a Microsoft® SQL Server or Sybase JDBC® driver before you start the JobScheduler installer.
If you want to use a Windows domain user instead of a sql user for the Microsoft® SQL Server connection then please read here for more details.
3.3 PostgreSQL
PostgreSQL requires PL/pgSQL. Check the languages that are available for your database by using
```
createlang -U postgres -l scheduler
```
where "postgres" is the user name and "scheduler" is the database name. "createlang" is available from the PostgreSQL bin directory. Should "plpgsql" not be listed in the output of this command then please enable this language by
```
createlang -U postgres plpgsql scheduler
```
The following two PostgreSQL server variables must have the following values
* standard_conforming_strings = off
* bytea_output = 'escape'
For all those that do not want to change this globally, this setting can be changed on a per user level:
```
alter user scheduler set standard_conforming_strings = off; alter user scheduler set bytea_output = 'escape';
```
Example: Set standard_conforming_strings and bytea_output per user level where "scheduler" is the user name of the JobScheduler database.
3.4 Manual Creation of Database Table
SQL scripts which create the database tables required by the JobScheduler are available, should they not have been correctly created by the setup program. These scripts can be run using $SCHEDULER_HOME /install/scheduler_install_tables.(sh|cmd).
configuration file (page 36). Ensure that the database connection is correctly entered in the $SCHEDULER_DATA/config/sos_settings.ini
4 Directory Structure after Installation
The contents of some of the following directories depend on the packages installed during setup and on the operating system used. In such cases the package name and/or operating system is noted in brackets after the directory or file name. Should a package name or an operating system be specified for a directory, then all the files in the directory will share this dependency.
The following directory structure should be found in $SCHEDULER_HOME:
+ bin (Microsoft® Windows®)
- dashboard.cmd Start script for JobScheduler Information Dashboard (JID)
- jobeditor.cmd Start script for JobScheduler Object Editor (JOE)
- jobscheduler.cmd Start script for the JobScheduler
- jobscheduler_environment_variables.cmd Script to set the JobScheduler environment
- jobscheduler_event.cmd Event handling script
- jobscheduler_client.pl Perl script (TCP/UDP client for sending XML commands to a JobScheduler)
- scheduler.exe JobScheduler engine
- scheduler.exe.local File for local usage of DLLs
- spidermonkey.dll JavaScript (Mozilla) program library
+ bin (Unix®)
- dashboard.sh Start script for JobScheduler Information Dashboard (JID)
- jobeditor.sh Start script for JobScheduler Object Editor (JOE)
- jobscheduler.sh Start script for the JobScheduler
- jobscheduler_environment_variables.sh Script to set the JobScheduler environment
- jobscheduler_event.sh Event handling script
- jobscheduler_client.pl Perl script (TCP/UDP client for sending XML commands to a JobScheduler)
- scheduler JobScheduler engine
- scheduler_safe.sh Watchdog script to respawn the JobScheduler
+ db SQL files to create database tables
+ mssql Microsoft® SQL Server (2000, 2005, 2012)
- scheduler.sql
- scheduler_events.sql
- scheduler_loganalyzer.sql
- sosdailyschedule.sql
- sosftphistory.sql
+ mysql MySql® (5.x ++)
+ Oracle® Database Oracle® Database 8.1.x, 9.2, 10g, 11g + pgsql PostgreSQL (8.x, 9.x) + db2 IBM® DB2 (8.x ++) + sybase Sybase - *.sql (see mssql directory) - *.sql (see mssql directory) - *.sql (see mssql directory) - hibernate_sequence.sql - *.sql (see mssql directory) - *.sql (see mssql directory)
+ doc Documentations
+ install
- scheduler_install_tables.sh Script for execute manually above SQL files (Unix®)
- scheduler_install_tables.cmd Script for execute manually above SQL files (Microsoft® Windows®)
+ lib
- *.jar Java archives (e.g. for JITL (JobScheduler Integrated Template Library) jobs)
- *.so libraries (Unix®)
+ operations_gui HTML and Javascript files used by JobScheduler Operations Center (JOC)
+ Uninstaller Program to uninstall the JobScheduler
+ user_bin
- dashboard_environment_variables.cmd-example Script example to set the JID environment (Microsoft® Windows®)
- jobeditor_environment_variables.cmd-example Script example to set the JOE environment (Microsoft® Windows®)
- jobscheduler_environment_variables.cmd-example Script example to set the JobScheduler environment (Microsoft® Windows®)
- dashboard_environment_variables.sh-example Script example to set the JID environment (Unix®)
- jobeditor_environment_variables.sh-example Script example to set the JOE environment (Unix®)
- jobscheduler_environment_variables.sh-example Script example to set the JobScheduler environment (Unix®)
The following directory structure should be found in $SCHEDULER_DATA:
+ config
+ cache Configuration directory in a Workload JobScheduler (Replicate of a Supervisor JobScheduler remote directory)
+ events (Housekeeping jobs/event handling)
+ live Local configuration directory for the JobScheduler (live Folder)
+ sos
+ events (Event Handler Jobs)
+ housekeeping (Housekeeping Jobs)
+ operations_gui
- custom.js Configuration file for JOC
+ remote Local configuration directory for a Workload JobScheduler on a Supervisor JobScheduler
- factory.ini JobScheduler configuration file
- hibernate.cfg.xml Database connection for hibernate classes
- jetty.xml Configuration file for Jetty
- scheduler.xml JobScheduler configuration file
- scheduler.xsd The XML schema definition for the JobScheduler configuration file
- scheduler_mail.xsl A stylesheet for emails with log files
- sos.ini License file
- sos_settings.ini Database connection
- web.xml Configuration file for Jetty
+ jobs Documentation of JITL (JobScheduler Integrated Template Library)
+ logs Folder for the log files of jobs, job chains and orders
5 Starting and Stopping the JobScheduler
5.1 JobScheduler Demon on Unix®
On Unix® systems, the JobScheduler is operated as a demon. To start and stop the JobScheduler use the script:
$SCHEDULER_HOME/bin/jobscheduler.sh start
Example: Starting the JobScheduler on Unix®
$SCHEDULER_HOME/bin/jobscheduler.sh stop
Example: Stopping JobScheduler on Unix®
In addition to start and stop, this script accepts additional parameters, e.g. debug, restart, abort and kill.
If you want the JobScheduler to be started automatically at server startup, then please follow the step which are describe here
If the JobScheduler doesn't start then look into the $SCHEDULER_DATA/logs/scheduler.log for the reason. You may be missing dependent libraries. This can be checked with
$SCHEDULER_HOME/bin/jobscheduler.sh ldd
5.2 JobScheduler Service for Microsoft® Windows®
On Microsoft® Windows® systems, the JobScheduler is installed as service. You can find the JobScheduler service by opening the Microsoft® Windows® service panel and looking for a service with a name starting with "SOS JobScheduler". The service has the system account after the setup. The service is configured to be started automatically at server startup.
You can start and stop the service in the Microsoft® Windows® service panel or with
```
sc.exe start sos_scheduler_[JobSchedulerId]
```
Example: Starting the JobScheduler service on Microsoft® Windows®
sc.exe stop sos_scheduler_[JobSchedulerId]
Example: Stopping the JobScheduler service on Microsoft® Windows®
...where [JobSchedulerId] is the Id of the JobScheduler.
Further you can start the JobScheduler from the command line. Ensure that the service has not already been started and use the following script:
$SCHEDULER_HOME\bin\jobscheduler.cmd start
Example: Starting the JobScheduler on Microsoft® Windows®
$SCHEDULER_HOME\bin\jobscheduler.cmd stop
Example: Stopping the JobScheduler on Microsoft® Windows®
In addition to start and stop, this script accepts additional parameters, e.g. debug, restart, abort and kill.
If the JobScheduler doesn't start then look into the $SCHEDULER_DATA/logs/scheduler.log for the reason.
6 Open JOC, JOE and JID
6.1 Open JobScheduler Operations Center (JOC)
JobScheduler Operations Center (JOC) is a GUI for monitoring and operating the JobScheduler. You open JOC in a browser (Firefox, Microsoft® Internet Explorer, Chrome are supported) with the following URL.
```
http://[scheduler_host]:[scheduler_port]/
```
You can open JOC also with Jetty with the following URLs.
http://[scheduler_host]:[jetty_http_port]/ https://[scheduler_host]:[jetty_https_port]/
When you open JOC from another computer, you must make sure that the communication is not blocked by a firewall or by the Security setting of the JobScheduler.
If you have updated the JobScheduler installation, it may be necessary to clear the browser cache for the changes to take effect in JOC.
6.2 Open JobScheduler Object Editor (JOE)
JobScheduler Object Editor (JOE) is an application to create, edit and maintain the JobScheduler objects (jobs, job chains, orders and schedules).
You start JOE with ...
```
$SCHEDULER_HOME\bin\jobeditor.cmd
```
Example: Starting JOE on Microsoft® Windows®
$SCHEDULER_HOME/bin/jobeditor.sh
Example: Starting the JOE on Unix®
An X-Server and GTK2 is necessary on Unix® systems. The necessary libraries must be installed with the same number of bit like JOE.
When you start JOE on Microsoft® Windows®, it may be that not happened. Then an initial fatal error occurred. Use debug as the argument of the call to see the error.
```
$SCHEDULER_HOME\bin\jobeditor.cmd debug
```
Example: Debug JOE on Microsoft® Windows®
For example when you get the error
```
Cannot load 32-bit SWT libraries on 64-bit Java® Virtual Machine (JVM)
```
after starting JOE you have to adjust the environment variable $JAVA_HOME in the file (page 37) $SCHEDULER_HOME /user_bin/jobeditor_environment_variables.
6.3 Open JobScheduler Information Dashboard (JID)
JobScheduler Information Dashboard (JID) is an application to provide an overview of the jobs planned and those that have successfully been completed. See also the Dashboard documentation for more details.
You start JID with ...
$SCHEDULER_HOME\bin\dashboard.cmd
Example: Starting JID on Microsoft® Windows®
$SCHEDULER_HOME/bin/dashboard.sh
Example: Starting JID on Unix®
An X-Server and GTK2 is necessary on Unix® systems. The necessary libraries must be installed with the same number of bit like JID.
When you start JID on Microsoft® Windows®, it may be that not happened. Then an initial fatal error occurred. Use debug as the argument of the call to see the error.
$SCHEDULER_HOME\bin\jobeditor.cmd debug
Example: Debug JOE on Microsoft® Windows®
For example when you get the error
Cannot load 32-bit SWT libraries on 64-bit Java® Virtual Machine (JVM)
after starting JID then you must adjust the environment variable $JAVA_HOME in the file (page 37) $SCHEDULER_HOME/user_bin/dashboard_environment_variables.
7 Configuration
The JobScheduler is configured using the following files:
* $SCHEDULER_DATA/config/sos.ini
* $SCHEDULER_DATA/config/factory.ini
* $SCHEDULER_DATA/config/scheduler.xml
* $SCHEDULER_DATA/config/operations_gui/custom.js (for JOC)
* $SCHEDULER_DATA/config/hibernate.cfg.xml (database connection of JID)
* $SCHEDULER_HOME/bin/jobscheduler_environment_variables.(sh|cmd)
These files are configured during the JobScheduler setup, using the information entered at the time. In addition, you can create further three files to adjust the environment. These are:
* $SCHEDULER_HOME/user_bin/jobscheduler_environnment_variables (for JobScheduler)
* $SCHEDULER_HOME/user_bin/jobeditor_environment_variables (for JOE)
* $SCHEDULER_HOME/user_bin/dashboard_environment_variables (for JID)
7.1 The sos.ini File
In the file $SCHEDULER_DATA/config/sos.ini the license key is included. In addition, Java options and if necessary the location of the Java® Virtual Machine (JVM) can be configured. Further details about the entries in this file are to be found here.
7.2 The factory.ini File
E-mail settings, information about the database connection and the Java archives classpath are saved in the $SCHEDULER_DATA/config/factory.ini file. Further details about the entries in this file are to be found here.
7.3 The scheduler.xml File
The JobScheduler port information are to be found in the $SCHEDULER_DATA/config/scheduler.xml file. Further details about this file are to be found here.
7.4 The custom.js File
The $SCHEDULER_DATA/config/operations_gui/custom.js file is used by JobScheduler Operations Center (JOC). Beside other settings you can configure the language and filters in particular. See also here for more details.
7.5 The hibernate.cfg.xml File
The $SCHEDULER_DATA/config/hibernate.cfg.xml file is used by JobScheduler Information Dashboard (JID) to get the database connection. See also the Dashboard documentation for more details.
7.6 The jobscheduler_environment_variables.(sh|cmd) File
In this file the start parameter and the ID of the JobScheduler are set.
This file should not be changed because the changes after a JobScheduler Update may have been lost. If environment variables need to be adjusted, then please put them in a file $SCHEDULER_HOME /user_bin/jobscheduler_environnment_variables. You can use the file $SCHEDULER_HOME /user_bin/jobscheduler_environment_variables.(sh|cmd)-example as a template. $SCHEDULER_HOME /user_bin/jobscheduler_environnment_variables must be executable on Unix®.
The $SCHEDULER_HOME/bin/jobscheduler_environment_variables.sh file is particularly relevant for Linux®/Unix® systems because the LD_LIBRARY_PATH or $JAVA_HOMEis set, which must be customized, if the JobScheduler should not find the Java virtual machine.
In this case the following error is logged in $SCHEDULER_DATA/logs/scheduler.log:
```
[ERROR Z-JAVA-100 Java Virtual Machine cannot be loaded [0509-022 Cannot load module ... System error: A file or directory in the path name does not exist.] [libjvm.so]]
```
If you modify the JobScheduler Id on Microsoft® Windows® then note that the corresponding service must be reinstalled.
```
$SCHEDULER_HOME/bin/jobscheduler.cmd remove $SCHEDULER_HOME/bin/jobscheduler.cmd install
```
Example: Reinstall the JobScheduler service
7.7 The jobeditor_environment_variables File
In this file the environment of JobScheduler Object Editor (JOE) can be set.
You start JOE with $SCHEDULER_HOME/bin/jobeditor.(sh|cmd). This file should not be changed because the changes after a JobScheduler Update may have been lost. If environment variables (e.g. $JAVA_HOME) need to be adjusted, then please put them in a file $SCHEDULER_HOME/user_bin/jobeditor_environment_variables. You can use the file $SCHEDULER_HOME/user_bin/jobeditor_environment_variables.(sh|cmd)-example as a template. $SCHEDULER_HOME/user_bin/jobeditor_environment_variables must be executable on Unix®.
7.8 The dashboard_environment_variables.(sh|cmd) File
In this file the environment of JobScheduler Information Dashboard (JID) can be set.
You start JID with $SCHEDULER_HOME/bin/dashboard.(sh|cmd) but this file should not be changed because the changes after a JobScheduler Update may have been lost. If environment variables (e.g. $JAVA_HOME) need to be a d j u s t e d , t h e n p l e a s e p u t t h e m i n a f i l e $ S C H E D U L E R _ H O M E /user_bin/dashboard_environment_variables.(sh|cmd). You can use the file $SCHEDULER_HOME
/user_bin/dashboard_environment_variables.(sh|cmd)-example as a template. $SCHEDULER_HOME /user_bin/dashboard_environment_variables.(sh|cmd) must be executable on Unix®.
8 Update the JobScheduler
A special "Update-Setup" of the JobScheduler is available.
* jobscheduler_linux_update-x64.[release].tar.gz for Linux® 64 bit • jobscheduler_linux_update-x86.[release].tar.gz for Linux® 32 bit • jobscheduler_windows_update-x64.[release].zip for Microsoft® Windows® 64 Bit • jobscheduler_windows_update-x86.[release].zip for Microsoft® Windows® 32 Bit
Call of this setup runs analogous to the "Full-Setup (page 6)".
You can also use the "Full-Setup" to update the JobScheduler, but is only pratical with reservation, because if you want to update a JobScheduler installation where the first installation was done before release 1.3.9 then the directory tree is not identical. Instead of that please use the "Update-Setup".
9 Multiple Installation
You can install any number of JobScheduler.
The following points must be taken into account when completing the (page 13)Network Configuration form of the JobScheduler basic package setup:
(page 41). • The JobScheduler ID should be unique amongst all the JobScheduler except you want to install a cluster
On Microsoft® Windows® the JobScheduler ID is used after the setup is completed to set the name of the JobScheduler service in the sos_scheduler_[scheduler_id] form.
* The TCP port must also be unique amongst all the JobSchedulers installed on one computer.
It is recommended that all JobSchedulers installed on a computer or in a network use the same database connection. This must be the case a Backup Cluster or Load Balancing is to be used.
10 Installation of a Cluster
JobScheduler is to use this file for a Batch-Installation (page 20). You must only edit the schedulerHost value in the Each JobScheduler in a cluster has almost the same setup configuration. Particularly, they have the same JobScheduler Id and the same database connection. After the installation of the first JobScheduler of the cluster the file $SCHEDULER_HOME/scheduler_install.xml will be created. An easy way to install the other clustered scheduler_install.xml and in addition the clusterOptions when building a Backup Cluster. The value of databaseCreate should be set to off, as the database has already been created when the primary JobScheduler was set up.
```
... <entry key="schedulerHost" value="[other host]"/> ... <!-- for Backup Cluster --> <entry key="clusterOptions" value="-exclusive -backup"/> ... <entry key="databaseCreate" value="off"/> ...
```
Example: Snippet of $SCHEDULER_HOME/scheduler_install.xml
Further information about the Backup Cluster configuration can be found here, about Load Balancing look here.
If you want to change the cluster option of an already installed JobScheduler then you can use the setup once more to update the installation or you change it manually (see here).
11 Deinstallation
11.1 Removal Using the Uninstaller
The Uninstaller $SCHEDULER_HOME/Uninstaller/uninstall.jar is initialized by the setup program used to install the JobScheduler. The Uninstaller is started using:
```
unix-shell> $SCHEDULER_HOME/Uninstaller/uninstall.sh
```
Example: Start uninstaller on Unix®
```
windows-shell> $SCHEDULER_HOME\Uninstaller\uninstall.cmd
```
Example: Start uninstaller on Microsoft® Windows®
On Unix® the uninstaller ask for root permissions via sudo. I you have installed the JobScheduler without root permission then the uninstaller doesn't need root permission. In this case you type:
```
unix-shell> $SCHEDULER_HOME/Uninstaller/uninstall.sh -u
```
Example: Start uninstaller on Unix® without root permissions
On Microsoft® Windows® a dialog box asks for the removal of the JobScheduler to be confirmed.
A database created for the JobScheduler must be deleted manually.
The "SOS JobScheduler id=[scheduler_id]" service on Microsoft® Windows® should be removed manually after uninstalling a JobScheduler. It is important to note here the correct [scheduler_id] - that is the ID specified during installation of the JobScheduler. It may be that this service is marked as being deactivated. In this case, the service will only be removed after the computer has been restarted. This can be verified by opening the service panel (Start->Run services.msc) or by entering:
Should the service only have been deactivated, then a renewed installation of a JobScheduler with the same [scheduler_id] will only be possible after the computer has been restarted.
11.2 Manual Removal on Microsoft® Windows®
To manually remove a JobScheduler, it is necessary to open a shell (Start->Run cmd) and then carry out the following steps.
* Stop the JobScheduler
```
$SCHEDULER_HOME\bin\jobscheduler.cmd stop
```
An error message will be shown, should the JobScheduler already have been stopped. This message can be ignored.
* Remove the JobScheduler Service
* Remove the database
```
$SCHEDULER_HOME\bin\jobscheduler.cmd remove
```
The documentation for any database which may have been installed for the JobScheduler should be consulted for instructions as to its removal.
* Deregister the hostole.dll program library (only for 32Bit $js;)
* Delete all files and directories
```
regsvr32 /u $SCHEDULER_HOME\bin\hostole.dll
```
```
rmdir /S /Q $SCHEDULER_HOME rmdir /S /Q $SCHEDULER_DATA
```
11.3 Manual Removal on Unix®
To manually remove the JobScheduler, a shell should be opened and then the following steps carried out.
* Stop the JobScheduler
```
$SCHEDULER_HOME
```
```
/bin/jobscheduler.sh stop
```
An error message will be shown, should the JobScheduler already have been stopped. This message can be ignored.
* Remove the database
The documentation for any database which may have been installed for the JobScheduler should be consulted for instructions as to its removal.
* Delete all files and directories
```
rm -r -f $SCHEDULER_HOME rm -r -f $SCHEDULER_DATA
```
12 32bit JobScheduler on 64bit Systems
Environment (JRE) and some 32-Bit libraries (see requirements (page 5)). The JobScheduler is implemented as a 32-Bit and a 64-Bit application. You can operate the 32-Bit JobScheduler in a 64-Bit environment on the supported platforms. The JobScheduler requires furthermore a 32-Bit Java® Runtime doesn't start and you must change the $JAVA_HOME in the file (page 37) $SCHEDULER_HOME If you have a 64-Bit Java® Runtime Environment (JRE) installed then it is possible that the JobScheduler setup use it and writes the path of the 64-Bit Java® Runtime Environment (JRE) installation into the $JAVA_HOME variable in the $SCHEDULER_HOME /bin/jobscheduler_environment_variables.(sh|cmd) . In this case the JobScheduler /user_bin/jobscheduler_environnment_variables .
If the JobScheduler doesn't start then look into the $SCHEDULER_DATA/logs/scheduler.log for the reason. You may be missing dependent libraries. This can be checked with
```
$SCHEDULER_HOME/bin/jobscheduler.sh ldd
```
12.1 32bit JOE and JID on 64bit Systems
this case you must change the $JAVA_HOME variable in der Datei (page 37) $SCHEDULER_HOME It can happen that neither JOE nor JID can start because a 64-Bit Java® Runtime Environment (JRE) is called. In /user_bin/jobeditor_environment_variables and $SCHEDULER_HOME /user_bin/dashboard_environment_variables.(sh|cmd).
For Linux® and Microsoft® Windows® you can install a 64-Bit version of JOE and JID. 32-Bit JOE and JID can also be started with a 64-Bit Java® Runtime Environment (JRE). The following steps are necessary.
*
Download a 64-Bit swt.jar and copy it to $SCHEDULER_HOME/lib.
* Set $JAVA_HOME=[/path/to/64-Bit Java® Runtime Environment (JRE)] for JOE $SCHEDULER_HOME /user_bin/jobeditor_environment_variables and for JID$SCHEDULER_HOME /user_bin/dashboard_environment_variables.(sh|cmd).
* The libraries mentioned below must installed as 64-Bit version on Unix®.
* libgtk-x11-2.0.so.0
* libXtst.so.6
13 Troubleshooting
Assistance in troubleshooting issues can be found in the Home Page, in our Product Knowledge Base or on Sourceforge.
page: 45
Glossary
Job Chains
A series of jobs that process orders one after the other. The JobScheduler starts the jobs in a job chain automatically, once a order has been started for the chain. Job chains allow a number of orders to be processed in parallel, by starting multiple instances of jobs (tasks).
Jobs
Software Open Source
Programs and scripts that are executed by the JobScheduler have to be embedded in jobs. Jobs can contain either start executable files or contain job scripts that use the JobScheduler program interface. More than one instance of a job (task) may run at any one time, should this be required to scale performance.
There are two types of jobs: standalone and order jobs. Whereas order jobs are started by orders within a job chain, standalone jobs can be started independently: either manually, scheduled or by directory monitoring. Standalone jobs cannot be run in job chains.
JOC (JobScheduler Operations Center)
JOC (JobScheduler Operations Center) is the JobScheduler interface for monitoring and controlling JobScheduler objects such as jobs, job chains and orders.
JOC is opened in a web browser using the address http://[scheduler_host]:[scheduler_port], where [scheduler_host] and [scheduler_port] are the host name and the TCP ports number of the JobScheduler (e.g. http://localhost:4444).
JOE (JobScheduler Object Editor)
JOE is the JobScheduler Object Editor. This is used to configure JobScheduler objects (jobs, job chains, orders, schedules, process classes and locks).
JOE is started using the script:
* $SCHEDULER_HOME \bin\jobeditor.cmd (Windows™)
* $SCHEDULER_HOME /bin/jobeditor.sh (Unix™)
Orders
Orders activate the processing of job chains. Orders may also contain parameters for the jobs in a job chain. Every job in a job chain has access to the order parameters. Order parameters overwrite job parameters of the same name. Orders can be started according to time.
An order processes the jobs in a job chain one after the other. Orders can be configured so that, if a error in processing a job occurs, the order ...
* is removed from the job chain;
* continues with a further job in the chain;
* continues with the job that caused the initial error being repeated
* stands still - that is the order processing is suspended until it is restarted manually.
Schedules
Time-based starting of jobs or orders can either be directly specified for each job or order or can be delegated to a schedule. Individual jobs or orders are then referred to this schedule. This means that if several jobs or orders have the same start parameters, these need only be specified once in the schedule. In addition, one schedule can be replaced by another for a particular period of time, thereby increasing the flexibility of setting job and order start parameters.
page: 47
|
received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR–ISE– 2014–26, and should be submitted on or before June 23, 2014.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority. 10
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014–12646 Filed 5–30–14; 8:45 am]
BILLING CODE 8011–01–P
SMALL BUSINESS ADMINISTRATION
Reporting and Recordkeeping Requirements Under OMB Review
AGENCY
: Small Business Administration.
ACTION: 30-Day notice.
SUMMARY: The Small Business Administration (SBA) is publishing this notice to comply with requirements of the Paperwork Reduction Act (PRA) (44 U.S.C. Chapter 35), which requires agencies to submit proposed reporting and recordkeeping requirements to OMB for review and approval, and to publish a notice in the Federal Register notifying the public that the agency has made such a submission. This notice also allows an additional 30 days for public comments.
DATES: Submit comments on or before July 2, 2014.
ADDRESSES: Comments should refer to the information collection by name and/ or OMB Control Number and should be sent to: Agency Clearance Officer, Curtis Rich, Small Business Administration, 409 3rd Street SW., 5th Floor, Washington, DC 20416; and SBA Desk Officer, Office of Information and Regulatory Affairs, Office of Management and Budget, New Executive Office Building, Washington, DC 20503.
FOR FURTHER INFORMATION CONTACT:
Curtis Rich, Agency Clearance Officer,
(202) 205–7030, email@example.com.
Copies: A copy of the Form OMB 83– 1, supporting statement, and other documents submitted to OMB for review may be obtained from the Agency Clearance Officer.
SUPPLEMENTARY INFORMATION: Pursuant to 5(h)(i)(c) The Small Business Market Improvement Act the seller of a loan or pool certificate must disclose the information on this form to the purchaser, constant annual prepayment rate based upon the seller's analysis of the prepayment histories of SBA guaranteed loans with similar maturities and additional disclosure information on the terms, conditions and yield of the securities.
(1) Title: Form of Detached Assignment for U.S. Small Business Administration Loan Pool or Guaranteed Interest Certificate.
Description of Respondents: Collected information is used by investors and SBA.
Estimated Annual Responses: 856. Estimated Annual Hour Burden: 733.
Curtis B. Rich,
Management Analyst.
[FR Doc. 2014–12610 Filed 5–30–14; 8:45 am]
BILLING CODE 8025–01–P
SOCIAL SECURITY ADMINISTRATION
[Docket No. SSA–2013–0047]
Social Security Ruling, SSR 14–2p; Titles II and XVI: Evaluating Diabetes Mellitus
AGENCY: Social Security Administration. ACTION: Notice of Social Security Ruling (SSR).
SUMMARY: We are giving notice of SSR 14–2p. This SSR provides information about the types of impairments and limitations that result from diabetes mellitus (DM). It also provides guidance on how we evaluate DM in disability claims under titles II and XVI of the Social Security Act.
DATES: Effective Date: June 2, 2014.
FOR FURTHER INFORMATION CONTACT: Cheryl A. Williams, Office of Medical Policy, Social Security Administration, 6401 Security Boulevard, Baltimore, Maryland 21235–6401, (410) 965–1020. SUPPLEMENTARY INFORMATION: Although 5 U.S.C. 552(a)(1) and (a)(2) do not require us to publish this SSR, we are doing so under 20 CFR 402.35(b)(1).
SSRs make available to the public precedential decisions relating to the Federal old-age, survivors, disability, supplemental security income, and special veterans benefits programs. We may base SSRs on determinations or decisions made at all levels of administrative adjudication, Federal court decisions, Commissioner's decisions, opinions of the Office of the General Counsel, or other interpretations of the law and regulations.
Although SSRs do not have the same force and effect as statutes or regulations, they are binding on all of our components. 20 CFR 402.35(b)(1).
VerDate Mar<15>2010 18:59 May 30, 2014 Jkt 232001 PO 00000
This SSR will be in effect until we publish a notice in the Federal Register that rescinds it, or until we publish a new SSR that replaces or modifies it.
(Catalog of Federal Domestic Assistance, Program Nos. 96.001, Social Security— Disability Insurance; 96.002, Social Security—Retirement Insurance; 96.004— Social Security—Survivors Insurance; 96.006, Supplemental Security Income.)
Dated: May 22, 2014.
Carolyn W. Colvin,
Acting Commissioner of Social Security.
Policy Interpretation Ruling Titles II and XVI: Evaluating Diabetes Mellitus
Purpose: This SSR provides information about the types of impairments and limitations that result from diabetes mellitus (DM). It also provides guidance on how we evaluate DM in disability claims under titles II and XVI of the Social Security Act (Act). 1 We provide information about endocrine disorders other than DM, explain the types of impairments and limitations that result from them, and provide guidance on how we evaluate endocrine disorders in disability claims under titles II and XVI of the Act in SSR 14–3p.
Citations (Authority): Sections 216(i), 223(d), 223(f), 1614(a)(3), and 1614(a)(4)of the Social Security Act, as amended; Regulations No. 4, subpart P, sections 404.1505, 404.1508, 404.1509, 404.1512–404.1513, 404.1520– 404.1520a, 404.1521, 404.1522, 404.1523, 404.1525–404.1530, 404.1545, 404.1546, 404.1560–404.1569a, appendix 1, and appendix 2; and Regulations No. 16, subpart I, sections 416.905, 416.906, 416.908, 416.909, 416.912–416.913, 416.920, 416.920a, 416.921, 416.922, 416.923, 416.924, 416.924a, 416.924b, 416.925, 416.926, 416.926a, 416.927, 416.928, 416.930, 416.945, 416.946, 416.960–416.969a, 416.987, and 416.994–416.994a.
Introduction
On April 8, 2011, we published final rules in the Federal Register in which we removed the listings for evaluating DM in adults and in children from the Listing of Impairments (listings) because they no longer accurately identified
1 For simplicity, we refer in this SSR only to initial claims for benefits. However, the policy interpretations in this SSR also apply to continuing disability reviews of adults and children under sections 223(f) and 1614(a)(4) of the Act, and to redeterminations of eligibility for benefits we make in accordance with section 1614(a)(3)(H) of the Act when a child who is receiving title XVI payments based on disability attains age 18.
people who are disabled. 2 3 We added listing 109.08 for children from birth to the attainment of age 6 who have any type of DM and who require daily insulin. We removed the prior listings for DM and stated in the preamble to the final rules that we would continue to recognize DM as a potential cause of disability. We also stated that we would provide more detailed information about the types of impairments and limitations that result from DM, how we evaluate DM in disability claims, and how we would address the seriousness and difficulty of managing DM in children. We are publishing this SSR to provide the policy guidance we said we would provide in the preamble of the final rules.
Policy Interpretation I. DM
A. General
DM is a chronic condition characterized by high blood glucose levels that result from the body's inability to produce or use insulin. Insulin is a hormone that regulates blood glucose. When the body cannot make enough insulin, a person takes it by injection or through the use of an insulin pump. Although DM usually requires lifelong treatment, medical advances in the diagnosis and treatment of DM have resulted in better management of DM in adults and children.
B. Two Major Types of DM and Their Treatments
1. Type 1 DM. In Type 1 DM, previously known as juvenile-onset DM or insulin-dependent DM, the pancreas does not produce insulin due to an autoimmune destruction of the insulinproducing cells. This results in increased blood glucose levels. The onset of Type 1 DM usually has the following symptoms: Polydipsia (increased thirst); polyphagia (increased appetite); polyuria (increased urination); unexplained weight loss; fatigue or drowsiness; and blurred vision.
Type 1 DM develops most often in children but can occur at any age. People with Type 1 DM must take daily insulin to live. They generally check their blood glucose levels prior to each meal and at bedtime; however, more frequent checking may be necessary as prescribed by a physician (for example, DM management of young school-aged children may require more frequent blood glucose level checks). Many
2 76 FR 19692 (2011). The final rules were effective on June 7, 2011.
3 The listings are in 20 CFR Part 404, Subpart P, Appendix 1.
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children with Type 1 DM experience significant day-to-day variability in their DM, usually due to variations in activity. Depending on the child's age, this may necessitate daily, or even hourly, decision-making and intervention either by an adult or under the close supervision of an adult.
For each insulin dose, the decision regarding the amount and type of insulin the person needs is based on: Current blood glucose level (high, normal, or low); knowledge of the timing and type(s) of insulin the person had earlier in the day; the amount of food the person expects to consume; and the nature of activities the person planned for the next several hours. The total insulin administered each day may consist of various combinations of rapid-acting, short-acting, intermediateacting, and long-acting insulin.
2. Type 2 DM. In Type 2 DM, previously known as adult-onset DM or non-insulin-dependent DM, the pancreas does not produce enough insulin, or there is failure in the transfer of insulin into the body cells (insulin resistance). People with Type 2 DM have symptoms similar to those of Type 1 DM, but the symptoms are usually not as obvious. Other symptoms include cuts or bruises that are slow to heal, numbness in the hands and feet, or recurrent infections of the skin, gums, or bladder.
Type 2 DM is more common in people with obesity and those who have a family history of DM. The first line of treatment is management of DM through diet and exercise. Oral medication or daily insulin is usually required when the weight loss and diet alone fail to manage blood glucose levels.
C. Hyperglycemia
Hyperglycemia (high blood glucose) means a person does not have enough insulin in his or her body. It can occur when a person does not take his or her insulin, eats too much, or does not exercise enough. It can also occur when a person is sick or is under stress. Symptoms of hyperglycemia include frequent urination, increased thirst, blurred vision, headaches, difficulty concentrating, abdominal pain or nausea, and ''fruity-smelling'' breath.
1. Chronic hyperglycemia leads to DM complications such as diabetic retinopathy, cardiovascular disease, diabetic nephropathy, and diabetic neuropathy. These complications occur more often in adults than in children because body system and organ changes due to DM develop over time.
2. Diabetic ketoacidosis (DKA) is an acute complication of hyperglycemia and is potentially life-threatening. It is
PO 00000
not uncommon for people with Type 1 DM to initially present with DKA. DKA occurs when there is a shortage of insulin, resulting in toxicity in the blood. DKA may result in dehydration and an altered metabolic state with potential neurological, renal, respiratory, or cardiac dysfunction(s). When not appropriately treated, DKA may lead to chronic neurocognitive changes, coma, or even death.
D. Chronic DM Complications
1. Diabetic retinopathy, caused by damage to the small blood vessels in the retina, can result in leakage of blood into the eye and growth of abnormal new blood vessels, leading to vision loss over time. Symptoms may include pain or increased eye pressure. Nonproliferative retinopathy is an early stage of diabetic retinopathy. Although damage to the eyes from diabetic retinopathy may be permanent, some types of treatment, such as laser surgery, may alter the progression of the retinal changes. Diabetic retinopathy is a specific vascular complication of DM that may develop over time. Glaucoma, cataracts, and other disorders of the eye occur earlier and more frequently in people with DM. See 2.00 and 102.00 in the listings for guidance on evaluating vision loss.
2. Cardiovascular disease (CVD) affects the heart and blood vessels and is more common in people with DM than in people without DM. CVD is a major cause of morbidity and mortality for individuals with DM. People with DM, especially Type 2, have abnormal blood cholesterol and fat levels, which accelerates the development of CVD such as coronary artery disease or peripheral arterial disease (PAD). Amputation and foot ulceration are common consequences of PAD. See 4.00 and 104.00 in the listings for guidance on evaluating CVD.
3. Diabetic nephropathy is damage to the kidneys caused by chronic hyperglycemia. When the kidneys are damaged, protein leaks out of the kidneys into the urine. Damaged kidneys can no longer remove waste and extra fluids from the bloodstream. Diabetic nephropathy is a leading cause of end-stage renal disease. Careful management of blood glucose levels, together with the reduction of a comorbid condition such as high blood pressure, may slow the damage. See 6.00 and 106.00 in the listings for guidance on evaluating genitourinary impairments.
4. Diabetic neuropathy is permanent nerve damage. The most common types of diabetic neuropathy are peripheral and autonomic. It can affect every organ
system in the body and produce abnormal function or a loss of sensation in the affected nerve area distribution. See 11.00 and 111.00 in the listings for guidance on evaluating neurological impairments.
a. Peripheral neuropathy (also known as sensorimotor neuropathy), nerve damage that affects the feet, legs, or hands, can cause pain, numbness, and tingling in toes, feet, legs, hands, and arms, which may subsequently cause difficulty walking and holding onto objects. A loss of sensation, combined with poor blood circulation, makes it common for a person with DM and neuropathy to be unaware of an injury to a lower extremity, where cuts or blisters can turn into ulcerations. The ulcerations may become infected and have difficulty healing. Complications of these ulcerations can include cellulitis (a painful inflammation of the skin and tissues, usually from an infection), gangrene (decomposing soft tissue that often results in amputation), and sepsis (an infection that spreads through the blood stream, potentially causing shock, widespread organ failure, or death).
b. Autonomic neuropathy, nerve damage that affects the heart and blood vessels, digestive system, and urinary tract, can cause dizziness, fainting, nausea, vomiting, and infrequent or frequent urination. It can also cause hypoglycemia unawareness due to nerve dysfunction that affects the body's ability to secrete epinephrine (the hormone adrenaline). Autonomic neuropathy is strongly associated with CVD in people with DM.
E. Hypoglycemia
Hypoglycemia (low blood glucose) means that a person has abnormally low levels of blood glucose (also known as ''insulin reaction''). It causes acute symptoms and signs, such as weakness, hunger, sweating, trembling, nervousness, palpitations, and difficulty with concentration. In young children, other symptoms may include inattention, fainting, falling asleep at inappropriate times, unexplained behavior, and temper tantrums. Hypoglycemia can occur when a person takes too much insulin (or a drug that increases insulin resistance), misses a meal, or exercises more than usual. It can also occur when a person takes medications for other health conditions. Episodes of hypoglycemia occur commonly in people with Type 1 DM and occur in some people with Type 2 DM. Episodes of hypoglycemia can occur during sleep or while a person is awake. During sleep, a person is unaware of hypoglycemia, but on awaking may be confused, disoriented, or may complain of a headache or extreme fatigue. Family members or observers may note that the person during sleep is restless, sweating, or even having seizure-like movements. The only sure way to assess for hypoglycemia is to check blood glucose levels while the person is sleeping. This checking does not prevent hypoglycemia; rather, it identifies the acute need to increase blood glucose levels by consuming something like orange juice.
If not treated promptly, hypoglycemia can become severe, causing an inadequate supply of glucose to brain cells, which can lead to complications including seizures or loss of consciousness, altered mental status, cognitive deficits, permanent brain damage, or death. Complications of hypoglycemia occur more frequently in young children because they are not able to recognize and respond to symptoms of hypoglycemia, and they depend on an adult to check their blood glucose levels. Because children's bodies are growing and developing, they are more sensitive to fluctuations in blood glucose levels brought on by eating, physical activity, and illness.
Daily insulin doses are based on a person's anticipated food intake and physical activity. Proper dosing of insulin requires complex decisionmaking 24 hours a day. For children, it may be difficult to predict daily insulin doses. If an adult administers insulin to a child based on the expectation that the child will consume a certain amount of food and engage in certain activities, but the child does not eat or exercise as expected, the amount of administered insulin may exceed the child's needs and lead to hypoglycemia. Additionally, during episodes of illness, a child's need for insulin will most likely change from his or her customary need.
Hypoglycemia unawareness means a person with DM either cannot recognize or does not experience the symptoms of hypoglycemia. It generally occurs in people who have had DM for a long time and experienced many episodes of hypoglycemia. Hypoglycemia unawareness interferes with a person's ability to control blood glucose levels and puts a person at risk for severe hypoglycemia-related complications. It can result in prolonged hypoglycemia if not treated immediately, resulting in seizure, loss of consciousness, or brain damage.
F. DM and Obesity
Obesity is a complex, chronic disease characterized by excessive
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accumulation of body fat. It may increase the severity of coexisting or related impairments to the extent that the combination of impairments meets or medically equals the criteria of a listing. Therefore, a person with DM and obesity may have more severe complications than the effects of each of the impairments considered separately. 4 For example, in adults, neurovascular complications of DM may result in an amputation of a lower extremity. The neurovascular impairment, along with obesity, may make successful rehabilitation with prosthesis more difficult. Although neurovascular complications are rare in children, obesity increases the likelihood of developing these complications.
II. The Sequential Evaluation Process for Adults
We follow a five-step sequential evaluation process when we make a determination or decision whether an adult is disabled due to DM. 5
A. Work Activity
We determine at step 1 whether an adult with DM is working and, if so, whether the work activity is substantial gainful activity (SGA). 6 If an adult is engaging in SGA, we will find that he or she is not disabled. If an adult is not engaging in SGA, we go on to step 2 of the sequential evaluation process.
B. Severe Medically Determinable Impairment(s)
We determine at step 2 whether an adult has a medically determinable impairment (MDI) that is severe. An MDI must be established by medical evidence consisting of signs, symptoms, and laboratory findings, not only by a statement of symptoms. 7 When we evaluate the severity of DM, we consider any symptoms, such as fatigue or pain, that could limit functioning. 8 If the effects of DM, alone or in combination with another impairment(s), significantly limit an adult's physical or mental ability to do basic work activities, we find that the impairment(s) is severe. We find, however, that the impairment(s) is ''not severe'' if it has no more than a minimal effect on the adult's ability to do basic work activities. If an adult does not have
4 See SSR 02–1p. For the complete titles of all SSRs cited in this footnote and those following, see the CROSS–REFERENCES section at the end of this SSR. SSRs are available at: http://www.ssa.gov/OP_ Home/rulings.
5 See 20 CFR 404.1520(a) and 416.920(a).
6 See 20 CFR 404.1510 and 416.910.
7 See 20 CFR 404.1508, 404.1520(c), 404.1521, 416.908, 416.920(c), and 416.921.
8 See 20 CFR 404.1529 and 416.929; and SSR 96– 3p.
an MDI that is severe, we find that he or she is not disabled. If an adult does have a severe impairment(s), we go on to step 3 of the sequential evaluation process.
C. Evaluating the Effects of DM Under Other Body Systems
We next determine at step 3 whether the impairment(s) meets or medically equals a listing, which also considers the medical severity of your impairment(s). DM is not a listed impairment for adults. However, the effects of DM, either alone or in combination with another impairment(s), may meet or medically equal the criteria of a listing in an affected body system(s). 9 Below are some examples of the effects of DM and the body systems under which we evaluate them:
* Diabetic retinopathy, under the special senses and speech listings (2.00).
* Amputation of an extremity, under the musculoskeletal system listings (1.00).
* Hypertension, cardiac arrhythmias, and heart failure, under the cardiovascular system listings (4.00).
* Diabetic nephropathy, under the genitourinary impairments listings (6.00).
* Gastroparesis and ischemic bowel disease (intestinal necrosis), under the digestive system listings (5.00).
* Slow-healing bacterial and fungal infections, under the skin disorders listings (8.00).
* Cognitive impairments, depression, anxiety, and eating disorders, under the mental disorders listings (12.00).
* Diabetic neuropathy, under the neurological listings (11.00).
D. Assessing Residual Functional Capacity
1. When the effects of DM, alone or in combination with another impairment(s), are severe but do not meet or medically equal the criteria of a listing, we assess an adult's residual functional capacity (RFC). 10 RFC is the most an adult can do despite his or her limitation(s).
2. The combined effects of DM and another impairment(s) can be greater than the effects of each of the impairments considered separately. We consider all work-related physical and mental limitations, whether due to an adult's DM, other impairment(s), or combination of impairments. For example, adults with peripheral sensory
9
See 20 CFR 404.1509, 404.1525, 404.1526,
416.909, 416.925, and 416.926.
10 See 20 CFR 404.1545 and 416.945; and SSR 96– 8p and SSR 96–9p.
neuropathy may have difficulty walking, operating foot controls, or manipulating objects because they have lost the ability to sense objects with their hands or feet. Adults with chronic hyperglycemia may experience fatigue or difficulty with concentration that interferes with their ability to perform work activity on a sustained basis.
3. We then proceed to step 4 and, if necessary, step 5 of the sequential evaluation process. We use the RFC assessment at step 4 to evaluate whether an adult is capable of performing any past relevant work (PRW) as he or she actually performed it or as the job is generally performed in the national economy. If an adult's RFC precludes the performance of PRW (or if there was no PRW), we use the RFC assessment to make a finding at step 5 about his or her ability to perform other work that exists in significant numbers in the national economy. The usual vocational considerations apply. 11
III. The Sequential Evaluation Process for Children
We follow a three-step sequential evaluation process when we make a determination or decision whether a child is disabled due to DM. 12 13
A. Work Activity
We determine at step 1 whether a child is working and, if so, whether the work activity is SGA. 14 If a child is engaging in SGA, we find that he or she is not disabled. If a child is not engaging in SGA, we go on to step 2 of the sequential evaluation process.
B. Severe Medically Determinable Impairment(s)
We determine at step 2 whether a child has an MDI that is severe. An MDI must be established by medical evidence consisting of signs, symptoms, and laboratory findings, not only by a statement of symptoms. 15 When we evaluate severity, we consider the effects of DM on the child's functioning, including: Limitations as a result of treatment (for example, insulin); and the kinds and extent of help, support, and supervision the child needs compared to that of children the same age who do
11 See 20 CFR 404.1560–404.1569a and 416.960– 416.969a.
12 The process described in this section applies to determinations and decisions made for children under title XVI. See 20 CFR 416.924.
13 Under title II, we use the adult definition of disability to make disability determinations or decisions for people under age 18.
14 See 20 CFR 416.910.
15 See 20 CFR 416.908 and 416.924(c).
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not have impairments. 16 If the child's DM, alone or in combination with another impairment(s), causes more than minimal functional limitations, we find that the impairment(s) is severe. 17 We find that the impairment(s) is ''not severe'' if it causes no more than minimal functional limitations. If a child does not have an MDI that is severe, we find that he or she is not disabled. If a child does have a severe impairment(s), we go on to step 3 of the sequential evaluation process.
C. Meets or Medically Equals a Listing, or Functionally Equals the Listings
1. Evaluating DM under the endocrine disorders body system. We have one childhood listing for DM, listing 109.08. We find children with any type of DM who require daily insulin and have not attained age 6 disabled under this listing. We presume such children have not developed adequate cognitive capacity for recognizing and responding to their hypoglycemia symptoms; that is, they have hypoglycemia unawareness. This means they are unable to participate in their own care at the most basic level because they are unable to alert adults to their symptoms of hypoglycemia. Parents and other caregivers must have near-constant visual contact with these young children to watch for fainting or other signs of impending hypoglycemia so that they may intervene to prevent their children from having a hypoglycemic seizure or becoming comatose or dying. This level of help satisfies an example of functional equivalence in our functional equivalence regulation: The requirement for 24-hour-a-day supervision of a child for medical reasons. 18 Listing 109.08 presumes this level of help is satisfied.
2. Evaluating the effects of DM under other body systems. DM is not a listed impairment for children who are age 6 or older and require daily insulin or for children of any age with DM who do not require daily insulin. However, DM may be of listing-level severity in these children. We determine whether the effects of DM, alone or in combination with another impairment(s), meet or
16 In 20 CFR 416.924a(b), we provide guidance on factors that are relevant whenever we evaluate a child's functioning.
17 We presume that all children with any type of DM who require daily insulin and have not attained age 6 have more than minimal functional limitations because they are unable to alert adults to their symptoms of hypoglycemia. Some children age 6 and older with DM who require daily insulin, and who have not developed the cognitive ability for recognizing and responding to hypoglycemia symptoms, also have more than minimal functional limitations.
18 See 20 CFR 416.926a(m).
medically equal the criteria of a listing in an affected body system(s). 19 Complications of DM that are linked to chronic hyperglycemia (for example, diabetic retinopathy or nephropathy) develop gradually, making them rare in children. However, some adolescents may start to develop or have early-onset eye or kidney complications or have impaired growth. Below are some examples of the effects of DM and the body systems under which we evaluate them:
* Diabetic retinopathy, under the special senses and speech listings (102.00).
* Growth impairments, under the growth impairment listings (100.00).
* Cardiac arrhythmias, under the cardiovascular system listings (104.00).
* Cognitive impairments, depression, anxiety, and permanent brain damage, under the mental disorders listings (112.00).
* Gastroparesis and ischemic bowel disease (intestinal necrosis), under the digestive system listings (105.00).
3. Evaluating the effects of DM under functional equivalence. When the effects of a child's DM, alone or in combination with another impairment(s), are severe but do not meet or medically equal the criteria of a listing in any affected body system(s), we determine whether they result in limitations that functionally equal the listings. 20 By ''functionally equal the listings,'' we mean that the child's impairment(s) must be of listing-level severity. In evaluating the effects of a child's DM, alone or in combination with another impairment(s), on his or her functioning, we consider what the child cannot do, has difficulty doing, needs help doing, or is restricted from doing because of his or her impairment(s). We must explain any limitation in a child's ability to function age-appropriately on the basis of an MDI(s). 21
a. Determining the medical need for 24-hour-a-day adult supervision for children age 6 and older. Children of any age need some level of adult supervision or support in managing their DM that requires daily insulin. However, the mere need for adult supervision does not establish disability.
We presume children with DM who require daily insulin and are under age 6 have not developed the cognitive ability for recognizing and responding to hypoglycemia symptoms and,
19 See 20 CFR 416.909, 416.924(a), 416.925, and 416.926.
20 See 20 CFR 416.926a; SSRs 09–1p and 09–2p.
therefore, have impairments that meet listing 109.08. Generally, children develop the cognitive ability for recognizing and responding to their hypoglycemia symptoms by age 6. However, developmental abilities of children vary greatly. Some children age 6 and older may have the same medical need for adult help and continuous supervision as younger children. We evaluate on an individual case basis whether children age 6 and older have developed cognitive awareness of their hypoglycemia symptoms. Without this awareness, children who require daily insulin are unable to alert adults to their symptoms, and require 24-hour-a-day adult supervision for medical reasons.
When we find that a child with DM has hypoglycemia unawareness, we consider how long the child has had or will have the medical need for 24-houra-day adult supervision. For example, a child in elementary school who has only recently been diagnosed with Type 1 DM may require more time to develop awareness of his or her symptoms of hypoglycemia than an adolescent who has been newly diagnosed.
Some children may have a mental impairment(s) or another physical impairment(s) in addition to DM that also may require 24-hour-a-day adult supervision for medical reasons. We find any child who requires 24-hour-aday adult supervision for medical reasons disabled under our functional equivalence rules.
b. Determining functional equivalence for all other children with any type of DM. Children with DM that does not meet or medically equal a listing or children who do not have a medical need for 24-hour-a-day adult supervision may nevertheless have impairments that functionally equal the listings under our rules for evaluating disability in children.
To functionally equal the listings, an impairment(s) must be of listing-level severity; that is, it must result in ''marked'' limitations in two domains of functioning or an ''extreme'' limitation in one domain of functioning. Domains are broad areas of functioning intended to capture all of what a child can or cannot do.
When we determine whether a child's impairment(s) functionally equals the listings, we use the following six domains:
* Attending and completing tasks;
* Acquiring and using information;
*
* Moving about and manipulating
Interacting and relating with others;
objects;
* Health and physical well-being.
* Caring for yourself; and
21 See 20 CFR 416.924a(b) and 416.926a.
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When we evaluate a child's functioning in these six domains, we consider how the child functions compared to children the same age who do not have impairments. The first five domains describe the abilities a child uses to develop the skills that he or she uses to function in day-to-day activities. In domain six, we consider the cumulative physical effects of physical and mental impairments and their associated treatments on a child's health and functioning. This domain does not address typical development and functioning. Rather, it addresses how such things as recurrent illness, the side effects of medication, and the need for ongoing treatment affect a child's body; that is, the child's health and physical well-being.
DM, alone or in combination with another impairment(s), may affect a child's functioning in any domain. We evaluate each child's limitations by considering all relevant information from acceptable medical sources (for example, a pediatrician or psychologist), other medical sources (for example, a physical or an occupational therapist), and non-medical sources such as parents, teachers, and other people who know the child. 22 23 We also consider factors such as the:
* Effects of DM medications and other treatments, including adverse and beneficial effects.
* Kinds and extent of help, support, and supervision a child with DM needs that exceed what a child the same age would typically need; and
Some children with DM may have limitations in the domain of Acquiring and using information due to fluctuating blood glucose levels. They may find it difficult to concentrate on and participate in classroom work while at school when they experience low or elevated blood glucose levels. They may miss enough classroom time to affect their learning if they frequently seek help outside of the classroom from a school nurse or other adult for treating hypoglycemia or hyperglycemia. Children with DM may also miss school due to frequent doctor visits, emergency room care, or hospitalizations.
Frequent episodes of hypoglycemia or hyperglycemia may also result in a child having limitations in the domain of Attending and completing tasks at school, at home, or in the community. If a child often does not feel well due to low or elevated blood glucose levels, it may be difficult for him or her to stay focused on activities long enough to complete them in an age-appropriate
22 See 20 CFR 416.913(a).
23 See 20 CFR 416.924a(a).
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manner. For example, a child with DM who requires insulin may have difficulty maintaining attention to details and may make mistakes in his or her schoolwork due to an inability to concentrate.
Children with DM may have limitations in the domain of Interacting and relating with others because they are self-conscious about checking their blood glucose levels throughout the day, administering insulin, and following a special diet in the presence of their peers. They may find it difficult to maintain social contacts or participate in sport activities because they believe their peers may not understand their DM care requirements and will bully or tease them because of their requirements.
If DM or its treatment causes fatigue or weakness that limits a child's fine or gross motor functioning, we evaluate those effects in the domain of Moving about and manipulating objects. For example, a young child who experiences weakness and trembling as a consequence of hypoglycemia, or nausea due to hyperglycemia, may have difficulty with coordination, climbing up and down stairs, and running.
Other children who have DM may have difficulty meeting their emotional and physical wants and needs in ways that are age-appropriate and in comparison to other same-age children who do not have impairments. For example, a child who refuses to use insulin as needed because of embarrassment about injecting it in the presence of peers may have limitations in the domain of Caring for yourself because this action would endanger his or her health.
The ongoing effects of DM and its treatment may affect a child's health and physical well-being. For example, we evaluate the effects of hypoglycemia or DKA in the domain of Health and physical well-being. Managing DM in young children, particularly, requires intensive care from an adult to maintain the child's health and physical wellbeing. We evaluate such medical fragility in this domain. It is important to remember that the cumulative physical effects of DM and its treatment can vary in kind and intensity, affecting each child differently.
The effects of DM may differ from child to child. We evaluate the effects of a child's DM, alone or in combination with another impairment(s), including the effects of medication or other treatment, in all relevant domains. When considering the functioning of a child with DM, we use the ''whole child'' approach to evaluate the particular effects of DM on a child's
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activities in any and all of the domains that the child uses to do those activities, based on the evidence in the case record.
We find a child disabled if the effects of his or her DM, alone or in combination with another impairment(s), result in ''marked'' limitations in two domains of functioning or an ''extreme'' limitation in one domain of functioning.
Effective Date: This SSR is effective on June 2, 2014.
Cross-References: SSR 96–3p: Titles II and XVI: Considering Allegations of Pain and Other Symptoms in Determining Whether a Medically Determinable Impairment is Severe; SSR 96–8p: Titles II and XVI: Assessing Residual Functional Capacity in Initial Claims; SSR 96–9p: Titles II and XVI: Determining Capability to do Other Work—Implications of a Residual Functional Capacity for Less Than a Full Range of Sedentary Work; SSR 02– 1p: Titles II and XVI: Evaluation of Obesity; SSR 09–1p: Title XVI: Determining Childhood Disability Under the Functional Equivalence Rule—The ''Whole Child'' Approach; SSR 09–2p: Title XVI: Determining Childhood Disability—Documenting a Child's Impairment-Related Limitations; SSR 09–3p: Title XVI: Determining Childhood Disability—The Functional Equivalence Domain of ''Acquiring and Using Information''; SSR 09–4p: Title XVI: Determining Childhood Disability—The Functional Equivalence Domain of ''Attending and Completing Tasks''; SSR 09–5p: Title XVI: Determining Childhood Disability—The Functional Equivalence Domain of ''Interacting and Relating with Others''; SSR 09–6p: Title XVI: Determining Childhood Disability—The Functional Equivalence Domain of ''Moving About and Manipulating Objects''; SSR 09–7p: Title XVI: Determining Childhood Disability—The Functional Equivalence Domain of ''Caring for Yourself''; SSR 09–8p: Title XVI: Determining Childhood Disability—The Functional Equivalence Domain of ''Health and Physical Well-Being''; and Program Operations Manual System (POMS) DI 22001.001–DI 22001.035, DI 22505.001, DI 22505.003, DI 24510.005, DI 24510.006, DI 24515.061–DI 24515.063, DI 24570.001, DI 25005.001, DI 25010.001, DI 25015.001, DI 25025.001, DI 25201.005, DI 25220.010, DI
25225.001–DI 25225.065, DI 25505.025, and DI 25505.030. 24
[FR Doc. 2014–12601 Filed 5–30–14; 8:45 am] BILLING CODE 4191–02–P
SOCIAL SECURITY ADMINISTRATION
[Docket No. SSA–2013–0048]
Social Security Ruling, SSR 14–3p; Titles II and XVI: Evaluating Endocrine Disorders Other Than Diabetes Mellitus
AGENCY: Social Security Administration. ACTION: Notice of Social Security Ruling (SSR).
SUMMARY: We are giving notice of SSR 14–3p. This SSR provides information about specific endocrine disorders other than diabetes mellitus (DM), and explains the types of impairments and limitations that result from those disorders. It also provides guidance on how we evaluate endocrine disorders in disability claims under titles II and XVI of the Social Security Act.
DATES: Effective Date: June 2, 2014. FOR FURTHER INFORMATION CONTACT: Cheryl A. Williams, Office of Medical Policy, Social Security Administration, 6401 Security Boulevard, Baltimore, Maryland 21235–6401, (410) 965–1020. SUPPLEMENTARY INFORMATION: Although 5 U.S.C. 552(a)(1) and (a)(2) do not require us to publish this SSR, we are doing so under 20 CFR 402.35(b)(1).
SSRs make available to the public precedential decisions relating to the Federal old-age, survivors, disability, supplemental security income, and special veterans benefits programs. We may base SSRs on determinations or decisions made at all levels of administrative adjudication, Federal court decisions, Commissioner's decisions, opinions of the Office of the General Counsel, or other interpretations of the law and regulations.
Although SSRs do not have the same force and effect as statutes or regulations, they are binding on all of our components. 20 CFR 402.35(b)(1).
This SSR will be in effect until we publish a notice in the Federal Register that rescinds it, or until we publish a new SSR that replaces or modifies it.
(Catalog of Federal Domestic Assistance, Program Nos. 96.001, Social Security— Disability Insurance; 96.002, Social Security—Retirement Insurance; 96.004— Social Security—Survivors Insurance; 96.006, Supplemental Security Income.)
24 SSRs are available at: http://www.ssa.gov/OP_ Home/rulings. POMS are available at: https:// secure.ssa.gov/apps10/poms.nsf/partlist.
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SECTION III: COURSE DESCRIPTIONS
The following list of course descriptions encompasses all courses offered in Gwinnett County High Schools. Whether or not a particular course is offered at a given school depends on faculty expertise, student demand, master schedule, etc.
Most semester courses carry one-half Carnegie unit of credit; therefore, a course running two semesters would carry one Carnegie unit of credit (1 unit = 1 year long course). Certain technical courses carry 1 ½ units of credit per semester. These are identified in the course description. Also, if there are no prerequisites needed, this space is left blank in the course description.
FINE ARTS
Any Fine Arts course will fulfill graduation requirements for Fine Arts. Courses indicated with an asterisk (*) may require after school rehearsals and/or performances.
Dance
* Introduction to Dance - Up to 8 Semesters - Grades 9-12 Prerequisite - Teacher Recommendation
The student acquires basic dance knowledge and skills, including change of level, movement sequence, spatial patterns and dynamics in a variety of styles. The student studies the role of dance in various cultures. The student observes and critiques dance performances using specified criteria and appropriate dance terminology. The student develops coordination, flexibility and strength and acquires technical skills in preparation for further dance study.
* Intermediate Dance - Up to 8 Semesters - Grades 9-12 Prerequisite - Teacher Recommendation
Students extend their knowledge and skill in various dance forms, public performance techniques, and choreographic concepts. Students study prominent historical figures in dance and learn to recognize classical dance works. Students practice dance analysis and movement sciences as related to injury prevention and technical training.
* Advanced Dance - Up to 8 Semesters - Grades 9-12 Prerequisite - Teacher Recommendation
The student acquires a comprehensive understanding of the elements of movement and dance technique. The student acquires knowledge in dance history and skills in choreography, performance, and critical analysis of dance.
* Dance Composition – Up to 6 Semesters - Grades 10-12 Prerequisite - Advanced Dance
Students study the elements of choreography, lighting principles and techniques, and principles of costuming. Students will create original choreographic works. Students will critique their own choreographic works and those created by others.
* Theatre Dance - Up to 8 Semesters - Grades 9-12
Prerequisite - Teacher Recommendation
Students will develop skills in social and musical theatre dance. They will study innovators in the fields of social and musical theatre dance. Students will acquire basic knowledge of historical and cultural dance forms and injury prevention.
Theatre Arts
Introduction to Theatre - 1 Semester - Grades 9-12 Prerequisite - Teacher Recommendation
Introduction to Theatre surveys theatre history, acting, and the technical skills involved in production. Students analyze and evaluate live theatre and explore the relationship between theatre and other art forms.
* Acting - 2 Semesters - Grades 10-12 Prerequisite - Teacher Recommendation or Audition and Introduction to Theatre
Students acquire skills in role analysis, character development, vocal techniques and communication of a text. Students solve theatrical problems through knowledge of cultural, social and political aspects of the setting.
* Advanced Drama - 4 Semesters - Grades 10-12 Prerequisite - Introduction to Theatre and Acting
The focus of Advanced Drama is on scene analysis, critical reviewing, and beginning directing. Students identify dramatic theories, styles and literature.
* Theatre Production Workshop - Up to 7 Semesters - Grades 9-12 Prerequisite - Teacher Recommendation and/or Introduction to Theatre
This course is designed to provide experience in all aspects of theatrical production and management. Students explore the creation of technical stage effects. The course culminates in a major theatrical production. Students are expected to attend required rehearsals and performances outside the school day.
* Advanced Theatre Workshop - Up to 7 Semesters - Grades 9-12 Prerequisite - Audition, Introduction to Theatre, and any acting or production class.
Advanced Theatre Workshop is for the experienced student performer or technician and includes the preparation of a major production. Students design and implement technical aspects of a production. In addition, students learn theatre management techniques. Students are expected to attend required rehearsals and performances outside the school day.
* Musical Production Workshop - Up to 7 Semesters - Grades 9-12 Prerequisite - Audition, Introduction of Theatre, and any acting or production class. (Recommended classes: Choral Music/Dance)
This class will culminate in the production of a musical. Opportunities will be provided for students to develop individual and ensemble skills in singing, acting, and dancing. Students analyze production options to solve musical theatre problems. Students are expected to attend required rehearsals and performances outside the school day.
* Stagecraft - Up to 8 Semesters - Grades 10-12
Prerequisite - Teacher Recommendation and/or Introduction to Theatre
Students engage in problem-solving activities in theatre management, scenery construction, costumes, makeup, properties, stage lighting, sound technology and publicity. The course includes hands-on experience in all elements of theatre production.
Music
Beginning Piano Keyboard Techniques - 2 Semesters - Grades 9-12
Students develop skills in fundamental piano techniques. Music theory skills include notation of pitch and rhythm, scales, and intervals. A variety of literature for the piano is studied and performed. Performance and sight-reading skills will be developed and enhanced through various keyboard techniques.
Introduction to Music Technology - 1 Semester - Grades 9-12
Students learn computer basics and are introduced to basic MIDI sequencing applications. Students explore MIDI sequencing software, "intelligent accompaniment" software and notation software. Students create original multi-track sequences and original musical compositions.
Intermediate Music Technology - 1 Semester - Grades 9-12 Prerequisite - Introduction to Music Technology
Students extend their knowledge of the computer, the electronic keyboard (synthesizer) and MIDI sequencing techniques. Students create a multi-track sequence of background music for a specific setting such as movie/TV score, computer game, commercial, etc. Students apply MIDI editing features and drum kits.
Advanced Music Technology - Up to 4 Semesters - Grades 10-12 Prerequisite - Music Technology
In addition to extending their knowledge and skill in MIDI sequencing techniques, students study and apply basic recording techniques and track mixing techniques. Students explore careers associated with the music industry such as producer, engineer and manager. Students create a multi-track sequence of background music and synchronize it to a video format. Students expand their understanding and use of compositional techniques including harmonization, orchestration, and arranging.
Music Theory - 2 Semesters - Grades 9-12
This course introduces the fundamentals of music theory, including key signatures, meter, tempo and dynamic terms, and harmonic progressions. Emphasis is placed on developing the students' sightsinging, music dictation, and analysis skills. Students interpret figured bass symbols and analyze musical texture and form.
AP Music Theory - 2 Semesters - Grades 11-12
Prerequisite - Two semesters of Instrumental Music or Vocal Music courses. Students must have at least a B+ average in music courses and a B average in mathematics.
The students will follow the AP Music Theory curriculum as prescribed by the College Board. Emphasis is placed on harmonic structure of music and aural analysis of harmony. Students are given the opportunity to take the College Board AP Music Theory examination for AP college credit.
Music History - 2 Semesters - Grades 9-12
This survey course covers the evolution of musical style through major stylistic periods. Students examine the history of rhythm and pitch notation, the orchestral and keyboard instruments, and the lives of historically significant composers. Listening skills and analysis of style characteristics are emphasized.
Choral Music
An interview/audition is required for admission to courses beyond Beginning Chorus. * Beginning Choral Ensemble - Up to 8 Semesters - Grades 9-12
This course emphasizes the development of vocal techniques and performance skills using a variety of choral literature. Students develop music reading skills. No prior experience is necessary.
* Intermediate Choral Ensemble - Up to 8 Semesters - Grades 9-12
This course further develops the student's skill in vocal performance. The emphasis is on vocal technique development, including breath control diction and vocal production. Students participate in public performances.
* Advanced Choral Ensemble - Up to 8 Semesters - Grades 9-12
This course is designed for students interested in developing superior performance skills. Students refine vocal production skills to improve blend, balance, intonation, diction and tone quality.
* Vocal Ensemble - Up to 8 Semesters - Grades 9-12
Students expand their choral/vocal repertoire to include all major historical and contemporary styles and genres written for the small vocal ensemble. Increasing technical skills in sight singing and musical analysis is expected. Historical performance practices are stressed.
* Advanced Vocal Ensemble - Up to 8 Semesters - Grades 9-12
This course stresses the development of advanced vocal techniques. Both a cappella and accompanied literature for the ensemble are studied. Students explore composition and improvisation techniques and analysis of choral music.
Instrumental Music - Orchestra
An interview or audition is required for placement in any instrumental music course.
* Beginning Orchestra - Up to 2 Semesters - Grades 9-12
Students develop skills in fundamental strings instrument techniques. Music theory skills include notation of pitch and rhythm, scales and intervals. Aural development is emphasized. A variety of literature for the string ensemble is studied and performed.
* Concert Orchestra - Up to 8 Semesters - Grades 9-12
In Concert Orchestra, students acquire intermediate level solo and ensemble performance skills. Students refine music reading skills as well as performance skills, including more advanced bow techniques. Students acquire knowledge in music theory and history as they relate to orchestral literature. Students are expected to participate in all concerts and extra rehearsals.
* Symphonic Orchestra - Up to 8 Semesters - Grades 9-12
Students engage in preparation and performance of music literature equivalent to GMEA difficulty level IV/V (the highest difficulty level being VI). Students refine bowing techniques, performance techniques, intonation, and knowledge of music theory and history. Students are expected to participate in all concerts and extra rehearsals.
* Philharmonic Orchestra - Up to 8 Semesters - Grades 9-12
This course is for the most advanced string instrument students. Emphasis is placed on the standard orchestral repertoire, advanced techniques, independence and confidence in performance situations, and thorough understanding of the theoretical and historical basis for the music performed. Students are expected to participate in all concerts and extra rehearsals.
* Chamber Orchestra - Up to 8 Semesters - Grades 9-12
This course is designed for the student who wishes to study and perform the string chamber ensemble repertoire. Students learn the unique skills of small ensemble performance. Students are expected to participate in public chamber ensemble performances and rehearsals.
Instrumental Music - Band
An interview or audition is required for placement in any instrumental music course.
* Beginning Band - 2 Semesters - Grades 9-12
This course is designed for students having no prior band experience. The course content includes beginning instrumental skills and music reading.
* Intermediate Band - 2 Semesters - Grades 9-12
Students extend skills in music reading, instrumental music techniques and knowledge of repertoire appropriate to the instrument studied. Some public performance with the ensemble is expected.
* Concert Band - Up to 8 Semesters - Grades 9-12
Concert Band is designed for the advancing student who has acquired the necessary skills for frequent public performance. These skills include the ability to sight read, to consistently produce an appropriate instrumental tone quality, and consistently and accurately respond appropriately to expression markings in the music score. Students will further refine their performance skills. Required out-of-class activities, as stipulated by the teacher, will determine a portion of the student's grade.
* Symphonic Band - Up to 8 Semesters - Grades 9-12
Students acquire advanced skills in music reading and performance techniques. A variety of literature of various historical and contemporary styles and genres is performed. Students extend their knowledge of music theory, including analysis of form and style. Students explore the composition and improvisation of instrumental music. Required out-of-class activities, as stipulated by the teacher, will determine a portion of the student's grade.
Symphonic Winds - Up to 8 Semesters - Grades 9-12
Students acquire advanced skills in music reading and performance techniques. A variety of literature of various historical and contemporary styles and genres is performed. Students extend their knowledge of music theory, including analysis of form and style. Students explore the composition and improvisation of instrumental music. Symphonic Winds is designed for the smaller ensemble performing from the classical and contemporary concert literature.
* Advanced Band - Up to 4 Semesters - Grades 9-12
This is a non-ensemble class for the advanced instrumental music student concentrating on refining technique and the preparation of solo-ensemble materials. Students acquire advanced skills in music reading and solo performance techniques. A variety of literature of various historical and contemporary styles and genres is performed. Students extend their knowledge of music theory, including analysis of form and style. Students explore the composition and improvisation of instrumental music.
* Jazz Band - Up to 8 Semesters - Grades 9-12
Students acquire skills in performance of instrumental music in the jazz and rock idioms. The development of contemporary instrumental music styles is studied.
Instrumental Music - Miscellaneous
No interview or audition is required.
Beginning Guitar - 2 Semesters - Grades 9-12
Students acquire basic music reading and guitar playing techniques, including tuning, chords, rhythm and strumming/picking techniques.
Visual Arts
Two-Dimensional Design - 1 Semester - Grades 9-12
This course encompasses exploration of image and makes use of techniques in drawing, printmaking, lettering, painting and collage. A variety of two-dimensional designs are created. Historical and contemporary achievements in two-dimensional art are explored.
Three-Dimensional Design - 1 Semester - Grades 9-12
This course involves exploration of concepts and techniques of construction, assemblage, and media manipulations. Historical and contemporary developments in three-dimensional arts are explored.
The following advanced visual arts courses are designed for grades 10-12. All have Two-Dimensional Design and Three-Dimensional Design as prerequisites. Exception: A ninth grade student may take advanced art classes during spring semester if he/she has successfully completed both TWODIMENSIONAL DESIGN and THREE-DIMENSIONAL DESIGN during fall semester of the ninth grade year.
Sculpture - Up to 4 Semesters - Grades 10-12
Prerequisite - Two-Dimensional and Three-Dimensional Design
Students study the basic elements of design as they relate to 3-D form. The course emphasizes solving problems which incorporate basic additive, subtractive, and manipulative methods. Students also explore combinations of media and the resolution of 3-D design problems. Historical and contemporary developments in sculpture are explored.
Pottery - Up to 4 Semesters - Grades 10-12 Prerequisite - Two-Dimensional Design and Three-Dimensional Design
Students will design and create hand-built clay pottery forms which incorporate the elements and principles of 3-D design. The student will be introduced to wheel pottery. Historical and contemporary developments in clay will be explored.
Jewelry and Metalworking - Up to 4 Semesters - Grades 10-12 Prerequisite - Two-Dimensional Design and Three-Dimensional Design
Students will use a variety of materials and methods to design and create jewelry. The student will form and join metals using basic casting and fabrication techniques. Historical and contemporary developments in jewelry design will be explored.
Computer Applications in Art - Up to 4 Semesters - Grades 10-12 Prerequisite - Two-Dimensional Design and Three-Dimensional Design
Students use a variety of electronic media, software, techniques and equipment to solve computer art problems. Students learn to apply knowledge of the principles of design in creating computer art by generating and integrating illustrations, typography and photographic images into complete pieces of computer art. Related historical and contemporary art works will be explored.
Commercial Photography I - Basic Black and White Photography - 1 Semester - Grades 10-12 Prerequisite - Two-Dimensional Design and Three-Dimensional Design
Students are introduced to the creation of images using light sensitive materials. The technical areas addressed are: camera and lens theory, basic light and optics, exposure controls, fundamental darkroom operations, safety, chemistry, paper and film theory, black and white printing, and equipment usage. Students are introduced to basic lighting and flash photography as well as historical and contemporary developments in photography.
Commercial Photography II - Studio Techniques in Photography - 1 Semester - Grades 10-12 Prerequisite - Two-Dimensional Design, Three-Dimensional Design and Commercial Photography I - Basic Black and White Photography
Students create commercial photographic images using professional quality cameras, lighting, lightmeters, strobes, flash units, backdrops and props. Students are introduced to studio lighting effects and techniques. Darkroom assignments include the materials, paper, printing techniques, and chemistry associated with commercial darkroom operations. Students study and research historical and contemporary developments in photography.
Commercial Photography III - Digital Photography - 1 Semester - Grades 10-12 Prerequisite - Commercial Photography I - Basic Black and White Photography or Computer Applications in Art
As a growing part of commercial photography, students will be introduced to the creation of images using electronic digital still cameras, scanners, video cameras, and digital studio cameras. All final work will be the product of photo imaging using Adobe Photoshop and other relevant software. The work will be illustrative, documentary, photojournalistic, and experimental in nature. The traditional skills of the retoucher will be explored in an electronic format, as well as, the changing role of digital photography in the new world of web/internet/intranet publications.
Commercial Photography IV - Non-traditional Printing Techniques in Photography - 1 Semester Grades 10-12
Prerequisite - Commercial Photography I - Basic Black and White Photography
Students will be introduced to the creation of images using light sensitive materials, non-traditional printing methods, and current technology. Actual shooting and printing assignments will allow the student to acquire knowledge and skills in historically commercial image production and contemporary fine print production.
Photo Design - Up to 4 Semesters - Grades 10-12 Prerequisite - Two-Dimensional Design and Three-Dimensional Design
Students are introduced to the creation of images using light sensitive materials. Pinhole photography and contact printing are emphasized along with other introductory work with film. Eventually, students will use the photographic medium to communicate feelings and ideas while applying the technical skills acquired in previous courses. Historical and contemporary developments in photography will be explored.
Drawing and Painting - Up to 4 Semesters - Grades 10-12 Prerequisite - Two-Dimensional Design and Three-Dimensional Design
Students will acquire skills in a variety of drawing and painting techniques, including the use of contour line, gesture line, value and color. The development of a painting style will be introduced with emphasis on constructing personal visual statements that communicate feelings and ideas. Career opportunities in the field will be examined. Historical and contemporary developments in drawing and painting will be explored.
Architectural Design - Up to 4 Semesters - Grades 10-12 Prerequisite - Two-Dimensional Design and Three-Dimensional Design
Students will survey the principles of design in historical architecture and environmental design development and apply the skills learned to practical designs. Students' experience will include model-making, architectural drawing, field trips to view exemplary architectural examples, and discussions related to career opportunities in the field.
Printmaking - Up to 4 Semesters - Grades 10-12 Prerequisite - Two-Dimensional Design and Three-Dimensional Design
Students will experiment with various printmaking processes including relief, intaglio, lithography and screen printing. Related history and contemporary developments will be explored and career opportunities will be examined.
Advanced Placement Art History - Up to 2 Semesters - Grades 10-12 Prerequisite - Student must have been enrolled in honors or gifted Social Studies or Language Arts classes.
The student will follow the prescribed College Board AP Art History curriculum. Student may take the AP Art History Test.
Advanced Placement Studio Drawing Portfolio - Up to 2 Semesters - Grades 11-12 Prerequisite - Student must demonstrate competence and self-motivation in numerous advanced level Visual Arts courses and must pass a portfolio check by the instructor of the course. Teacher Recommendation Necessary
The student will follow the prescribed College Board drawing Portfolio (AP Studio) curriculum. Students may submit work for AP credit. Work concentration will be in painting, printmaking, and mixed media, as well as abstract, observational, and inventive works, may qualify. (Works of photography, videotapes, and digital works may not be submitted for AP Studio Drawing Portfolio.)
Advanced Placement 2-D Design Portfolio - Up to 2 Semesters - Grades 11-12 Prerequisite - Students must demonstrate competence and self-motivation in numerous advanced level Visual Arts courses and must pass a portfolio check by the instructor of the course. Teacher Recommendation Necessary
The student will follow the prescribed College Board 2-D Design Portfolio (AP Studio) curriculum. Students may submit work for AP credit. Work concentration will be in, but not limited to, graphic design, typography, digital imaging, photography, collage, fabric design, weaving, illustration, painting and printmaking.
Advanced Placement 3-D Design Portfolio - Up to 2 Semesters - Grades 11-12 Prerequisite - Student must demonstrate competence and self-motivation in numerous advanced level Visual Arts courses and must pass a portfolio check by the instructor of the course. Teacher Recommendation Necessary
The student will follow the prescribed College Board 3-D Design Portfolio (AP Studio) curriculum. Students may submit work for AP credit. Work concentration will be in traditional sculpture, architectural models, apparel, ceramics, three-dimensional fiber, arts or metal works. Any work that is derived from photographs, published images, and/or other artists' works must show substantial and significant development beyond duplication.
Graphic Design - Up to 4 Semesters - Grades 10-12 Prerequisite - Two-Dimensional Design and Three-Dimensional Design
Students study the basics of design related to advertising, packaging, displaying and illustrating. Students employ lettering and drafting techniques and technology to create designs that communicate an idea. Projects and problems will be explored to simulate experiences from the world of work. Historical and contemporary developments in typography and graphic design will be explored.
Crafts Design - Up to 4 Semesters - Grades 10-12
Prerequisite - Two-Dimensional Design and Three-Dimensional Design
Students will explore the elements of two-dimensional and three-dimensional design through study and creation of various craft forms. Media may include metals, clay, fibers, textiles, wood, and mixed media. Students will explore questions of functionality and market appeal of their work. Contemporary and historical developments from Western and non-Western cultures will be explored.
HEALTH
Introduction to Health - 1 Semester - Grades 9-12
This course is a graduation requirement designed to offer a practical approach to health topics that concern adolescents. The course covers knowledge and skills necessary for personal health and well being and the prevention and treatment of injury. Additional information covered includes: disease prevention, relationships, consumer health, the life cycle, tobacco, alcohol, and other drug use prevention. (Required for College Prep and Technical Diploma)
First Aid & CPR - 1 Semester - Grades 10-12 Prerequisite - Introduction to Health and Introduction to Lifetime Fitness
This rigorous course will provide students with the necessary skills to assess and care for patients in emergency situations. The course will cover the legal aspects of first responder care, personal safety and protection, patient assessment, patient stabilization and basic trauma and first aid information.
Adapted Health - 1 Semester - Grades 9-12 (Alternate)
This course is designed for students who require a modified curriculum. Successful completion of this course will satisfy requirements toward the Individualized Education Diploma or elective credit.
VPP Health - 1 Semester - Grades 9-10
This course is designed to help students develop habits for healthy living, develop traits that will help them get along with others and traits to be responsible for their own behavior. Students enrolled in this course are pursuing an Individualized Education Diploma and are enrolled in the VPP program.
JUNIOR ROTC
Junior ROTC (JROTC) is a four-year progressive program which is open to male and female students in the ninth through twelfth grades. There are Air Force units at Shiloh and North Gwinnett High Schools, a Navy unit at Duluth High School and a Marine unit at Parkview.
Air Force (AFJROTC) program provides leadership training and an aerospace science program for high school students. The mission statement of the program is to develop citizens of character dedicated to serving their nation and community. The yearly course of instruction (180 hours) is divided into two categories: academic (108 hours) and leadership (72 hours). Academic studies include one year of the history of airpower and national defense, two years of science to include aerodynamics and space operations, and one year of cadet corps management. Leadership studies include Air Force customs and courtesies, cadet corps activities, study habits, time management, communicative skills, and leadership/management studies
Frontiers of Aviation History - 2 Semesters - Grades 9-11
This course covers the history of airpower, the role of the military in U.S. history, the role of aerospace forces as instruments of U.S. national policy, and the composition of the aerospace community. The leadership portion of the course promotes followership and leadership fundamentals, customs and courtesies of the armed forces, drill and ceremonies, organization and management instruction, communication, and problem solving skills.
Science of Flight - 2 Semesters - Grades 9-11
This course is general study of aerodynamics and the principles of flight. Specific areas covered include: the aerospace environment, human requirements of flight, and the principles of flight and navigation. The leadership portion covers communication skills, and introduction to leadership theory, and understanding of individual and group behavior, and the application of these skills during drill and ceremonies.
Exploration of Space - 2 Semesters - Grade 9-11
This course studies our present military and aerospace system and the social aspects of aerospace. The subject matter includes aircraft propulsion systems, rocketry, and space travel. The leadership area refines management communication and techniques, and hones the cadet's followership and leadership skills as a basis for assuming Cadet Crops command and staff positions.
Cadet Corps Management - 2 Semesters - Grades 11-12 Prerequisite - Frontiers of Aviation History, Science of Flight and Exploration of Space
This course stresses the challenge of command and staff, and individual planning and career management. The leadership portion integrates and applies all previous academic and leadership instruction by requiring the Cadet Commander and staff to run all aspects of the Cadet Corps. These duties and responsibilities include command, operations, information management, personnel, awards and decorations, finance, public affairs, and logistics management.
Navy Junior ROTC (NJROTC) offers four years of progressive leadership training based on a curriculum of naval science. The program is open to all students in the ninth through twelfth grades. The NJROTC course involves the study of engineering in the naval environment, maritime geography, naval history of the world, international relations, human behavior, total quality leadership and followership, seamanship and navigation. The course includes orientation field trips to Armed Forces facilities, mini-cruises aboard naval vessels, transportation via military aircraft, leadership camps, and competitive cocurricular (volunteer after school) activities.
Naval Science I - 2 Semesters - Grades 9-11
This course covers the NJROTC program, introduction to leadership, naval ships: missions and organization, American democracy, national policy and maritime geography, naval history through 1815, introduction to navigation, basic seamanship and leadership experiences.
Naval Science II - 2 Semesters - Grades 10-11
This course covers leadership in the NJROTC unit, naval orientation and career planning, citizenship in the US and other countries, naval history from 1815 through 1930, naval weapons, oceanography, navigation, small boat seamanship, survival training and orienteering.
Naval Science III - 2 Semesters - Grades 11-12
This course covers naval leadership, military justice, international law and sea, naval history: 1930- the Nuclear Age, astronomy, meteorology and weather, naval intelligence and national security, maneuvering board, challenges of future naval research, electricity and naval electronics.
Naval Science IV - 2 Semesters - Grade 12
This course covers selected readings in practical leadership for NJROTC students. It contains an Orientation and Indoctrination Lecture Series, a four seminar series to develop/review the strategic plan of the NJROTC unit. An evaluation/feedback series, and selected leadership readings throughout.
Marine Corps Junior ROTC (MCJROTC) is a four-year progressive program that is open to male and female students in the ninth through twelfth grades. The MCJROTC program of instruction is designed to emphasize leadership education and leadership development. Basic training in leadership tenets, military history, military customs and courtesies, military organizations, citizenship, physical fitness and health, drill and ceremonies, marksmanship, time management, financial management and planning, communication skills, and career preparation is taught as part of the cadet's orientation to the Marine Corps' leadership through individual challenges and team building exercises. An orientation visit to a Marine Corps installation every other year helps further define the roles and missions of the Marine Corps. Cadets also have the opportunity to compete in extracurricular sports as a member of the Precision Rifle Team, Drill Team, Color Guard, Physical Fitness Team or Orienteering Team. The Precision Rifle Team is also a Georgia High School Athletic Association Varsity sport and is also open to non-ROTC students at Parkview High School.
Leadership Education I (LE I) - 2 Semesters - Grades 9-12
Leadership Education I introduces the cadets to the major subjects to lay the foundation for the grade levels to follow. This course emphasizes followership, development of leadership traits, Marine Corps drill and ceremonies, military customs and courtesies, patriotism and civic responsibilities. Additionally, cadets will become familiar with the cadet rank structure, chain of command, and the proper wearing of the uniform. At this level, memorization skills and proper study habits will be developed.
Leadership Education II (LE II) - 2 Semesters - Grades 10-12 Prerequisite - Leadership Education I
During the second year, each cadet will explore each subject that was taught in the first year, only in greater detail. Emphasis is on leadership theory, style and principles. Some leadership roles are assigned to second year cadets. Curriculum includes military history (early America through 1945) and the great patriots of America, oral and written communication, national defense, land navigation, marksmanship, military drill with arms, and the National Endowment for Financial Education (NEFE) Financial Planning Program.
Leadership Education III (LE III) - 2 Semesters - Grades 11-12 Prerequisite - Leadership Education I and Leadership Education II
During the third year, each cadet will focus on leadership training and leadership application through assignment to key billets within the Corps of Cadets battalion organization. Cadets will expand their leadership foundation through discussions of ethical conduct and learn how to develop subordinate leaders through mentoring. Additional instruction will be given on the subjects of time management, goal setting, event planning, troop leading steps, military history (1945-1990), conduct armed and unarmed drill, career exploration and opportunities in public service. There will be a major emphasis toward developing strong communication skills and confidence in public speaking.
Leadership Education IV (LE IV) - 2 Semesters - Grade 12
Prerequisite - Leadership Education I, Leadership Education II and Leadership Education III
The fourth year cadet will be expected to hold the highest leadership positions within the Corps of cadets and further develop leadership foundation through developing lesson plans and assisting the Marine Instructor and Senior Marine Instructor in classroom instruction and armed and unarmed drill. Additionally, cadets will study military history (1990 to present), conduct international studies on current events and real world conflicts, and plan and execute community service projects.
LANGUAGE ARTS
The goal of the Gwinnett County Language Arts program is to develop effective users of language. For this reason, students will have an opportunity to practice reading, writing, speaking and listening skills in every language arts course. Academic Knowledge and Skills have been adopted by the GCPS Board of Education as the essential curriculum. Primary emphasis will be on developing students' abilities to apply these skills effectively.
All students in Gwinnett County must pass four units of language arts as part of their graduation requirements. Course selections should be made on the basis of students' post-graduation plans, abilities, and interests.
Students may not take two English classes at the local school to make up a failure until the 12th grade, and then only on a space available basis. Opportunities to make up failure before then include summer school, Phoenix High School or community school seventh period classes.
Technical Freshman Language Arts - 2 Semesters - Grade 9 - Requires End-of-Course Test
This course provides practice in using language for real purposes related to a student's education and career goals and needs. A balance of composition, applied grammar and literature will be maintained to prepare a student for a variety of choices in high school and upon graduation. (Technical Diploma)
College Prep Freshman Language Arts - 2 Semesters - Grade 9 - Requires End-of-Course Test
This course supports the language development of college-bound students. Each semester will have a balance of composition, applied grammar, and literature. The development of vocabulary, speaking, listening, researching and test-taking skills will be an integral part of the curriculum. (College Prep Diploma)
Honors Freshman Language Arts - 2 Semesters - Grade 9 - Requires End-of-Course Test
This course challenges college-bound students to extend and refine their use of language. Each semester will have a balance of composition, applied grammar, and literature. The development of vocabulary, speaking, listening, researching, and test-taking will be ongoing during each semester. (College Prep Diploma)
Gifted Freshman Language Arts - 2 Semesters - Grade 9 - Requires End-of-Course Test
This course challenges college-bound students to extend and refine their use of language. Each semester will have a balance of composition, applied grammar, and an in-depth study of literature. The development of vocabulary, speaking, listening, and researching will be ongoing during each semester. (College Prep Diploma)
Language Arts for Limited English Proficient Students - Grades 9-12
These courses are designed for students who qualify for the English to Speakers of Other Languages (ESOL) program. In accordance with state rule 160-4-5-.02, "ESOL classes address English listening, speaking, reading, writing, and American cultural concepts which students need to participate in regular classroom instruction." The student's language proficiency is developed through instruction in literature, applied grammar, and composition. As per state rule 160-4-2-.03, an ESOL student may earn up to six semesters of core language arts credit in the following courses: ESOL Language Arts II, ESOL Language Arts III, and ESOL Language Arts IV. Students in the ESOL courses of ESOL I, Communication Skills, and Language Development through Content 2, 3, and 4 may earn elective credit on successful completion of a course. The LDC courses focus on the language skills needed to be successful in the content areas of science, social studies and math. (College Prep Diploma or Technical Diploma)
Technical Sophomore Language Arts - 2 Semesters - Grade 10
This course provides practice in using language for real purposes related to student's education and career goals and needs. A balance of composition, applied grammar and literature will be maintained to prepare a student for a variety of choices in high school and upon graduation. (Technical Diploma)
College Prep Sophomore Language Arts - 2 Semesters - Grade 10
This course supports the language development of college-bound students. Each semester will have a balance of composition, applied grammar, and literature. The development of vocabulary, speaking, listening, researching, and test-taking skills will be an integral part of the curriculum. (College Prep Diploma)
Honors Sophomore Language Arts - 2 Semesters - Grade 10
This course challenges college-bound students to extend and refine their use of language. Each semester will have a balance of composition, applied grammar, and world literature. The development of vocabulary, speaking, listening, researching, and test-taking skills will be an integral part of the curriculum. (College Prep Diploma)
Gifted Sophomore Language Arts - 2 Semesters - Grade 10
This course challenges college-bound students to extend and refine their use of language. Each semester will have a balance of composition, applied grammar, and an in-depth study of world literature. The development of vocabulary, speaking, listening, and researching will be an integral part of the curriculum. (College Prep Diploma)
Technical Junior Language Arts - 2 Semesters - Grade 11 - Requires End-of-Course Test
This course provides practice in using language for real purposes related to a student's goals and needs. A balance of composition, applied grammar and literature will be maintained to prepare the student for a variety of choices upon graduation. (Technical Diploma)
College Prep Junior Language Arts - 2 Semesters - Grade 11 - Requires End-of-Course Test
This course supports the language development of college-bound students. Each semester will have a balance of composition, applied grammar and literature. The development of vocabulary, speaking, listening, researching, and test-taking skills will be an integral part of the curriculum. The literature program will focus on American authors. (College Prep Diploma)
Honors Junior Language Arts - 2 Semesters - Grade 11 - Requires End-of-Course Test
This course challenges college-bound student to extend and refine their use of language. Each semester will have a balance of composition, applied grammar, and literature. The development of vocabulary, speaking, listening, researching, and test-taking skills will be ongoing during each semester. The literature program will focus on American authors. (College Prep Diploma)
Gifted Junior Language Arts - 2 Semesters - Grade 11 - Requires End-of-Course Test
This course challenges college-bound students to extend and refine their use of language. Each semester will have a balance of composition, applied grammar, and an in-depth study of literature. The development of vocabulary, speaking, listening, and researching will be an integral part of the curriculum. The literature program focuses on American literature. (College Prep Diploma)
Technical Senior Language Arts - 2 Semesters - Grade 12
This course provides practice in using language for real purposes related to a students' goals and needs. A balance of composition, applied grammar, and literature will be maintained to prepare the student for a variety of choices upon graduation. (Technical Diploma)
College Prep Senior Language Arts - 2 Semesters - Grade 12
This course supports the language development of college-bound students. Each semester will have a balance of composition, applied grammar, and literature. The development of vocabulary, speaking, listening, researching and test-taking skills will be an integral part of the curriculum. The literature program focuses on British authors. (College Prep Diploma)
College Prep Composition Workshop - 1 Semester - Grade 12
This course is designed for seniors who need an additional one-half unit in English to graduate. The course utilizes a variety of media and literature for thinking and responding, and focuses on the student's writing skills in a workshop approach. (College Prep Diploma)
Honors Senior Language Arts - 2 Semesters - Grade 12
This course challenges college-bound students to extend and refine their use of language. Each semester will have a balance of composition, applied grammar, and literature. The development of vocabulary, speaking, listening, research and test-taking skills will be ongoing during each semester. The literature program will focus on British authors. (College Prep Diploma)
Gifted Senior Language Arts - 2 Semesters - Grade 12
This course challenges college-bound students to extend and refine their use of language. Each semester will have a balance of composition, applied grammar, and an in-depth study of literature. The development of vocabulary, speaking, listening, and researching will be an integral part of the curriculum. The literature program focuses on British literature. (College Prep Diploma)
Advanced Placement English Language and Composition - 2 Semesters - Grade 12 Prerequisite - Teacher Recommendation - Sequential
College level studies in language and composition are designed to assist exceptional language arts students who may choose to take the Advanced Placement examination. (College Prep Diploma)
Advanced Placement Literature and Composition - 2 Semesters - Grade 12 Prerequisite - Teacher Recommendation - Sequential
College level studies in literature and composition are designed to assist exceptional language arts students who may choose to take the Advanced Placement examination. (College Prep Diploma)
Adapted Language Arts - 8 Semester - Grades 9-12 (Alternate)
These courses are designed for students who require a modified curriculum. Successful completion of these courses will satisfy requirements toward the Individualized Education Diploma or elective credit.
VPP Language Arts - 8 Semester - Grades 9-12
These courses focus on basic reading, writing and communication skills essential for the work force from the initial stages of acquiring a job to the necessities of maintaining a job. Students learn how information is organized, where to find information and how to use reference tools that foster success in daily living. Students enrolled in these courses are pursuing a Individualized Education Diploma and are enrolled in the VPP program.
Dramatic Interpretation/Competitive Speaking/Debate - Up to 8 Semesters Grades 9-12 (Elective Credit Only) Prerequisite - Teacher Recommendation
Competitive speaking (extemporaneous speaking, original oratory, and oral interpretation, with a major emphasis on debate) trains and permits students to express their individual talents in competition. In competitive speaking, however, the skills taught and used are those which the students develop in the classroom as part of their regular academic instruction.
Journalism/Newspaper - Up to 8 Semesters - Grade 9-12 Prerequisite - Teacher Recommendation
This course is designed to train students in the production of a school newspaper. The fundamentals of journalism and newspaper production are taught. Interviewing, event coverage, and the business and legal aspects of newspaper production are included.
Reading Intervention - 8 Semesters (Elective Credit Only)
This course is designed to provide special assistance in reading for students who are still having difficulty meeting AKS on grade level and also meet state selection criteria. Emphasis is placed on the reading strand of the AKS with attention given to content area reading and use of graphic organizers.
Journalism/Literary Magazine - Up to 8 Semesters - Grades 9-12 Prerequisite - Teacher Recommendation
This course is designed to train students in the production of a literary magazine. The fundamentals of journalism and literary magazine production are taught; these include: writing, collecting materials, planning, editing, layout, proofreading and financial management. This course involves the actual production of a literary magazine.
Journalism/Yearbook - Up to 8 semesters - Grades 9-12 Prerequisite - Recommendation from Yearbook Advisor
Through various units students will develop their journalistic abilities, especially those required for a pictorial publication such as the high school yearbook and certain magazines. This course provides students who are interested in journalism an opportunity to explore and to experience the process involved in the creation of a rather large publication, including preplanning, layouts, copyrighting, proofreading, visual organization and financial management - all of which involve a certain amount of creativity. This course involves the actual production and sale of the yearbook.
MATHEMATICS
Concepts of Problem Solving- 2 Semesters - Grade 9 Prerequisite - Teacher Recommendation
This integrated course is designed to help students learn to reason and communicate mathematically and to become more proficient problem solvers. This is done through real-life applications and the development/reinforcement of mathematical skills. Practical skills such as computation, estimation, use of ratio and proportion, and interpreting data are stressed. Topics in algebra, geometry, statistics and discrete mathematics are covered. Throughout the course emphasis is placed upon the selection and use of appropriate tools for solving problems. (Technical Diploma)
Algebra I - 2 Semesters - Grade 9 - Requires End-of-Course Test Prerequisite - Prealgebra (Grade 8) or Algebra (Grade 8) and Teacher Recommendation
This course stresses the understanding and application of algebraic concepts and content. Topics include linear and quadratic equations and inequalities, polynomials, systems of equations, matrices, variation, functions, probability and statistics. Real world problems, computer based explorations, and career connections are used to provide relevance, motivation and conceptual development. (College Prep Diploma)
Honors Euclidean Geometry/Gifted Euclidian Geometry - 2 Semesters - Grade 9 - Requires Endof-Course Test
Prerequisite - Honors Algebra (Grade 8) and Teacher Recommendation
This course is more in-depth study of the topics covered in Geometry. Greater emphasis is placed upon students' ability to reason abstractly, analyze and evaluate problems in a variety of ways. (College Prep Diploma)
Concepts of Algebra - 2 semesters - Grades 10-12 - Requires-End-of-Course Test Prerequisite - Concepts of Problem Solving
This course is designed to extend and reinforce the content, concepts and skills covered in Concepts of Problem Solving. Successful completion of Concepts of Problem Solving and Concepts of Algebra will satisfy the technical diploma Algebra I requirement. Modeling of real-life problems and providing applications of mathematics in various vocations creates relevance and motivation. Students will solve measurement problems using appropriate technology, collect, organize and analyze data, formulate, solve, and graph equations and inequalities, factor polynomials, and explore additional topics in number relationships, algebra, statistics, functions and relations, and statistics. (Technical Diploma)
Euclidean Geometry - 2 Semesters - Grades 10-12 - Requires End-of-Course Test Prerequisite - Algebra I
The major focus of this course is the study of geometry from an algebraic perspective and a synthetic perspective. Topics include congruence and similarity, properties of polygons, transformational and coordinate geometry, and logic. Appropriate tools are used as aids in analyses and interpretation of data, graphing and applications of transformations. (College Prep Diploma)
Informal Geometry - 2 Semesters - Grades 10-12 - Requires End-of-Course Test Prerequisite - Concepts of Algebra
This course is designed to extend and reinforce the content, concepts and skills covered in the Concepts Courses and will continue to focus upon applications of mathematics in the work place. Topics studied include geometry from an algebraic perspective, geometry from a synthetic perspective, statistics and probability, functions and relations, discrete mathematics, and trigonometry as well as the use of appropriate tools and technology to solve problems. (Technical Diploma)
Algebra II - 2 Semesters - Grades 10-12 Prerequisite - Geometry, Honors Geometry or Gifted Geometry
The major focus of this course is the study of functions. Topics include polynomial, exponential and logarithmic functions, rational and irrational expressions, and probability and statistics. Emphasis is placed upon graphing various functions and analyzing the graphs to develop an understanding of the foundations of calculus and to model realistic problems and problem situations. The use of graphing calculators and other technologies will be extensive. (College Prep Diploma)
Honors Algebra II/Gifted Algebra II - 2 Semesters - Grades 10-12 Prerequisite - Geometry, Honors Geometry or Gifted Geometry
This course includes the topics covered in Algebra II as well as trigonometry and discrete mathematic topics. (College Prep Diploma)
Applied Algebra - 2 Semesters - Grades 11-12 Prerequisite - Concepts of Algebra
This course is designed to extend and reinforce the content, concepts and skills covered in Concepts of Algebra and to emphasize application of the mathematical skills students will need in their chosen careers. Topics to be studied include numbers and number relationships, algebra, geometry from an algebraic perspective, statistics, probability, functions and relations, and discrete mathematics. Algebraic concepts and the use of appropriate tools and technology to solve problems are emphasized. (Technical Diploma)
Mathematical Money Management - 2 Semesters - Grades 11-12 Prerequisite - Concepts of Problem Solving and Concepts of Algebra
Students will learn the mathematics required to make informed decisions about money management and will use a variety of representations (concrete, graphical, and numerical) to solve financial problems. The mathematical skills needed include solving linear equations, manipulating algebraic formulas and analyzing data in order to make sense of complicated situations and solve complex problems. (Technical Diploma)
Advanced Algebra and Trigonometry/Gifted Advanced Algebra and Trigonometry - 2 Semesters Grades 11-12
Prerequisite - Algebra II, Honors Algebra II or Gifted Algebra II
* Advanced Algebra and Trigonometry is highly recommended in the College Prep Sequence.
Content stressed includes discrete mathematics, functions, trigonometry, and underpinnings of calculus. Examples of specific topics are functions, systems of equations, vectors, sequences and series, and polar coordinates. Mathematical modeling and realistic problem solving are used to develop content and reinforce concepts. (College Prep Diploma)
Statistics/Gifted Statistics - 1 Semester - Grade 12 Prerequisite - Algebra II and Teacher Recommendation
This course is designed to help students learn how to apply statistical methods in problem-solving. An integral component of the course is collecting, representing, and processing data as students learn about the interrelatedness of probability and statistics. Opportunities are provided for students to model statistical methods, derive probabilities and make inferences. (College Prep Diploma)
Discrete Mathematics/Gifted Discrete Mathematics - 1 Semester - Grade 12 Prerequisite - Algebra II and Teacher Recommendation
This course is designed to study objects and ideas that can be divided into separate or discontinuous parts. Possible topics include problem-solving, reasoning, communication, decision-making, graph theory, combinatorics, discrete probability, recursion, matrices, sets, logic function and relations, real numbers system, and algebraic structures. (College Prep Diploma)
Precalculus/Gifted Precalculus - 2 Semesters - Grades 11-12 Prerequisite - Algebra II, Honors Algebra II or Gifted Algebra II and Teacher Recommendation
This course includes the topics of Advanced Algebra and Trigonometry with greater emphasis upon preparation for calculus. (College Prep Diploma)
Basic Skills Remediation Math - Up to 8 Semesters - Grades 9-12 (Elective Credit Only)
This course is designed to provide special assistance to students based on state selection criteria. Emphasis is placed on the middle school mathematics AKS in which the student needs to gain proficiency to be successful in high school.
AP Statistics/Gifted AP Statistics - 2 Semesters - Grade 12 Prerequisite - Algebra II, Honors Algebra II or Gifted Algebra II and Teacher Recommendation
The objectives follow the AP syllabus developed by the College Board for the Advanced Placement (AP) Statistics Examination. In depth experience in statistical concepts and methods, including data collection and exploration, experimental and theoretical probability, probability distributions, and descriptive and inferential statistics are covered. Projects involve planning a study, anticipating patterns, producing models and confirming models.
AP Calculus AB/Gifted AP Calculus AB - 2 Semesters - Grades 11-12 Prerequisite - Precalculus or Gifted Precalculus and Teacher Recommendation
Objectives follow the AP syllabus developed by the College Board for the Advanced Placement (AP) Calculus Examination. Limits, derivatives and integrals of algebraic and transcendental functions, continuity, applications of derivatives to related rates, maxima and minima, curve sketching, integration formulas, applications of the definite integral, and methods of integration. (College Prep Diploma)
AP Calculus BC/Gifted AP Calculus BC - 2 Semesters - Grades 11-12 Prerequisite - Precalculus or Gifted Precalculus and Teacher Recommendation
The objectives follow the AP syllabus developed the College Board for the Advanced Placement (AP) Calculus BC Examination. Limits, derivatives and integrals of algebraic and transcendental functions, continuity, applications of derivatives to related rates, maxima and minima, curve sketching, integration formulas, applications of the definite integral, methods of integration, graphing, and integrating in polar coordinates, infinite sequences and series, power series, vectors, and differential equations are included (College Prep Diploma)
Adapted Mathematics - 8 Semesters - Grades 9-12 (Alternate)
These courses are designed for students who require a modified curriculum. Successful completion of these courses will satisfy requirements toward the Individualized Education Diploma or elective credit.
VPP Mathematics - 8 Semesters - Grades 9-12
These courses are designed to address math skills needed for successful independent living and vocational preparation. Content emphasizes skills such as basic math operations, personal finance, applying for loans, computing taxes, and time management. Students enrolled in these courses are pursuing an Individualized Education Diploma and are enrolled in the VPP program.
MODERN/CLASSICAL LANGUAGES
Classical Languages
Latin I - 2 Semesters - Grades 8-12 (Students taking Latin I in 8th grade take Latin II in 9th grade.)
The student will develop the ability to read and write Latin through the study of vocabulary and grammar, and be introduced to Ancient Roman culture. The influence of Latin upon English will be emphasized.
Honors Latin I - Gifted Latin I - 2 Semesters - Grades 9-12
Through extensions of Latin Level I Academic Knowledge and Skills, students will perform at an accelerated level in speaking, reading, writing, and listening.
Latin II - 2 Semesters - Grades 10-12 Prerequisite - Latin I
Students continue to develop skills and acquire the content of Latin and Ancient Roman culture begun in Latin I.
Honors Latin II - Gifted Latin II - 2 Semesters - Grades 9-12
Prerequisite - Honors Latin I - Gifted Latin I - Teacher Recommendation
Through extensions of Latin Level II Academic Knowledge and Skills, students will perform at an accelerated level in speaking, reading, writing, and listening.
Latin III - 2 Semesters - Grade 10-12 Prerequisite - Latin II
Latin III is a continuation of the study of the Latin language, including grammar, vocabulary, and literature. Students also study Roman history and culture.
Honors Latin III - Gifted Latin III - 2 Semesters - Grades 10-12 Prerequisite - Honors Latin II - Gifted Latin II - Teacher Recommendation
Through extensions of Latin Level III Academic Knowledge and Skills, students will perform at an accelerated level in translating and reading authentic Latin texts.
Latin IV - 2 Semesters - Grades 11-12 Prerequisite - Latin III
Latin IV is a continuation of the study of the Latin language and Ancient Roman culture including grammar, vocabulary, and literature.
Honors Latin IV - Gifted Latin IV - 2 Semesters - Grades 11-12 Prerequisite - Honors Latin III and Gifted Latin III - Teacher Recommendation
Through extensions of Latin Level IV Academic Knowledge and Skills, students will perform at an accelerated level in translating and reading authentic Latin text.
Advanced Placement Latin - 2 Semesters - Grades 11-12 Prerequisite - Teacher Recommendation
Students will complete college-level work in Latin which will prepare them to take the Advanced Placement examination.
Modern Languages
French I - 2 Semesters - Grades 8-12 (Students taking French I in 8th grade, take French II in 9th grade)
Through realistic use of the language, the student will learn to communicate in oral and written form on a variety of everyday topics and will gain cultural knowledge of French-speaking countries.
Honors French I - Gifted French I - 2 Semesters - Grades 9-12
Through extensions of French Level I Academic Knowledge and Skills, students will perform at an accelerated level in speaking, reading, writing, and listening.
French II - 2 Semesters - Grades 9-12 Prerequisite - French I
Building on the background of French I, the student will learn to interact in more complex situations, read more complicated materials, and write more extended messages. Cultural understanding increases through reading and discussion of authentic documents.
Honors French II - Gifted French II - 2 Semesters - Grades 9-12 Prerequisite - Honors French I - Gifted French I - Teacher Recommendation
Through extensions of French Level II Academic Knowledge and Skills, students will perform at an accelerated level in speaking, reading, writing, and listening.
French III - 2 Semesters - Grades 10-12 Prerequisite - French II
The student will learn to give detailed information about himself/herself, narrate events, read authentic texts, and handle difficulties using French.
Honors French III - Gifted French III - 2 Semesters - Grades 9-12 Prerequisite - Honors French II - Gifted French II - Teacher Recommendation
Through extensions of French Level III Academic Knowledge and Skills, students will perform at an accelerated level in speaking, reading, writing, and listening.
French IV - 2 Semesters - Grades 11-12 Prerequisite - French III
The student will refine his/her communicative ability and build his/her vocabulary, allowing him/her to converse in a variety of situations and comprehend literary or factual texts. Cultural understanding remains an important goal throughout the entire sequence of French language study.
Honors French IV - Gifted French IV - 2 Semesters - Grades 11-12 Prerequisite - Honors French III - Gifted French III - Teacher Recommendation
Through extensions of French Level IV Academic Knowledge and Skills, students will perform at an accelerated level in speaking, reading, writing and listening.
French V - 2 Semesters - Grade 12 Prerequisite - French IV
The student will continue to refine his/her communicative ability, allowing him/her to converse in diverse situations and comprehend authentic tests.
Honors French V - Gifted French V - 2 Semesters - Grade 12 Prerequisite - Honors French IV - Gifted French IV - Teacher Recommendation
Through extensions of French Level V Academic Knowledge and Skills, students will perform at an accelerated level in speaking, reading, writing, and listening.
Advanced Placement French - 2 Semesters - Grades 11-12 Prerequisite - Teacher Recommendation
Students will complete college-level work in the French language which will prepare them to take the Advanced Placement examination.
German I - 2 Semesters - Grades 8-12 (Students taking German I in 8th grade, take German II in 9th grade)
Through realistic use of the language, the student will learn to communicate in oral and written form on a variety of everyday topics and will gain cultural knowledge of German-speaking countries.
Honors German I - Gifted German I - 2 Semesters - Grades 9-12
Through extensions of German Level I Academic Knowledge and Skills, students will perform at an accelerated level in speaking, reading, writing, and listening.
German II - 2 Semesters - Grades 9-12 Prerequisite - German I
Building on the background of German I, the student will learn to interact in more complex situations, read more complicated materials, and write more extended messages. Cultural understanding increases through reading and discussion of authentic documents.
Honors German II - Gifted German II - 2 Semesters - Grades 9-12 Prerequisite - Honors German I - Gifted German I - Teacher Recommendation
Through extensions of German Level II Academic Knowledge and Skills, students will perform at an accelerated level of speaking, reading, writing, and listening.
German III - 2 Semesters - Grades 10-12 Prerequisite - German II
The student will learn to give detailed information about himself/herself, narrate events, read authentic texts and handle difficulties using German.
Honors German III - Gifted German III - 2 Semesters - Grades 10-12 Prerequisite - Honors German II - Gifted German II - Teacher Recommendation
Through extensions of German Level III Academic Knowledge and Skills, students will perform at an accelerated level in speaking, reading, writing, and listening.
German IV - 2 Semesters - Grades 11-12 Prerequisite - German III
The student will refine his/her communicative ability and build his/her vocabulary, allowing him/her to converse in a variety of situations as well as comprehend literary or factual texts. Cultural understanding remains an important goal throughout the entire sequence of German language study.
Honors German IV - Gifted German IV - 2 Semesters - Grades 11-12 Prerequisite - Honors German III - Gifted German III - Teacher Recommendation
Through extensions of German Level IV Academic Knowledge and Skills, students will perform at an accelerated level in speaking, reading, writing, and listening.
German V - 2 Semesters - Grade 12 Prerequisite German IV
The student will continue to refine his/her communicative ability, allowing him/her to converse in diverse situations and comprehend authentic texts.
Honors German V - Gifted German V - 2 Semesters - Grade 12 Prerequisite - Honors German IV - Gifted German IV - Teacher Recommendation
Through extensions of German Level V Academic Knowledge and Skills, students will perform at an accelerated level in speaking, reading writing, and listening.
Advanced Placement German - 2 Semesters - Grades 11-12 Prerequisite - Teacher Recommendation
Students will complete college-level work in German which will prepare them to take the Advanced Placement examination.
Spanish I - 2 Semesters - Grades 8-12
(Students taking Spanish I in 8th grade, take Spanish II in 9th grade)
Through realistic use of the language, the student will learn to communicate in oral and written form on a variety of everyday topics and will gain cultural knowledge of Spanish-speaking countries.
Honors Spanish I - Gifted Spanish I - 2 Semesters - Grades 9-12
Through extension of Spanish Level I Academic Knowledge and Skills, students will perform at an accelerated level in speaking, reading, writing and listening.
Spanish II - 2 Semester - Grades 9-12 Prerequisite - Spanish I
Building on the background of Spanish I, students will learn to interact in more complex situations, read more complicated materials, and write more extended messages. Cultural understanding increases through reading and discussion of authentic documents.
Honors Spanish II - Gifted Spanish II - 2 Semesters - Grades 9-12 Prerequisite - Honors Spanish I - Gifted Spanish I - Teacher Recommendation
Through extensions of Spanish Level II Academic Knowledge and Skills, students will perform at an accelerated level in speaking, reading, writing and listening.
Spanish III - 2 Semesters - Grades 10-12 Prerequisite - Spanish II
The student will learn to give detailed information about himself/herself, narrate events, read authentic texts, and handle difficulties using Spanish.
Honors Spanish III - Gifted Spanish III - 2 Semesters - Grades 10-12 Prerequisite - Honors Spanish II - Gifted Spanish II - Teacher Recommendation
Through extensions of Spanish Level III Academic Knowledge and Skills, students will perform at an accelerated level in speaking, reading, writing, and listening.
Spanish IV - 2 Semesters - Grades 11-12 Prerequisite - Spanish III
The student will refine his/her communicative ability and build his/her vocabulary, allowing him/her to converse in a variety of situations and comprehend literary of actual texts. Cultural understanding remains an important goal throughout the entire sequence of Spanish language study.
Honors Spanish IV - Gifted Spanish IV - 2 Semesters - Grades 11-12 Prerequisite - Honors Spanish III - Gifted Spanish III - Teacher Recommendation
Through extensions of Spanish Level IV Academic Knowledge and Skills, students will perform at an accelerated level in speaking, reading, writing and listening.
Spanish V - 2 Semesters - Grade 12 Prerequisite - Spanish IV
The student will continue to refine his/her communicative ability, allowing him/her to converse in diverse situations and comprehend authentic texts.
Honors Spanish V - Gifted Spanish V - 2 Semesters - Grade 12 Prerequisite - Honors Spanish IV - Gifted Spanish IV - Teacher Recommendation
Through extensions of Spanish Level V Academic Knowledge and Skills, students will perform at an accelerated level in speaking, reading, writing and listening.
Spanish VI - 2 Semesters - Grade 12 Prerequisite - Spanish V
The student will continue to refine his/her communicative ability, allowing him/her to converse in diverse situations and comprehend authentic texts.
Honors Spanish VI - Gifted Spanish VI - 2 Semesters - Grade 12 Prerequisite - Honors Spanish V - Gifted Spanish V - Teacher Recommendation
Through extensions of Spanish Level V Academic Knowledge and Skills, students will perform at an accelerated level in speaking, reading, writing and listening.
Advanced Placement Spanish - 2 Semesters - Grades 11-12 Prerequisite - Teacher Recommendation
Students will complete college-level work in the Spanish language which will prepare them to take the Advanced Placement examination.
Spanish for Native Speakers I - 2 Semesters - Grades 9-12 Teacher Recommendation
Provides native speakers an opportunity to maintain oral competency in the Spanish language and to acquire a more sophisticated level of competency in reading and writing. Promotes a deeper understanding of the native culture and cultures of other Spanish-speaking countries.
Spanish for Native Speakers II - 2 Semesters - Grades 9-12 Teacher Recommendation
Provides native speakers a continued opportunity to practice communication skills, to maintain, improve and perfect oral competency in Spanish language and to acquire a more sophisticated level of competency in reading authentic texts and writing. Promotes a deeper understanding of an interest in the native culture and cultures of other Spanish-speaking countries.
PHYSICAL EDUCATION
Elective physical education courses are designed with an increasing level of cognitive and performance skill levels. Counselors should refer to the SASI/State course numbers to assure students progress from beginning, to intermediate, to advanced course levels.
Introduction to Lifetime Fitness - 1 Semester - Grades 9-12
This course is a graduation requirement and a prerequisite to all elective physical education courses. The course provides the students with a sound, basic knowledge and understanding of how to attain a healthful level of physical fitness. It is recommended that Introduction to Lifetime Fitness be taken in the 9th or 10th grade. (Required for College Prep, Technical or Combination Diploma)
Sports Medicine - 1 Semester - Grades 10-12 Prerequisite - Introduction to Health and Introduction to Lifetime Fitness
This course is designed as an introduction to the fields of sports medicine, athletic training, and physical therapy. It will provide the student with basic information relevant to the prevention, recognition, first aid, referral and rehabilitation of athletic injuries. The student will also learn the basics of training room organization and function.
Theory in Physical Education - 2 Semesters - Grades 9-12 Prerequisite - Teacher Recommendation - Junior or Senior Who Has Completed Introduction to Lifetime Fitness
Theory in Physical Education provides an opportunity for selected students to develop and apply the knowledge attained in the other physical education courses through assisting a physical education teacher. This course is particularly useful for those interested in recreation, coaching, or teaching careers.
Adapted PE - 8 Semesters - Grades 9-12 (Alternate)
This course is designed for students who require a modified curriculum. Successful completion of this course will satisfy requirements toward the Individualized Education Diploma or elective credit.
Team Sports - 6 Semesters - Grades 9-12 Prerequisite - Introduction to Lifetime Fitness
This series of courses provides students with an opportunity to learn the history, rules, and basic skills of two or three of the following team sports: basketball, volleyball, soccer, speedball, touch or flag football, field hockey, floor hockey or softball. As the courses progress, students will have an opportunity to experience team play, strategy development and officiating techniques in each of the team sports offered.
General Physical Education - 8 Semesters - Grades 9-12 Prerequisite - Introduction to Lifetime Fitness
This series focuses on a combination or variety of team sports, lifetime sports, track and field, outdoor education, rhythmics and dance, recreational games, gymnastics and/or self-defense. Basic methods to attain a healthy and active lifestyle are emphasized.
Lifetime Sports - 6 Semesters - Grades 9-12
Prerequisite - Introduction to Lifetime Fitness
This series of courses introduces and enhances fundamental skills, strategies, and knowledge of rules associated with lifetime sports such as golf, tennis, bowling, racquetball and/or badminton. Students will have the opportunity to use the skills and participate in game situations.
Recreational Games - 6 Semesters - Grades 9-12 Prerequisite - Introduction to Lifetime Fitness
This series introduces and enhances recreational games that are suitable for lifetime leisure activities, such as: table tennis, bowling, shuffleboard, frisbee, deck tennis, horseshoes, and/or croquet.
Tumbling/Stunts - 4 Semesters - Grades 9-12 Prerequisites - Introduction to Lifetime Fitness (Tumbling In Middle School Highly
Recommended)
This series offers an introduction to students and tumbling with an emphasis on safety measures that will enable the student to perform a variety of skills. Single and double combination pyramids will be introduced. Students may be introduced to vaulting with the Reuther board.
Track and Field - 6 Semesters - Grades 9-12 Prerequisite - Introduction to Lifetime Fitness
This series introduces and enhances basic skills involved in the various track and field events, such as running events, hurdles, shotput, jumping, etc. Emphasis on history and rules will be included.
Outdoor Education - 6 Semesters - Grades 9-12 Prerequisite - Introduction to Lifetime Fitness
This series of courses provides an appreciation of the outdoors and provides physical activities in an outdoor laboratory. Topics such as camping, hiking, orienteering, outdoor cooking, boating safety, and hunter safety are learned.
Fitness Courses
Beginning Weight Training - 2 Semesters - Grades 9-12 Prerequisite - Introduction to Lifetime Fitness
This series provides students an opportunity to experience beginning level weight training and conditioning principles. This program is designed to teach students the academic, knowledge and skills needed to improve muscular strength and endurance.
Lifetime Fitness - 2 Semesters - Grades 9-12 Prerequisite - Introduction to Lifetime Fitness
Lifetime Fitness is a course which integrates all of the factors relating to individual fitness, including proper diet, rest and relaxation, and regular physical activity. The course provides the student with the opportunity to develop a fitness program based on strength, flexibility, endurance, and developmental concepts that are adapted to individual needs.
Intermediate Weight Training - 2 Semesters - Grades 9-12 Prerequisite - Introduction to Lifetime Fitness and Beginning Weight Training
This intermediate series provides students an opportunity to apply weight training and conditioning principles at an intermediate level. Basic knowledge of conditioning principles and lifting techniques are required. A variety of training methods may be used to address flexibility, muscular strength and endurance, cardiovascular endurance and body composition. Speed and power training methods may be utilized.
Aerobic Exercise - 6 Semesters - Grades 9-12 Prerequisite – Introduction to Lifetime Fitness
Aerobic or cardio-respiratory endurance is one of the most important components of personal fitness. In this class, a variety of aerobic exercise modes (walking, jogging, dance aerobics, cardio kicking, rope skipping conditioning with weights, lateral training and circuit training may be used to improve individual fitness).
Advanced Weight Training - 8 Semesters - Grades 9-12
Prerequisite - Introduction to Lifetime Fitness and Intermediate Weight Training or Teacher Recommendation
This advanced series provides students an opportunity to apply weight training and conditioning principles at an advanced level. Intermediate knowledge of conditioning principles, lifting techniques and spotting techniques are required. A variety of training methods may be used to address flexibility, muscular strength and endurance, cardiovascular endurance and body composition. Personal fitness, equipment, lifting technique, nutrition, and ergogenic aids will be addressed. Speed and power training methods may be utilized.
Body Sculpting – 2 Semester – Grades 9-12
Prerequisite – Introduction to Lifetime Fitness
This course provides basic instruction in methods to define, condition, and reshape the body through specific exercises. Topics covered through this overall conditioning program are weight training, conditioning exercises, proper nutrition, muscle definition, posture, physical response to exercise and weight control. A variety of equipment, training methods, and nutrition discussions will be used to provide a healthy means to redefine and shape the body.
Advanced Body Sculpting – 6 Semesters – Grades 9-12
Prerequisite – Introduction to Lifetime Fitness and Weight Lifting, Body Sculpting or Teacher Recommendation
This course provides advanced instruction in methods to define, condition and reshape the body through specific exercises. Topics covered through this overall conditioning program are weight training, conditioning exercise and weight control. Participants will engage in higher levels of activity and be expected to use basic concepts and knowledge of body sculpting to track personel improvement.
SCIENCE
Science courses are based on Gwinnett County Public Schools Board adopted Academic Knowledge and Skills (AKS) as the essential curriculum in the following courses.
Technical Biology - 2 Semesters - Requires End-of-Course Test Prerequisite - Concurrent enrollment in Concepts of Problem Solving or higher and 8th grade science teacher recommendation.
Biology topics (the study of the living world) will be investigated through an applied conceptual approach that integrates biological and chemistry concepts. This course will integrate laboratory investigation with conceptual development. Students will take the Georgia's End of Course Test in Biology. (Technical Diploma)
College Preparatory Biology - 2 Semesters - Requires End-of-Course Test Prerequisite - Concurrent enrollment in Algebra I or higher and 8th grade science teacher recommendation.
Biology concepts will be investigated through a systemic approach that ties together the concepts of energy transformation, photosynthesis, heredity, natural selection, evolution, biotechnology, life processes, population dynamics, taxonomy, and ecology. This course will integrate scientific laboratory and research processes as part of the conceptual development. Students will take the Georgia's End of Course Test in Biology. (College Prep Diploma)
Honors Biology/Gifted Biology - 2 Semesters - Requires End-of-Course Test
Prerequisite - Concurrent enrollment in Honors Geometry or higher, 8th grade mathematics tests average of 85% or higher, 8th grade science overall average of 90% or higher, and eighth grade science teacher recommendation.
Biology concepts will be investigated through a systemic approach that ties together the concepts of energy transformation, photosynthesis, heredity, natural selection, evolution, biotechnology, life processes, population dynamics, taxonomy and ecology. This course will integrate scientific laboratory and research processes as part of the conceptual development. Experimental science project is required. Students will take the Georgia's End of Course Test in Biology. (College Prep Diploma)
Technical Chemistry - 2 Semesters
Prerequisite - Successful completion of Technical Biology or higher, Concepts of Problem Solving or higher, concurrent enrollment in Concepts of Algebra or higher and teacher recommendation.
Chemistry topics (the study of matter) will be investigated through an applied conceptual approach that integrates biological and chemistry concepts. This course will integrate laboratory investigation with conceptual development. (Technical Diploma)
College Preparatory Chemistry - 2 Semesters
Prerequisite - Successful completion of College Preparatory Biology or higher and Algebra I or higher and concurrent enrollment in a Geometry or higher and teacher recommendation.
This laboratory course deals with matter, its composition and the changes it undergoes. (College Prep Diploma)
Honors Chemistry/Gifted Chemistry- 2 Semesters
Prerequisite - Successful completion of Honors Biology or higher and Honors Geometry or higher and concurrent enrollment in Honors Algebra II or higher and teacher recommendation.
This laboratory course is a rigorous mathematical approach to matter, its composition and the changes it undergoes. Experimental science project is required. (College Prep Diploma)
Technical Physical Science - 2 Semesters - Requires End-of-Course Test
Prerequisite: Successful completion of Technical Chemistry or higher, concurrent enrollment in Concepts of Algebra or higher and teacher recommendation.
This course is a study of physics concepts including mechanics, sound, light electricity and magnetism and a review of chemistry concepts related to matter and its changes. This course will integrate laboratory investigations with conceptual development. Students will take the Georgia's End of Course Test in Physical Science. (Technical Diploma)
Technical Physics - 2 Semesters
Prerequisite - Successful completion of Technical Chemistry or higher, concurrent enrollment in Informal Geometry or higher and teacher recommendation.
Technical Physics is an applied physics course which emphasizes the basic principles of physics which form the foundation of modern technology. Science and mathematics concepts are combined with extensive hands-on laboratory experiences. The approach of the course is occupational-oriented and heavily emphasizes how the basic concepts are applied to actual jobs. (Technical Diploma)
College Preparatory Physics - 2 Semesters
Prerequisite - Successful completion of College Preparatory Chemistry or higher and Geometry or higher and concurrent enrollment in Algebra II or higher and teacher recommendation.
This course is an in-depth study of matter in motion. Emphasis is placed on mechanics, sound, light, electricity, magnetism and modern physics. (College Prep Diploma)
Honors Physics/Gifted Physics - 2 Semesters
Prerequisite - Successful completion of Honors Chemistry or higher and Honors Algebra II or higher, concurrent enrollment in Advanced Algebra and Trigonometry or higher and teacher recommendation.
This course is a rigorous mathematical approach to an in-depth study of matter in motion. Emphasis is placed on mechanics, sound, light, electricity, magnetism and modern physics. (College Prep Diploma)
AP Physics B/Gifted AP Physics B- 2 Semesters
Prerequisite - Successful completion of Honors Chemistry or higher and Honors Algebra II or higher, concurrent enrollment in Precalculus or higher and teacher recommendation.
This course is a rigorous mathematical approach to an in-depth study of matter in motion. Emphasis is placed on mechanics, sound, light, electricity, magnetism and modern physics. Students will be prepared to take the Advanced Placement Physics B exam upon completion of this course. (College Prep Diploma)
Science Electives and Advanced Courses
Science, Technology and Society - 2 Semesters - Elective
Prerequisite - Successful completion of a Biology and a Chemistry course.
Science, Technology and Society is designed to explore the scientific and technological aspects of today's world. This course addresses the environment, natural resources, pollution, human population changes, the impact of technological advances and local studies. Study of today's issues that will impact on tomorrow including the automobile, food, robotics, space technologies, steroids, the homeless, genetic engineering, AIDS biological warfare, communication, lasers, and music and video technologies.
Anatomy and Physiology - 2 Semesters - Elective
Prerequisite - Successful completion of or concurrent registration in College Preparatory Physics or higher.
Human Anatomy and Physiology is an in-depth study of the structure and function of the human body. This course is based on a systems approach with an emphasis on tissues, metabolic processes, homeostasis, and clinical applications.
AP Biology/Gifted AP Biology - 2 Semesters
Prerequisite - Successful completion of or concurrent enrollment in College Preparatory Physics or higher.
This course is designed to prepare students to take the Advanced Placement Biology exam. This is a college level freshman course.
AP Physics C/Gifted AP Physics C - 2 Semesters
Prerequisite - Successful completion of College Preparatory Physics or higher and successful completion or concurrent enrollment in AP Calculus.
This course is designed to prepare students to take the mechanics (C) Advanced Placement Physics exam. This is a college level freshman course and is calculus based.
AP Chemistry/Gifted AP Chemistry - 2 Semesters
Prerequisite - Successful completion of or concurrent enrollment in College Preparatory Physics or higher
This course is designed to prepare students to take the Advanced Placement Chemistry exam. This is a college level freshman course.
AP Environmental Science – 2 Semesters – Elective
Prerequisite – Successful completion of or concurrent enrollment in College Preparatory Physics or higher.
This course is designed to prepare students to take the Advanced Placement Environmental Science exam. This is a college level freshman course.
Astronomy - 2 Semester - Elective
Prerequisite: Successful completion of College Preparatory Physics or higher.
This course is an in-depth study of astronomy. Topics studied include the history of astronomy, the relationship between the Earth, Moon and Sun, the solar system, stars, galaxies and the universe.
Earth Systems - 2 Semester - Elective
Prerequisite: Successful completion or concurrent enrollment in College Prep Physics or higher.
This course is an in-depth study of geology. Topics studied include the Earth's place in the universe, forces affecting land form structures, geologic time table, biochemical cycles, changes in the Earth's crust, and Georgia's geologic resources.
Environmental Science - 2 Semester - Elective
Prerequisite: Successful completion or concurrent enrollment in Technical Physics or higher.
This course is an in-depth study of environmental science. Topics studied include ecology, effects of natural and human activity on land, water and air, energy resources and conservation, food production, preservation and storage, waste management, pollution and human health, and biotechnology.
Microbiology - 2 Semester - Elective
Prerequisite: Successful completion of College Preparatory Physics or higher.
This course is an in-depth study of microbiology. Topics studied include historical microbiology, growth and identification of bacteria, controlling bacterial growth, other microbes, viruses, pathogenic microbiology, and food, soil and water microbiology.
Forensic Science – 2 Semesters – Elective Prerequisite – Successful completion of or concurrent enrollment in College Preparatory Physics and Algebra II
Forensic Science is the study of the application of science to the law. This integrated science course is designed to explore the scientific and technological aspects of criminal investigations. Topics will include the study of DNA, glass, blood, fingerprinting, chemical residues and evidence collection as it relates to forensic issues. Applications to court cases, literature, psychology and criminology will also be examined.
Oceanography - 2 Semester - Elective Prerequisite: Successful completion of College Preparatory Physics or higher.
This course is an in-depth study of oceanography. Topics studied include historical oceanography, plate tectonics, properties of water, ocean circulation, marine sediments, interactions between air, land and sea, and marine environments, resources and pollution.
Adapted Science - 6 Semesters - Grades 9-12 (Alternate)
These courses are designed for students who require a modified curriculum. Successful completion of these courses will satisfy requirements toward the Individualized Education Diploma or elective credit.
VPP Science - 6 Semesters - Grades 9-12
These courses offer a comprehensive, systematic overview of key scientific concepts. It will show how the application of scientific and industrial skills are used in everyday living. Students enrolled in these courses are pursuing an Individualized Education Diploma and are in the VPP program.
SOCIAL STUDIES
The Gwinnett County Social Studies program prepares students to participate as constructive citizens in a democratic society. Students achieve mastery of the Academic Knowledge and Skills (AKS) through an authentic approach integrating discipline based content with interpretive skills involving maps and globes, information processing, social participation, and problem solving.
All students in Gwinnett County must pass three units (six semesters) of social studies as part of their graduation requirement. Students should select elective social studies courses based on their interests, abilities and plans for college and/or career.
All courses will provide opportunities for students to develop and demonstrate competency within the framework of the Gwinnett County Public Schools mission, vision and goals.
World Geography or Honors World Geography or Gifted World Geography - 2 Semesters – Grade 9
This two semester course provides the content knowledge and skills necessary to understand the roles, responsibilities, and relationships of people and places throughout the world, both past and present. The course will prepare students for the three year required social studies sequence. Topics will include the themes of Historical Geography, Political Geography and Economic Geography.
Extensive opportunities to develop and refine writing competencies will prepare students for the High School Gateway Assessment. Integrated throughout the course, students are instructed on efficient and effective methods and strategies to read, write, think, organize, take notes and demonstrate what they have learned. This course will focus on geography objectives assessed on the Georgia High School Graduation Test.
Students who successfully complete both semesters of World Geography will earn one of the required units of state elective credit toward the College Preparatory Diploma with Seal of Distinction (CP+) program of study.
World History or Honors World History or Gifted World History - 2 Semesters - Grade 10 – Required (AP World History also satisfies this requirement.)
This two semester course provides a comprehensive, chronological survey of the significant conditions, challenges and accomplishments that have influenced the progress of humankind. Beginning with prehistory, students examine topics associated with the growth of early civilization, classical contributions of Greece and Rome, regional civilizations and the rise of medieval Europe. Other topics of study include emergence of the modern world, age of revolution, growth of industry and nationalism, world wars in the 20th century and development of the contemporary world.
U.S. History or Honors U.S. History or Gifted U.S. History - 2 Semesters - Grade 11 - Required - (AP U.S. History also satisfies this requirement.) - Requires State End-of-Course Test
This two semester course provides a comprehensive, chronological survey of the history of the United States. Students examine topics beginning with the period of exploration and colonization, and then continue through independence and revolution, constitutional debate between the Federalist and Republicans, Jeffersonian and Jacksonian democracy, sectionalism and civil war, reconstruction and industrialization, immigration and urbanization, imperialism and the progressive era, World War I and the Great Depression, World War II and the Cold War. The course concludes with a study of the emergence of modern America.
Psychology - 1 Semester - Grades 11-12
This elective course introduces students to basic psychological concepts and principles as well as the rules, laws, and theories of psychology. Topics of study include: determiners of personality (heredity and environment), theories of the development of intelligence and testing characteristics of basic needs. A study of self-concept (theories of development) is also included. With this knowledge of themselves and others, students should be able to make informed decisions which are impacted by changing environments and situations.
Sociology - 1 Semester - Grades 11-12
This elective course helps students understand and appreciate people as independent agents in cooperative activities with others. Topics to be covered are: the organized way people fulfill basic needs (institutions); the setting of social rules and their enforcement (social control); and the possessions people have, the way they think, and their actions as members of society (culture). Students will use the social scientific method as a mode of research.
Contemporary Issues - 1 Semester - Grades 11-12
This elective course provides students with opportunities to identify and evaluate political, social, and economic issues on a local, state, national and international level. The central emphasis is on contemporary issues and problems and their effects on the student as a constructive citizen in an interdependent world. A variety of current news media will be used for instructional purposes.
Controversial Issues - 1 Semester - Grades 11-12
This elective class is designed for mature upper level students who are able to confront controversial issues in an analytical manner. The readings and subject matter are at a high level and will challenge students to use a studious approach to investigate views on issues that are controversial in nature. The purpose of this class is not to force a particular viewpoint or agenda on the student, but rather to allow the student the opportunity to develop and employ critical thinking skills when considering his/her personal evaluation of current events and issues of social relevance.
Philosophy - 1 Semester - Grades 11-12
This elective class is designed to guide students to form a basic framework for the study of philosophical thought. Material covered will include basic beliefs of selected ancient and medieval philosophers; aspects of Eastern philosophy originating in China, India, and the Middle East; historical developments that resulted in a distinct western school of philosophy; specialized approaches common to the study of modern philosophy; and how the Enlightenment Age tradition of reason has given way to a postmodern Age of Reason.
Political Systems or Honors Political systems or Gifted Political Systems - 1 Semester - Grade 12 Required (AP American Government also satisfies this requirement.)
Political Systems is a required one semester course designed to provide students with a fundamental understanding of their rights and responsibilities as citizens by examining the American political structure and process. Topics of study include the origin and growth of representative democracy, the development of the U.S. Constitution founded on the concept of federalism, landmark legal decisions and their impact on constitutional government, the adaptive nature of the political process as influenced by political parties, special interest groups and media coverage as well as a comparison of our political system with other forms of government throughout the world.
Economics or Honors Economics or Gifted Economics - 1 Semester - Grade 12 - Required Requires State End-of-Course Test (AP Macroeconomics or AP Microeconomics also satisfies this
requirement.)
Economics offers students the opportunity to study the issues of scarcity and choices related to the utilization of limited resources. Students learn how to apply the tools of economic analysis to personal, community, national and international issues. Economic preparedness enables students to make choices relying on past historical and geographical knowledge to actively and successfully engage in our complex society.
Law - 1 Semester - Grades 11-12
This elective course develops an understanding of the basic components of the legal and criminal justice system in the United States. Students are offered an overview of civil and criminal law in this country as well as an examination of various legal institutions and processes (e.g. the police, the courts, rehabilitation systems, etc.)
AP Microeconomics - 1 Semester - Grade 12 – Requires State End-of-Course Test (Will count for Economics Graduation Requirement)
Advanced Placement Microeconomics gives students a thorough understanding of the principles of economics that apply to functions of individual decision makers, both consumers and producers, within the larger economic system. The course places primary emphasis on the nature and functions of product markets, and includes the study of factor markets and the role of government in promoting greater efficiency and equity in the economy.
AP Human Geography - 2 Semesters - Grades 9-12
The Advanced Placement program in Human Geography is designed to introduce students to the systematic study of patterns and processes that have shaped human understanding, use, and alteration of the Earth's surface. Students employ spatial concepts and landscape analysis to interpret human social organization and its environmental consequences. They also learn about the methods and tools geographers use in their science and practice.
AP Macroeconomics - 1 Semester - Grade 12 - Requires State End-of-Course Test (Will count for Economics Graduation Requirement)
Advanced Placement Macroeconomics gives students a thorough understanding of the principles of economics that apply to an economic system as a whole. The course places particular emphasis on the study of national income and price determination, and also develops students' familiarity with economic performance measures, economic growth, and international economics. This course also satisfies the requirement for Economics.
AP U.S. History - 2 Semesters - Grade 11 - Requires State End-of-Course Test (Will count for the U.S. History Graduation Requirement)
The Advanced Placement program is United States History provides students with factual knowledge and analytical skills in the interpretation of the history of the United States from the 1600's through the 1990's. Political, economic, and social issues are stressed through the following topics: The Colonial Period; the American Revolution; the Jacksonian Period; Civil War and Reconstruction; Populism and Progressivism, the New Deal; and International Affairs and Domestic Changes in the Post 1945 Period.
AP European History - 2 Semesters - Grades 11-12
Prerequisite – World History or Honors World History or Gifted World History
The goals of the Advanced Placement Program in European History are to develop (a) an understanding of some of the principle themes in modern European history and (b) an ability to analyze historical evidence. Students are expected to demonstrate a knowledge of a basic chronology and of major events and trends from the Renaissance to the present. Students should also have some familiarity with those aspects of the late medieval period. The major themes to be covered are: political and diplomatic history, intellectual and cultural history, and social and economic history.
AP World History - 2 Semesters - Grade 10
(Will count for the World History Graduation Requirement)
Focuses primarily on the past thousand years of the global experience, this course builds on an understanding of cultural, institutional, and technological foundations that, along with geography, set the human stage prior to the year 1000. Specific time periods from the organizing principle for dealing with change and continuity from that point to the present. Historical themes provide further organization to the course, along with the consistent attention to contacts among societies that form the core of world history as a field of study.
AP American Government - 1 Semester - Grades 11-12 (Will count for the American Government graduation requirement.)
The purpose of this Advanced Placement program is to provide an overview of government, politics, and political behavior at local, state, and national levels. Topics to be included: an examination of the structure, functions, and inter-relationships of various levels of government; political socialization; elections, the party system; and the role of the individual in American government. Students will be exposed to specific information about government and how government affects their daily lives.
AP Comparative Government - 1 Semester - Grades 11-12
This Advanced Placement program provides an introduction to the study of various forms of government which exist in the twentieth century. The course emphasizes the philosophical basis, as well as the political, social, and economic realities of capitalism, communism, socialism and fascism. The slowly changing structures of these ideologies will also be examined.
AP Psychology - 2 Semesters - Grades 11-12
Advanced Placement Psychology provides students with the opportunity to examine the scientific nature of psychology and to determine the relevance of the behavioral sciences in our lives today. Students will examine the issues leading to the development of psychology as a science as well as the issue currently being addressed in the field of human behavior.
Peer Leadership I - 2 Semesters - Grades 11-12 Prerequisite - Recommendation of Counselor
This course provides students a framework for understanding the problem-solving process, taking opportunities to participate in meaningful activities that affect our society in positive ways (civic participation), utilizing conflict resolution skills, learning effective communication skills, adhering to ethical codes of practice, and exercising tolerance and advocacy of others' rights. This course can satisfy a Social Studies elective credit.
VPP Citizenship - 6 Semesters - Grades 9-12
This course is designed to provide students with a basic understanding of their rights and responsibilities as citizens; how the local, state and federal government operate; and the political process. Much emphasis is on civil law. Students enrolled in these courses are pursuing a Individualized Education Diploma and are in the VPP program.
Adapted World Geography - 2 Semesters - Grades 9-12 (Alternate)
These courses are designed for students who require a modified curriculum. Successful completion of these courses will satisfy requirements toward the Individualized Education Diploma or elective credit.
Adapted World History - 2 Semesters - Grades 9-12 (Alternate)
These courses are designed for students who require a modified curriculum. Successful completion of these courses will satisfy requirements toward the Individualized Education Diploma or elective credit.
Adapted U.S. History - 2 Semesters - Grades 9-12 (Alternate)
These courses are designed for students who require a modified curriculum. Successful completion of these courses will satisfy requirements toward the Individualized Education Diploma or elective credit.
Adapted Political Systems - 1 Semester - Grades 9-12 (Alternate)
This course is designed for students who require a modified curriculum. Successful completion of this course will satisfy requirements toward the Individualized Education Diploma or elective credit.
Adapted Economics - 1 Semester - Grades 9-12 (Alternate)
This course is designed for students who require a modified curriculum. Successful completion of this course will satisfy requirements toward the Individualized Education Diploma or elective credit.
TECHNICAL EDUCATION
BUSINESS INFORMATION TECHNOLOGY
To earn a Technology/Career-Preparatory Diploma, students must complete three units within one Technical Education area of concentration plus one related unit. Business Information Technology offers a concentration of units that qualify for the Technology/Career-Preparatory Diploma. Careful course planning is required to achieve the concentration. See your counselor/teacher/advisor for further information on planning for the Technology/Career-Preparatory Diploma.
The Business Information Technology curriculum is designed to closely parallel technical skills and foundational business knowledge that is expected by employers and by colleges and universities in their business administration programs. Academic knowledge and skills in reading, writing, computation, and problem solving are reinforced in all Business courses.
Computer Applications – 2 semesters - Grades 9-12
Knowing how to use computer applications software is a basic skill for everyone. Students will have the opportunity to gain basic computer skills needed for future education or employment plans. Students in this course will be introduced to word processing (MS Word), desktop publishing (MS Publisher), spreadsheet (MS Excel), database (MS Access), and presentation (MS PowerPoint) applications. Students will receive training on equipment and software that is most commonly used in business today. This course is suggested for all students and is a pre-requisite for several Business Information Technology Courses.
Accounting I – 2 semesters – Grades 10-12
This course offers an introduction to the balance sheet; the general journal; the general ledger; classification and summary of income and expenses; and basic principles, terms, and procedures used in entering data in an accounting system. Additional emphasis is placed on journalizing, posting, checking of accounts, reconciling of bank statements, and working with adjustments and closing entries.
Accounting II – 2 semesters – Grades 11-12
This course provides advanced instruction in departmentalized accounting procedures, cash funds, depreciation, uncollected accounts, notes, payables, receivables, unearned revenue, corporation dividends and capital acquisition, manufacturing costs, break-even points, and electronic spreadsheet information. Computerized and manual accounting systems will be used.
Banking – 1 semester - Grades 9-12
This course provides instruction in banking, credit, and personal finance. Course content includes the history of banking, budgeting, negotiable instruments, personal banking accounts, consumer protection laws, banking services, technology in banking, and other related topics.
Business Data Applications – 2 semesters – Grades 10-12 Prerequisite – Computer Applications
This course provides core, intermediate and advanced level instruction on spreadsheet software used by colleges and businesses to solve problems. Continued integration of software and more emphasis on video instruction is provided to produce advanced multimedia presentations. Current Windows-based industry software and spreadsheet and data base software will be used.
Business Document Processing – 2 semesters – Grades 10-12 Prerequisite-Computer Applications
Business Document Processing focuses on the development of skills required for improved productivity of electronically produced business letters, reports, memos, and other documents. Advanced features including macros, columns, merging, tables, styles, automatic outlining, and other features to enhance business documents will be emphasized. In addition, this course focuses on development of skills required for improving productivity of electronically produced newsletters, brochures, and flyers. Students will utilize two popular desktop publishing pieces of software – Microsoft Publisher and Adobe PageMaker software.
Business Law – 1 semester – Grades 11-12
This course is designed to develop a basic knowledge of the legal system and how business law impacts commerce domestically and internationally. Topics studied include structure of the court system, ethics, procedural contracts, sales contracts, consumer and agency contracts, employment, personal and real property, insurance, bankruptcy, wills and trusts, impact of technology, and environmental and energy regulation.
Business Management – 1 semester – Grades 11-12
Business Management helps students understand various management theories, basic management functions and their interrelationships, and the organization and competitive niche of a business. This course will help students build a strong knowledge base and develop management skills as they study the functions of management; organizational structures; human resources management; financial management; operations management; general management skills; marketing/competitive advantage; ethics; and government regulations and community involvement.
Business Procedures – 1 semester – Grades 10-12 Prerequisite – Computer Applications and Teacher Recommendation
This is a computer-based course that provides entry-level skills and knowledge for business management and office environments. Topics covered will include human relations, job application process, communication skills, document processing, management information systems, business etiquette, and business related software.
Business Procedures Internship – 2 semesters – Grades 10-12 Prerequisite – Business Procedures and Teacher Recommendation
This course allows the student an internship within the school in selected office sites with supervised and evaluated non-paid work tied to the Business Procedures curriculum. No admittance without completion of Business Procedures and an approved application by the teacher.
Finance – 1 semester – Grades 9-12
Using project-based instruction, students are introduced to the foundations of finance and the role finance, credit, savings, investments, and estate planning play in business. Various technological tools will be used to assist in modeling financial decisions. Business partnerships with financial service institutions, guest speakers, field trips, and work-based learning activities may be incorporated in this course.
International Business – 1 Semester – Grades 11-12
International Business is designed to raise awareness of the interrelatedness of one country's political policies and economic practices. Understanding the global business environment and the interconnectedness of cultural, policy, legal, economic and ethnics will be covered.
Investing - 1 semester – Grades 11-12
Using project-based instruction, students will formulate business and individual investment decisions by comparing and contrasting the investment qualities of cash, stocks, bonds, and mutual funds. Students will analyze annual reports, predict growth rates, and chart trend lines. Business partnerships with investment firms, stock market simulations, guest speakers, field trips, and work-based learning activities may be incorporated in this course.
Multimedia & Communication Technology – 2 semesters – Grade 10-12 Prerequisite – Computer Applications
The purpose of Multimedia is to provide the student with a survey of multimedia applications. The course focuses on the hands-on creation of presentations and other applications using multimedia software that meets the standards of business and industry. Students will incorporate sound, clip art and scanned images into multimedia applications.
Risk Management and Insurance – 1 semester – Grades 11-12
Using project-based instruction, students will analyze risk management techniques from the viewpoints of those employed in the industry as well as from that of business owners seeking to meet risk management needs. Insurance products will be evaluated in relation to cost and effectiveness. The importance of ethical practices is emphasized. Business partnerships with risk management companies, guest speakers, field trips, and work-based learning activities can be incorporated in this course.
COMMUNICATION TECHNOLOGIES
To earn a Technology/Career-Preparatory Diploma, students must complete three units within one Technical Education area of concentration plus one related unit. Communication Technologies offers a concentration option of units that qualify for the Technology/Career- Preparatory Diploma. Careful course planning is required to achieve the concentration. See your counselor/teacher/advisor for further information on planning for the Technology/Career-Preparatory Diploma.
These courses are designed to provide students with a hands-on experience in the development of visual communication. Development of media includes project management, script development, editing, and studio work. Students work as a team producing news stories, editorials, features and documentaries. This media is broadcast through school video labs and provides a communication service for the learning community. Students will acquire the knowledge and skills to be lifelong effective consumers and producers of visual. It is recommended that students have basic computer skills, keyboarding skills, and strong written communication skills.
Video Broadcast Journalism/Video Production I - 2 Semesters - Grades 9-12 Prerequisite - None Required
The program seeks to integrate recent trends in the study of mass communications into a class that is appropriate for an advanced level course. Skills will be developed in basic theory, practice and operations of equipment related to a television studio, the portable camera, and videotape editing. Through problem-solving activities, projects, and discussions, knowledge of how video/film affects life and society will be demonstrated. Students also learn about video and film equipment operation, cover switches, camera, lighting, audio boards and tape machines.
Video Broadcast Journalism/Video Production II - 2 Semesters - Grades 10-12 Prerequisite – VBJ I
Through problem solving activities, projects and discussions, knowledge of how film/video affects life and society will be demonstrated. Additionally, study will be conducted on recent trends in mass communication. This course enhances prerequisite skills and provides instruction in producing nonnarrative videos, and commercials.
Video Broadcast Journalism/Video Production III - 2 Semesters - Grades 11-12 Prerequisite – VBJ I & II
This course will enhance prerequisite skills and provide instruction in producing narrative videos. Students should be able to perform at an independent level of proficiency. This course builds upon prerequisite skills by requiring students to analyze, evaluate and synthesize the body of video work created during the student's high school career, and to develop a substantial video portfolio based upon this work for public presentation.
Video Broadcast Journalism/Video Production IV - 2 Semesters – Grade 12 Prerequisite – VBJ I, II, & III
This course offers the advanced video production student the chance to pursue independent study in video production. The student will produce a number of short videos on selected topics. Students will be able to perform at an independent level of proficiency. This course will allow advanced production students a chance to pursue independent studies in video production. The student will produce a number of short videos on selected topics. Students will perform at an independent level of proficiency.
COMPUTER SCIENCE
To earn a Technology/Career-Preparatory Diploma, students must complete three units within one Technical Education area of concentration plus one related unit. Computer Science offers a concentration option of units that qualify for the Technology/Career Preparatory Diploma. Careful course planning is required to achieve the concentration. See your counselor/teacher/advisor for further information on planning for the Technology/Career-Preparatory Diploma.
Computing in the Modern World - 2 semesters - Grades 9-12
The purpose of this course is to provide all students with an introduction to the principles of computer science and its place in the modern world. This course should also help students use computers effectively in their lives, thus providing a foundation for successfully integrating their own interests and careers with the resources of a technological society. Students will gain a fundamental understanding of the operation of computers, networks and will create useful programs implementing simple algorithms. By developing Web pages that includes images, sound, and text, they will acquire a working understanding of the Internet, common formats for data transmission, and insight into the design of the human-computer interface. Exposure to career possibilities and discussion of ethical issues relating to computers will also be important threads in this course.
Introduction to Programming - JAVA - 2 Semesters - Grades 10-12 Prerequisite – One unit of Algebra I or Teacher Recommendation
The major goal of this course is for students to develop the computer science skills of algorithm development, problem solving, and programming. While the emphasis of the course will be on programming, students will also be introduced to other important topics, such as careers, the limits of computing and the difference between interpreters and compilers.
Advanced Placement Computer Science (JAVA for AP Test) - 2 Semesters - Grade 11-12 Prerequisite- JAVA Computer Programming Course is highly suggested, but not required
The purpose of the Advanced Placement Computer Science course is to provide the student with a course equivalent to a first-year college computer science course. Through the intense study of structured programming in JAVA, the student will be provided an opportunity to become proficient in programming methodology, algorithms, and data structures. Applications are chosen to develop student awareness of the necessity for particular algorithms and data structures. Topics concerning computing systems and social implications of electronic computing are integrated into the course. An ultimate goal of the class is to prepare the student for the successful completion of the Advanced Placement Computer Science Test.
Computer Networking - CISCO - 4 Semesters - Grades 11-12 Prerequisite - Teacher Recommendation
This course is designed to provide fundamental steps toward achieving CISCO Networking Certification. Check local school availability. Class limited to selected students who meet criteria.
IT Foundations - 2 Semesters - Grades 11-12 Prerequisite - Teacher Recommendation
This course is designed to enable students to pursue certification in A+, NET+, or iNET+. The students will receive instruction in hardware, software and networking principles that are at the base of these certification programs. Emphasis will be given about the careers available to students after they have been certified in these available areas.
This course is only offered at schools with IT labs. See your counselor for information.
Web Development and Design - 2 Semesters - Grades 9-12
Prerequisite – Computer Applications or Multimedia or Teacher Recommendation
Web Development and Design will include an overview of the basic principles of designing web pages. Students will utilize the planning process to create web pages. HTML and Javascript programming techniques will be taught in preparation for use of the web page design program, Microsoft FrontPage. Students will use Microsoft FrontPage to create and maintain web sites. Second semester activities provide students with an opportunity to apply their HTML/Web Design knowledge. Students will design, build, manage, and deploy high-quality, low maintenance web pages that include animation, interactive content, and photo editing. The school web site may be an ongoing project for this class. This course may offer initial Certified Internet Webmaster exam.
COOPERATIVE BUSINESS EDUCATION
Cooperative Business Education I – 2 semesters – Grades 11-12
CBE is a cooperative work-training program for high school juniors and seniors preparing for full-time employment in business occupations. CBE provides students the opportunity to combine their knowledge, skills and techniques learned in business classes and apply the skills to on-the-job training. CBE prepares students for occupational flexibility and job mobility in business occupations. The related classroom instruction and coordinated on-the-job experiences are designed to foster selfconfidence, self-sufficiency and self-discipline.
Cooperative Business Education II – 2 semesters – Grade 12
This course is a continuation of Cooperative Business Education I. The CBE student-trainee will demonstrate his/her skills through project-based simulations. Students complete practical, realistic applications and create materials suitable for portfolio evaluation. CBE II continues to prepare students for occupational flexibility and job mobility in business occupations. The related classroom instruction and coordinated on-the-job experiences are designed to foster self-confidence, self-sufficiency and self-discipline.
Cooperative Business Education Work Experience – 2 semesters – Grade 11-12
Cooperative Business Education (CBE) is a cooperative work-experience program for high school juniors and seniors who are preparing for full-time employment in business occupations. It is the "capstone" of the business education program, where the knowledge, skills and techniques learned separately are brought together and applied to an actual employment opportunity.
CREDIT NOTE: Students enrolled in a double period of work experience must work a minimum of 20 hours per week (1 unit credit per semester). Students enrolled in a single period of work experience must work a minimum of 15 hours per week (½ unit credit per semester). Students who may wish to work three (3) periods of work must work 25 hours per week and must apply for special permission for 3-period work. Approval is limited but possible.
FAMILY AND CONSUMER SCIENCE
To earn a Technology/Career-Preparatory Diploma, students must complete three units within one Technical Education area of concentration plus one related unit. Family and Consumer Science offers a concentration option of units that qualify for the Technology/Career-Preparatory Diploma. Careful course planning is required to achieve the concentration. See your counselor/teacher/advisor for further information on planning for the Technology/Career-Preparatory Diploma.
Introduction to Family and Consumer Science - 2 Semesters - Grades 9-12
This course introduces the various subject areas of Family and Consumer Sciences. The students will receive a foundation in Individual and Family Development, Food and Nutrition, Housing and Resource Management, Design, Textiles and Apparel. Careers will be explored.
Child Development - 2 Semesters - Grades 10-12
Prerequisite - Individual and Family Development and Responsible Parenting
This course included the study of the physical, emotional, social and intellectual development of children from the end of the first year through pre-school. A student planning on a career in early childhood education, pediatric medicine or childcare in the private sector will be able to utilize the knowledge and skills gained in this course to improve their job performance.
Design: Interior and Fashion Technology - 2 Semesters - Grades 10-12
This course enables students to explore trends and technological advancements in the areas of fashion and interiors. The focus of this class will be on teaching the students to recognize and apply the principles and elements of design. It will also enable a student to gain consumer skills and to explore career opportunities in both the areas of fashion and interiors.
Elder Care - 1 Semester - Grades 10-12
This course provides students with the opportunity to study the physical, mental, social and emotional needs of older adults. Emphasis is placed on planning, organizing, and conducting activities that promote physical, social and emotional growth for the elderly. Students will study and carry out projects related to nutrition, housing needs, and financial planning for older adults. Students will plan and carry out project activities that give them experience with elderly individuals.
Family and Child Service Occupations - 2 Semesters - Grades 11-12
Prerequisite - Individual and Family Development, Responsible Parenting and Child Development
This course provides students a hands-on opportunity to learn how they can be active and effective participants in an early childhood classroom. Experiences will include the organizing and managing of the classroom, protecting the health and safety of children, and the planning of appropriate activities.
Food Services Occupations - 2 Semesters - Grades 11-12 Prerequisite - Nutrition and Food Science I and Nutrition and Food Science II or Teacher Recommendation
This advanced level course is an invaluable foundation to build upon for any career in hospitality, catering, health occupations, restaurant/hotel management or other food-related occupations. Advanced culinary and quantity preparation techniques form the basis of this laboratory oriented class. Students will gain invaluable experience and skills whether they go on to college, culinary school or straight into a position in food service. Students will exit this course with a completed portfolio.
Independent Living - 1 Semester - Grades 10-12
The student will gain knowledge and skills needed for independent living. The course will examine career options, workplace requirements, financial management, consumer issues, housing selection and management, food and nutrition essentials and wardrobe management.
Individual and Family Development - 1 Semester - Grades 10-12
The student will develop insight into personal growth and development. The course will examine the individual and the family as it relates to responsibilities and the development of relationships. Effective communication skills, family crises management, and goal setting will be explored.
Nutrition and Food Science I - 2 Semesters - Grades 9-12
This course provides instruction in basic principles of nutrition for the encouragement of health and wellness. Food consumerism, basic food preparation, techniques, technology in the food lab, and safety and sanitation are taught in this course. In addition, U.S. regional foods and a variety of ethnic food patterns will be included.
Nutrition and Food Science II - 2 Semesters - Grades 10-12 Prerequisite - Nutrition and Food Science I
This course gives students insight into the many career possibilities in the food and hospitality industry. The focus of this course includes advanced lab technology, resource management, and advanced culinary techniques.
Responsible Parenting - 1 Semester - Grades 10-12
This course will include the study of the stages of growth and development from the prenatal stage through the first year of life, child health and safety, discipline, and the selection of child care facilities. Also included are parenthood responsibilities, human sexuality, pregnancy, prenatal care, and special needs of children.
MARKETING EDUCATION (ME)
To earn a Technology/Career-Preparatory Diploma, students must complete three units within one Technical Education area of concentration plus one related unit. Marketing Education offers a concentration option of units that qualify for the Technology/Career-Preparatory Diploma. Careful course planning is required to achieve the concentration. See your counselor/ teacher/advisor for information on planning for the Technology/Career-Preparatory Diploma.
A maximum of 3 Carnegie units per year may be earned in an ME program. One unit for classroom instruction per year and two units for the marketing internship per year may be earned. Students take four regular classes including an ME class and normally leave school after the fourth period each day for community employment in marketing businesses. Once accepted in the ME program, students are encouraged to remain for the full year. Each of the following courses requires the permission of the ME Coordinator for enrollment.
Marketing Principles and Practices - 1 Semester - Grades 11-12 Prerequisite - ME Coordinator Recommendation
This course provides an overview of the total Marketing Education program and its components, presents employment opportunities in marketing, prepares students for job interviews, incorporates human relations and communications in business, and explores the role of marketing in our economy. Marketing functions, marketing concepts, channels of distribution, special markets, and trends in marketing are taught. A study of retail operations, career opportunities, store location and layout, organizational structure, and merchandising policies are covered.
Entrepreneurship - 1 Semester - Grades 11 - 12
Prerequisite - Marketing Principles and Practices and ME Coordinator Recommendation
This course is designed to introduce the student to the role of small business in contemporary society. Students are given the opportunity to study, discuss and apply the principles and methods of small business organization and management with an emphasis on the marketing mix. Students participate in a project which includes business planning and management.
Fashion Marketing - 2 Semesters - Grades 10-12 Prerequisite - ME Coordinator Recommendation
This course describes the environment in which fashion thrives; introduces the terminology and basic elements of fashion; identifies the factors that influence fashion behavior; gives an historical perspective of fashion; traces the movement of fashion; identifies fashion leaders and followers; explores each of the fashion industries; presents methods of promotion, selling and coordination; and explains the development of a fashion image.
International Marketing - 1 Semester - Grades 11-12 Prerequisite - Marketing Principles and Practices and ME Coordinator Recommendation
This course is designed to introduce students to aspects of marketing products and services in the global marketplace and the career opportunities available in this field. The course analyzes the economic, cultural, and political factors needed to facilitate trade on a global scale.
Promotion in Marketing - 1 Semester - Grades 11-12 Prerequisite - Marketing Principles and Practices and ME Coordinator Recommendation
This course emphasizes the various methods to promote goods and services. Advertising, media selection, display techniques, ad layout principles, and the basic steps in selling are explored. Product service technology, human relations, and communications are covered. Students must apply their knowledge in a promotional simulation.
Advanced Marketing Seminar - 1 Semester - Grade 12
Prerequisite - Completion of minimum of three ME courses and ME Coordinator Recommendation
In this seminar, the student undertakes research, analysis, and recommendation for solution of a marketing problem (or instead, the investigation of a specific area of marketing) under the direction of the ME coordinator. The curriculum is arranged and outlined in a grade contract.
Sport and Event Marketing Fundamentals- 1 Semester - Grades 11-12 Prerequisite- Marketing Principles and Practices and ME Coordinator Recommendation
This course introduces students to the major segments of the Sport/Event Industry and the social and economic impact the industry has on the global economy with emphasis on business fundamentals, product mix, product knowledge, product/service management, business regulation, selling, marketing information management, and economics. Project-based instruction will be incorporated in this course to provide real-world application.
Sport and Event Marketing Management - 1 Semester - Grades 11-12
Prerequisite - Sport and Event Marketing Fundamentals and ME Coordinator Recommendation
This course provides students opportunities to develop managerial and analytical skills and deepen their knowledge in sport/event marketing. The prerequisite to this course is Sport and Marketing Fundamentals with emphasis on marketing information management, selling, publicity/public relations, sales promotion, management of promotion, product mix, pricing, brand positioning, and marketing planning. Project-based instruction will be incorporated in this course to provide real-world application.
Marketing Laboratory - 2 Semesters - Grades 11-12
Prerequisite - ME Coordinator Recommendation
This course is designed to allow a student to utilize knowledge, skills, and attitudes learned in the classroom in operating the marketing laboratory.
Marketing Internship I (2 semesters) and II (2 semesters) - (5th and 6th periods); or (6th period only) – Grades 11-12
Prerequisite - Enrollment by recommendation of ME Coordinator; student must be at least 16 years old, meet the prerequisites of the program, and be currently enrolled in a marketing class. Students desiring three (3) periods of Marketing Internship must see the Coordinator and meet guidelines set by the County.
Student enrolled in the Marketing Education program acquire work experience and training with a business person who provides part-time marketing employment for which students receive school credit plus pay. A minimum of 15 hours work experience per week in an approved marketing job is required to earn course credit.
Credit Note: Students enrolled in a single period internship must work a minimum of 15 hours per week (½ unit credit per semester). Students enrolled in a double period internship must work a minimum of 20 hours per week (1 unit credit per semester). Students enrolled in a triple period internship must work a minimum of 25 hours per week (1 ½ units per semester).
GRAYSON HIGH SCHOOL TECHNICAL EDUCATION PROGRAM
Grayson High School Technical Program offers innovative instructional programs for both college prep and technical prep students in a state-of-the-art facility located on the Grayson High School campus. Juniors and seniors from all GCPS high schools may enroll in these programs.
The following programs are offered: Biotechnology; Commercial Photography; Culinary Arts; Environmental Horticulture; Environmental/Conservation Science; Digital Media, Design & Animation; Hospitality, Travel and Tourism; IT: Computer Network Systems and Support; Public Safety; Music Recording; Music Technology; Veterinarian Technology; Technical Theater; and Video Production. There are also opportunities for articulation with post-secondary institutions and internships/apprenticeships through many of the programs!
Students may register for the Grayson Technical Programs via their local high school registration process. Students are expected to remain in the program the entire year. Each program consists of a 2 ½ hour block class both first and second semester. Students enroll for their core classes at their home high school during a portion of the day and then travel to the Grayson campus for their technical block concentration class for the other portion of their day. Students may also transfer to Grayson High School to take both their technical block and core classes. Students must provide their own transportation to Grayson High School.
Students wishing to earn a Technology/Career Prep Diploma must complete three (3) units within one technical area of concentration, plus one related unit. Counselors can assist with further information on planning for both college and technical diploma requirements.
*Waiver granted by Georgia Department of Education for noted course(s) to count as technical credit. Waiver is subject to renewal on an annual basis.
Biotechnology
The biotechnology program focuses on the development of skills and content that will allow students to pursue careers in the booming biotechnology industry. Students that participate in the biotechnology program could choose several post secondary educational options within the state of Georgia.
Biotechnology in Agriculture I - (Required for Biotechnology Concentration) - 1 Semester – (1 ½ units) - Grades 11-12
Biotechnology simply defined is the use of living organisms to benefit human existence. This course will serve as an introduction to agricultural biotechnology. Emphasis will be placed on the development of industry related skills as well as comprehensive content related to the use of plants and microorganisms. Special attention will be paid to the history of biotechnology, current ethical issues associated with the use of biotechnology, and post secondary options associated with the skills and content learned in the course. Classroom and laboratory activities are supplemented through leadership programs and activities.
Biotechnology in Agriculture II - (Required for Biotechnology Concentration) - 1 Semester – (1 ½ units) - Grades 11-12
This will be a continuation of the first semester with emphasis being placed the development of skills as well as comprehensive content related to the use of animals. Special attention will be placed on ethical issues associated with the use of animals for human use, human biotechnology, and pharmaceutical research. Career choices for individuals and a projected plan of action will be developed for each student. Classroom and laboratory activities are supplemented through leadership programs and activities.
Plant Science and Biotechnology - (Elective for Biotechnology Concentration) - 1 Semester – (1 ½ units) – Grade 12
This course introduces the scientific theories and principles used in the production and management of plants for food, feed, fiber, soil conservation and aesthetic value. Special emphasis will be placed on industry relevant skills related to plant biotechnology and the genetic manipulation of plants to produce desired products. There is a required research project that may be presented at the Georgia state FFA Agriscience Fair. Classroom and laboratory activities are supplemented through supervised experiences and leadership programs and activities. This course may count as either a science elective credit or a technical education concentration or elective credit. This course is designed for students that have completed the prerequisite course of study in Biotechnology at Grayson Technical.
Animal Science and Biotechnology - (Elective for Biotechnology Concentration) - 1 Semester – (1 ½ units) – Grade 12
This laboratory course is designed to introduce students to the scientific principles that underlie animal science. The focus is on biotechnology skills utilized for animal agricultural production. There will also be a required research project that will require the student to utilize previously learned biotechnology skills. Instruction may include information regarding breeding, husbandry, and animal care. This course is designed for students that have completed the prerequisite course of study in Biotechnology at Grayson Technical.
Commercial Photography *
Commercial Photography I (Required for Commercial Photography Concentration) - 1 Semester (1 ½ units) - Grades 11-12
This course introduces students to the creation of images using light sensitive materials. The technical areas addressed are camera and lens theory, basic light and optics, exposure controls, fundamental darkroom operations, safety, chemistry, paper and film theory, black and white printing, and equipment usage. Students are introduced to basic lighting and flash photography as well as historical and contemporary development in photography.
Commercial Photography II (Required for Commercial Photography Concentration) - 1 Semester (1 ½ units) - Grades 11-12
Students create commercial photographic images using professional quality cameras, lighting, lightmeters, strobes, flash units, backdrops and props. Students are introduced to studio lighting effects and techniques. Darkroom assignments include the materials, paper, printing techniques, and chemistry associated with commercial darkroom operations. Students will study and research historical and contemporary developments in photography.
Commercial Photography III (Elective for Commercial Photography Concentration) - 1 Semester (1 ½ units) – Grade 12
As a growing part of commercial photography, students will be introduced to the creation of images using electronic digital still cameras, scanners, video cameras, and digital studio cameras. All final work will be the product of photo imaging using Adobe Photoshop and other relevant software. The work will be illustrative, documentary, photojournalistic, and experimental in nature. The traditional skills of the re-toucher will be explored in an electronic format, as well as, the changing role of digital photography in the new world of web/internet/intranet publications. This course is designed for students that have completed the prerequisite course of study in Photography at Grayson Technical.
Internship in Commercial Photography - (Elective for Commercial Photography Concentration)
- 1 Semester (1 ½ units) - Grade 12
The internship is designed to provide on-the-job, site-based training experiences for Commercial Photography students in their area of interest within the field of commercial photography. An internship requires supervision by the course instructor, training plans, training agreements and special on-the job projects that are jointly evaluated by the employer and the instructor. Internship students may or may not be paid. This course is designed for students that have completed the prerequisite course of study in Commercial Photography at Grayson Technical.
Culinary Arts
Professional Foods I - 1 Semester (1 ½ units) - Grades 11-12 (Required for Culinary Arts Concentration)
This course is for students serious about pursuing a career as an entry-level food service worker. This course builds upon the knowledge and skills learned in Nutrition and Food Sciences I & II and/or Food Service Occupations courses and include the foundations for professional cooking. It provides a focus on the fundamentals of the professional kitchen including food safety and sanitation (ServSafe), culinary math, principles and processes of cooking in a professional kitchen, food identification, commercial preparation of all menu categories, and basic front of the house operations, which may lead to future employment in the hotel/restaurant and food service industry. This course offers the student an opportunity to become nationally certified by taking the National Restaurant Association Educational Foundation's (NRAEF) ServSafe Exam for a fee of $35.00.
Professional Foods II - 1 Semester (1 ½ units) - Grades 11-12 (Required for Culinary Arts Concentration)
This course is for students serious about pursuing a career as an entry-level food service worker. This course builds upon the knowledge and skills learned in the Advanced Culinary Arts I course and includes the foundations for professional baking. It provides a continued focus on the fundamentals of food safety and sanitation, meal preparation, and front of the house operations in addition to the foundations of baking and pastry, food science, nutrition and menu planning, and food service operations. It provides an advanced level of food preparation and service, which may lead to future employment in the hotel/restaurant and food service industry. Additionally, students enrolled in this course are required to compete in industry sponsored student culinary competitions.
Internship in Culinary Arts - 2 Semesters (3 units) – Grade 12 (Elective for Culinary Arts Concentration)
The internship is designed to provide on-the-job, site-based training experiences for Culinary Arts students in their area of interest within the field of culinary arts. An internship requires supervision by the course instructor, training plans, training agreements, and special on-the job projects that are jointly evaluated by the employer and the instructor. Internship students may or may not be paid. Additionally, students enrolled in this course are required to compete in industry sponsored student culinary competitions. This course is designed for students that have completed the prerequisite course of study in Culinary Arts at Grayson Technical.
Digital Media, Design and Animation
Digital Media and Design – 1 Semester (1 ½ units) – Grades 11-12 (required for Digital Media Design concentration)
Students in this course master the fundamentals of graphic design and production. The principles are applied to printed media, digital presentation media, and interactive media. Students who take Digital Media and Design should be intrigued with visual design and computer technology. This is a hands-on class in which industry-standard software such as Adobe Illustrator, Adobe Photo Shop, Adobe Premiere, and Adobe InDesign are taught. Students also study digital photography, video production, web design and digital sound in this first semester class.
Graphics & Animation Foundations – 1 Semester (1 ½ units) – Grades 11-12 (Required for Digital Media Design Concentration)
Students learn the foundational knowledge and skills required in graphic applications and animation. The principles of animation are applied to animation for storytelling and the web in this hands-on class. Industry-standard software and technology are used as students learn both 2D and 3D animation applications such as Flash and Maya.
Advanced Digital Media and Design – 1 Semester (1 ½ units) – Grade 12 (Elective for Digital Media Design Concentration)
The course provides advanced instruction in digital media design, production and the use of graphics and animation. It is project intensive and incorporates advanced use of technology to produce products. This course is designed for students that have completed the prerequisite course of study in Digital Media at Grayson Technical.
Internship in Advanced Digital Media and Design – 1 Semester (1 ½ units) – Grade 12 (Elective for Digital Media Design Concentration)
The internship is designed to provide on-the-job, site-based training experiences for Digital Media, Design and Animation students in their area of interest within the field of digital media, design and animation. An internship requires supervision by the course instructor, training plans, training agreements and special on-the job projects that are jointly evaluated by the employer and the instructor. Internship students may or may not be paid. This course is designed for students that have completed the prerequisite course of study in Digital Media at Grayson Technical.
Environmental/Conservation Science
The Environmental/Conservation Science Program consists of courses which focus on the management and conservation of our world's natural resources. All classes emphasize a hands-on learning approach with regular laboratory activities and multiple site visits. Students are given multiple opportunities to gain information about post-secondary options and career exploration within their chosen area(s) of interest.
Natural Resource Management & Conservation - 1 Semester (1 ½ units) - Grades 11-12 (Required for Environmental Science Concentration)
This is a laboratory based course designed to prepare students for involvement in the conservation and management of natural resources such as air, soil, water, forests, land, fish and wildlife for economic and recreational purposes. Information on current and future issues relating to natural resources that our generation will face will also be addressed through the course of the semester. Students will also be provided with multiple opportunities to explore careers within the field of natural resources. Classroom and laboratory activities are supplemented though leadership programs and activities.
Forestry Science- 1 Semester (1 ½ units) - Grades 11-12 (Required for Environmental Science Concentration)
This course provides entry-level skills for employment in the forest industry and for further study. Units of study include: compass orienteering and mapping, tree and land measurements, tree identification, establishing forests by natural and artificial means, maintaining and surveying forests, silviculture, preparing for timber sales and harvest, keeping records, and urban forestry. Classroom and laboratory activities are supplemented through supervised agricultural experiences and leadership programs and activities.
Forest Management for Wildlife - 1 Semester (1 ½ units) – Grade 12 (Elective for Environmental Science Concentration)
This course provides students with a more in-depth knowledge of wildlife management and prepares students to recognize opportunities in forestry for developing wildlife habitats. Units of study include: wildlife identification (wildlife of Georgia will be the main focus), wildlife habitat and food requirements, reproduction, management of wildlife populations, instruction in selection of tree and forage species, development of food plots, tree harvesting methods to conserve wildlife, predator/prey relationships and control, hunting and hunting leases, firearm safety, game and fish laws and regulations, trapping and taxidermy. Classroom and laboratory activities are supplemented through leadership programs and activities. This course is designed for students that have completed the prerequisite course of study in Environmental Science at Grayson Technical.
Internship in Environmental/Conservation Science - 1 Semester (1 ½ units) – Grade 12 (Elective for Environmental Science Concentration)
The internship is designed to provide on-the-job, site-based training experiences for Environmental/Conservation Science students in their area of interest within the broad field of environmental science. An internship requires supervision by the course instructor, training plans, training agreements, and special on-the job projects that are jointly evaluated by the employer and the instructor. Internship students may or may not be paid. This course is designed for students that have completed the prerequisite course of study in Environmental Science at Grayson Technical.
Environmental Horticulture
The "green" industry is one of the fastest growing and diverse industries in Georgia. The Environmental Horticulture program at Grayson will give students the foundation needed for a rewarding career in this field. Some of the exciting career options available to our graduates include: Landscape design, management and installation, nursery/greenhouse production, management, and sales, and garden center management and sales.
Landscape Design and Management – 1 Semester (1 ½ units) – Grades 11-12 (Required for
Horticulture Concentration)
Students study landscape design, management, and installation, as well as plant materials (plant identification), and plant cultural practices. They also receive specialized training in graphics, site analysis, site inventory, client interview techniques, soils and grading, turfgrass management and disease and insect control. Students will apply their skills learned in the classroom to real-world projects. Students will design several landscapes for clients one of which will be their own home. In addition, students receive computer training in the use of ProLandscape software package which includes image editor, planner (similar to LandCADD program), and proposal generator. Students will also be installing some of the projects that they design.
Floriculture Production and Management – 1 Semester (1 ½ units) – Grades 11-12 (Required for Horticulture Concentration)
The floriculture class is designed to be a "hands-on" greenhouse learning experience. Various greenhouse practices will be employed in production of pot crops and/or carrying out plant growth experiments. Students will gain practical experience with techniques such as watering, fertilizer mixing, potting and general greenhouse knowledge. Students will learn propagation techniques such as rooting stem and leaf cuttings, air layering, grafting, and tissue culture. Students will continue with the study of plant materials and plant identification. Students will also study floral design and will construct several arrangements. These floral arrangements will include their own corsages and/or boutonnieres for prom. The students will also grow the plants, market and run the spring plant sale.
Horticulture - 1 Semester (1 ½ units) – Grade 12 (Elective for Horticulture Concentration)
This course builds on the student's first year knowledge and skills in horticulture. This course is designed to prepare students to produce process and market ornamental plants and to manage a horticultural enterprise. Students will learn plant identification, landscaping basics, landscape construction, botany and how to use plants for aesthetic purposes. This is a practical hands-on class that will allow the student to engage in a variety of projects both in the classroom and in the greenhouse. The students will completely organize, order plant materials and supplies, grow and sell the plants for the fall and spring sales. This course is designed for students that have completed the prerequisite course of study in Horticulture at Grayson Technical.
Nursery Production and Management - 1 Semester (1 ½ units) – Grade 12 (Elective for Horticulture Concentration)
This course introduces systematic cultural practices and business procedures used in nursery businesses. It covers the production, marketing and distribution of landscape plants and related landscape materials. Classroom and laboratory activities are supplemented through supervised experiences and leadership programs and activities. Classroom and laboratory activities are supplemented through supervised experiences and leadership programs and activities. This course is designed for students that have completed the prerequisite course of study in Horticulture at Grayson Technical.
Hospitality/Travel/Tourism
Intro to Hotel, Travel and Tourism - 1 Semester (1 ½ units) - Grades 11-12 (Required for Hospitality Concentration)
This course introduces the student to the major segments of the Hotel/Lodging and Travel/Tourism industry and the economic impact the industry has on the local, state, national and global economy. The products, services and packages offered to the business and leisure travelers by different types of businesses in the industry are examined. Utilizing current technology, the Internet, and software packages, students develop a tour package and marketing plan for a selected niche market that incorporates appropriate promotional and pricing strategies that ensure business profitability. The course is articulated with a course at Gwinnett Technical College for credit at the postsecondary level.
Hotel and Lodging - 1 Semester (1 ½ units) - Grades 11-12 (Required for Hospitality Concentration)
This course explores the fundamentals of operation and marketing in this major services industry. Students study front desk operations, marketing/sales activities and guest services. Case studies and field experiences are emphasized. This course is articulated with a course at Gwinnett Technical College for credit at the postsecondary level.
Internship in Hotel/Travel/Tourism - 2 semesters (3 units) – Grade 12 (Elective for Hospitality Concentration)
This course enhances work-site learning experiences for students in the Hotel/Travel/Tourism industry. It requires supervision by the instructor, a training plan, and training agreement evaluated by the employer and the instructor. Internship students may or may not be paid. The program must meet Work-Based Learning Standards. This course is designed for students that have completed the prerequisite course of study in Hospitality at Grayson Technical.
IT: Computer Network Systems and Support
Information Technology Foundations - 1 Semester (1 ½ units) – Grades 11-12 (Required for IT Concentration)
This course develops in-depth skills in information technology, software systems management, operating systems, desktop and server hardware, and networking technology. Troubleshooting and user support are central components in a communication-driven course. Students also develop an awareness of the social, ethical, and legal issues in the information technology field approaching challenges from a business perspective. Students who find working with computers in their free time fun and have goals to enter a computer-related field will find this course rewarding.
Programming and Business Systems - 1 Semester (1 ½ units) – Grades 11-12 (Required for IT Concentration)
Students in this course focus on systems analysis and design, learning basic programming concepts, applied object-oriented programming languages, software development, and database administration, including SQL. The course will also cover advanced topics, such as rapid application development, and web-application development to meet changing needs. This is not an entry-level course. Previous programming languages and computer classes are helpful, but not required.
Internship in Information Technology - 2 Semesters (3 units) – Grade 12 (Elective for IT Concentration)
The internship is designed to provide on-the-job, site-based training experiences for IT students in their area of interest within the IT field. Placement depends on student compatibility with available industry opportunities. The course requires supervision by the instructor, a training plan, and a training agreement evaluated by the employer and the instructor. The program must meet Work-Based Learning Standards. Internship students may or may not be paid. This course is designed for students that have completed the prerequisite course of study in IT: Network Systems at Grayson Technical.
Music Recording *
Foundations of Sound and Recording (Required for Music Recording Concentration) - 1 Semester (1 ½ units) - Grades 11-12
This course develops an understanding of the techniques and technology involved in modern multitrack recording and mixing. Course topics include the basic physics of sound, amplitude, frequency, and movement of sound through acoustic space. Instrument sounds will be studied in order to understand proper microphone placement (settings of microphone pre amps, equalizing, compressing, and mixing). Also covered will be the basic flow of audio as it relates to cables, connectors, and patchbays. Various components of the mixing console, amplifier, speakers, tape machines, channel strips, master sections, and digital workstations will be studied. A description and function of each device will be studied. This course offers hands-on experience.
Advanced Recording and Post-Production Techniques (Required for Music Recording Concentration) 1 Semester (1 ½ units) - Grades 11-12
This course presents an advanced, hands-on approach to the principles of tape-less digital recording on a variety of digital workstation platforms, and the application of audio/studio technology in the production of audio for video/film/television. Training will include disk-based digital audio, synchronization, audio for video and film, and multi-channel sound mixing techniques. The course focuses on the use of digital audio workstations in an audio post-production environment, including microphone setups for instrument and voice, acoustics, equalization, level settings, and compressors. Advanced editing, goal setting, various time-code formats, and audio synchronization will be covered in this course.
Multi-Channel Audio and Applied Digital Audio (Elective for Music Recording Concentration) 1 Semester (1 ½ units) Grade 12
This course presents an overview of multi-channel audio technology. The history and development of multi-channel audio systems for music production are presented. Current trends in multi-channel digital audio technology are developed. The course also presents an overview of digital audio technology. Students will discuss multi-channel encoding/decoding, formats and standards such as Dolby Digital (AC-3), DTS, and THX and create DVDs. Course offers extensive hands-on experience on a digital audio workstation. This course is designed for students that have completed the prerequisite course of study in Music Recording at Grayson Technical.
Internship in Audio Productions (Elective for Music Recording Concentration) 1 Semester (1 ½ units) – Grade 12
This course focuses on the production of recorded music and arranging. It provides the opportunity to create a commercial music product. Students will study song selection, chart reading, record planning, budgeting and other related topics. Students will also apply the skills learned in the foundational and elective music recording courses by completing an internship in a live studio and music recording environment. This course is designed for students that have completed the prerequisite course of study in Music Recording at Grayson Technical.
Music Technology *
Introduction to Music Technology and Production (Required for Music Technology Concentration) - 1 Semester (1 ½ units) - Grades 11-12
This course presents and explores the concepts of current music technology and its use in music production methods. Open to students with formal music experience, this class creates audio music projects based on commercial music applications such as music beds for video. MIDI sequencing is learned, as well as music composing and arranging. The acoustics of music are studied, and students also learn how to setup and operate sound systems.
Intermediate Music Technology and Production (Required for Music Technology Concentration) - 1 Semester (1 ½ units) - Grades 11-12
A continuation of the first semester, this course allows students with music reading skills and performance experience to examine more complex sequencing practices combined with digital audio recording. Students learn film scoring, audio editing, recording techniques, and sound effects production, along with using virtual instruments. The final project consists of an original song recorded and produced to CD.
Public Safety
Foundations of Public Safety and Criminal Justice - 1 Semester (1 ½ units) - Grades 11-12 (Required for Public Safety Concentration)
Students wishing to pursue a career in public safety will begin with the Foundations of Public Safety and Criminal Justice course. This survey course introduces a variety of agencies and professions in law enforcement, private security, corrections, fire, and emergency management services. The course examines the role and structure of the government, rights/responsibilities of citizens, components of the criminal justice system, roles and responsibilities of the police, courts, and corrections, adult and juvenile justice systems, civil and criminal law, roles and responsibilities of personnel in the private security and protective services, the fire service, and the emergency management service and their contributions to public safety. The course will be taught by a certified police officer.
Introduction to Law Enforcement - 1 Semester (1 ½ units) - Grades 11-12 (Required for Public Safety Concentration)
This course covers law enforcement in America, law enforcement terminology, types and responsibilities of different law enforcement agencies, and various criminal justice system issues. The classification and elements of crimes, the major criminal and traffic laws of Georgia, and crime prevention and detection strategies are also discussed. Students will receive instruction in critical skill areas including communicating with diverse groups, conflict resolution, report writing, and the use of force continuum. Career planning and employability skills are also emphasized. Critical thinking and problem solving skills as well as personal and professional ethics are included throughout the course.
Constitutional and Criminal Law - 1 Semester (1 ½ units) – Grade 12 (Elective for Public Safety Concentration)
This course emphasizes the structure of the government and the court system. Differences between civil law and criminal law, structure and processes of the criminal justice system, rights of citizens, powers granted to police and restrictions are taught. Constitutional and non-constitutional issues facing today's law enforcement officers are included (search and seizure, arrests, interviews and interrogations, confessions, and police misconduct). Students are expected to apply critical thinking skills. This course is designed for students that have completed the prerequisite course of study in Law Enforcement at Grayson Technical.
Techniques of Patrol and Investigation - 1 Semester (1 ½ units) – Grade 12 (Elective for Public Safety Concentration)
This course covers patrol methods and functions, investigative theory, crime scene preservation, and methods of identifying, collecting, and preserving evidence. Crime prevention and control strategies and techniques, report writing, crime scene investigation, operation of police and emergency equipment, and courtroom testimony are covered. Students will discover how forensic science may be used to aid the prevention of crime and the apprehension and conviction of criminals. This course is designed for students that have completed the prerequisite course of study in Law Enforcement at Grayson Technical.
Technical Theatre *
Introduction to Theatrical Design - 1 Semester (1 ½ units) - Grades 11-12 (Required for Technical Theater Concentration)
The course presents basic principles and techniques needed to conceptualize and execute scenic, costume and lighting designs for theatrical productions. The course includes study of theatre terminology, functions and principles of design, color, rendering techniques, portfolio development, problem solving and design processes and techniques as they pertain to drawing and painting, model construction script analysis and materials.
Set Design & Construction - 1 Semester (1 ½ units) - Grades 11-12 (Required for Technical Theater, Set Design Concentration)
This course focuses on the role of the scenic designer through an exploration of design principles, art media, and skills necessary for communicating ideas, concepts and solutions to theatrical productions. Attention is also given to the process of transforming a designer's concept to a functional scenic device. Study includes tools, theatre safety procedures, drafting techniques, use of various construction materials and scene painting techniques.
Introduction to Lighting and Sound - 1 Semester (1 ½ units) – Grade 12 (Elective for Technical Theater, Set Design Concentration)
This course presents a study of lighting and sound design for their use in theatrical productions, including the use of color composition, instrumentation and equipment. Topics include the design process as it pertains to the overall production, physics of light and sound, use and maintenance of equipment, script analysis, creative thinking and problem-solving. This course is designed for students that have completed the prerequisite course of study in Technical Theater at Grayson Technical.
Costume Design & Construction - 1 Semester (1 ½ units) - Grades 11-12 (Required for Technical Theater, Costume Design Concentration)
This course focuses on the principles and elements of design as they apply to script and character analysis, costume rendering and production unity. Topics include figure drawing, physical proportions of the body and solutions to budget limitations. Attention is given to the process of transforming a designer's concept to a functional piece of wearing apparel. Study includes equipment operation and maintenance, shop organization and responsibilities, pattern drafting, fabrics and construction techniques.
Makeup for the Stage - 1 Semester (1 ½ units) – Grade 12 (Elective for Technical Theater, Costume Design Concentration)
This course investigates the artistic and aesthetic demands of theatre makeup techniques on the overall production process. Class participants develop knowledge and skills in all areas of theatrical makeup including design, two-dimensional and three dimensional procedures, supplies, application processes, historical influences and special effects. This course is designed for students that have completed the prerequisite course of study in Technical Theater at Grayson Technical.
Technical Theatre Internship - 1 Semester (1 ½ units) – Grade 12 (Elective for Technical Theater Concentration)
This course places the student an internship within the theatre industry. Students may choose to work in a professional theatre program or in a business related setting like a costume rental house or lighting company. Assignments will be geared to the individual interest of each student. Enrollment is limited and prior approval and a planned program of study is required. The internship may be paid or unpaid. This course is designed for students that have completed the prerequisite course of study in Technical Theater at Grayson Technical.
Veterinarian Technology
Animal Science - 1 Semester (1 ½ units) – Grades 11-12 (Required for Veterinary Concentration)
This course provides basic instruction in animal care for students interested in pursuing a degree in veterinary medicine or veterinary technology. Students study the history and evolution of animals as well as the six most common species: cats, dogs, cattle, horses, sheep, and pigs and the individual breeds within these species. In addition students will study anatomy and physiology; biomechanics and movement; genetics; reproduction; digestion and nutrition; health and behavior management; and animal housing. Classroom and laboratory activities are supplemented through supervised experiences and leadership programs.
Animal Production and Management - 1 Semester (1 ½ units) – Grades 11-12 (Required for Veterinary Concentration)
This course provides instruction in establishing and managing animal enterprises. Course content includes instruction in selecting, breeding, feeding, and caring for both large and small animals. In addition various laboratory and veterinary hospital techniques and procedures will be studied, including vein-puncture, first-aid, and beginner suturing. Classroom and laboratory activities are supplemented through supervised experiences and leadership programs and activities.
Equine Science - 1 Semester (1 ½ units) – Grade 12 (Elective for Veterinary Concentration)
This course introduces scientific principles and technical skills in caring for horses. Students study history and evolution of horses; breeds, types, and classes; anatomy and physiology; biomechanics and movement; selection and judging; reproduction; health and behavior management; tack, equipment, and facility management. Classroom and laboratory activities are supplemented through supervised experiences and leadership programs. This course is designed for students that have completed the prerequisite course of study in Vet Tech at Grayson Technical.
Internship in Veterinary Technology - 1 Semester (1 ½ units) - Grade 12 (Elective for Veterinary Concentration)
This course allows students to practice what they have learned during the previous semesters of veterinary technology. Students will work with local veterinarians to study the veterinary office and office techniques more in depth and they will be introduced to everyday situations. This course provides entry-level skills for students and provides the background to pursue a professional degree. Laboratory activities provide students with the hands-on experience and skills. This course is designed for students that have completed the prerequisite course of study in Vet Tech at Grayson Technical.
Video Broadcast Journalism
Video Production I - 1 Semester (1 ½ units) - Grades 11-12 (Required for Video Broadcast Concentration)
The program seeks to integrate recent trends in the study of mass communications into a class that is appropriate for an advanced level course. It will develop skills in basic theory, practice and operations of equipment related to a television studio, the portable camera, and videotape editing. Through problem-solving activities, projects, and discussions, knowledge of how video/film affects life and society will be demonstrated. This course enhances introductory skills by providing more in-depth and specialized experiences in video equipment operations. Instruction includes switchers, cameras, lighting, audio boards and tape machines.
Video Production II - 1 Semester (1 ½ units) - Grades 11-12 (Required for Video Broadcast Concentration)
Through problem solving activities, projects and discussions, knowledge of how film/video affects life and society will be demonstrated. Additionally, study will be conducted on recent trends in mass communication. This course enhances prerequisite skills and provides instruction in producing nonnarrative videos, and commercials.
Video Production III – 1 Semester (1 ½ units) – Grade 12 (Elective for Video Broadcast Concentration)
This course will enhance prerequisite skills and provide instruction in producing narrative videos. Students should be able to perform at an independent level of proficiency. This course builds upon prerequisite skills by requiring students to analyze, evaluate and synthesize the body of video work created during the student's high school career, and to develop a substantial video portfolio based upon this work for public presentation. This course is designed for students that have completed the prerequisite course of study in Video Broadcast at Grayson Technical.
Video Production VI - 1 Semester (1 ½ units) – Grade 12 (Elective for Video Broadcast Concentration)
This course offers the advanced video production student the chance to pursue independent study in video production. The student will produce a number of short videos on selected topics. Students will be able to perform at an independent level of proficiency. This course will allow advanced production students a chance to pursue independent studies in video production. The student will produce a number of short videos on selected topics. Students will perform at an independent level of proficiency. This course is designed for students that have completed the prerequisite course of study in Video Broadcast at Grayson Technical.
MAXWELL HIGH SCHOOL OF TECHNOLOGY
Maxwell High School of Technology is a special entity school that provides Gwinnett County Public School juniors and seniors the opportunity to gain knowledge and skills in preparation for highdemand careers. Extensive career exploration is a vital component of all Maxwell programs. Active participation of local businesses and industry contribute strongly to the success of each Maxwell program.
Students may earn a 3 unit concentration that may be applied to career technical diploma or college prep dual diploma requirements. Selected coursework may be used for credit at participating colleges.
All students participate in the "Rising Professionals" program in which they learn skills in conflict resolution, business etiquette, business ethics, job application, resume writing, and interviewing. Maxwell students are also encouraged to participate in community service projects and may earn a community service seal for their diploma.
Every student is eligible to become a member of Maxwell's active SkillsUSA chapter. SkillsUSA is a national, non-profit organization for students who are enrolled in programs preparing them for technical, skilled, and service careers. SkillsUSA adds to students' technical training by teaching them leadership skills, teamwork, and character development. Students may compete for Regional, State, and National titles. Chapters of Future Business Leaders of America and Future Farmers of America are also active at Maxwell.
Students will participate in the same program area for the year and attend classes for half of the school day. Transportation is provided to and from each GCPS high school. Contact the local GCPS high School counseling office for an application. Interested students and parents are encouraged to visit the school website www.maxwellhigh.com for additional information.
Auto Collision Repair - 2 Semesters (1 ½ Units Each) - Grades 11-12
Auto Collision technologists repair and refinish damaged vehicles to the original condition using stateof-the-art equipment and technology. Students develop skills in the areas of structural repair, metal work, painting, auto glass replacement, auto damage appraisal and shop management. Employment opportunities include automotive refinisher, service writer, estimator, parts counter person, and salvage operator. Students should possess mechanical and mathematical aptitude, creativity, and the ability to work on a team. The Maxwell Auto Collision Repair program is an approved member of the Industry Training Alliance for the Inter-industry conference on Auto Collision Repair (I-CAR).
Auto Services I – 2 semesters (1 ½ units each) – Grades 11 -12
Auto Services I is a challenging program dedicated to preparing students for today's expanding careers in the automobile industry. The program has state-of-the-art equipment which meets the requirements for the Auto Service Excellence (ASE) certification. Students learn about and perform automotive problem diagnosis, service and repair. Basic areas of study include brakes and the electrical/electronic systems. Automotive textbooks, electronic diagnostic tools, simulation modules (electrical, fuel injection, and engine performance topics), and factory-donated vehicles are primary components of this program. Selected course work may articulate with Gwinnett Technical College.
Auto Services II - 2 semesters (1 ½ units each) – Grade 12
Students who successfully complete Auto Services I at Maxwell High School may return the following year to take this course, which builds on the previously learned skills and knowledge. Instructor permission is required to take second-year courses. In-depth study of steering and suspension components and engine performance is included. Students may have the opportunity to participate in an internship setting. Selected coursework may be articulated with Gwinnett Technical College.
Commercial Art - 2 Semesters (1 ½ Units Each) - Grades 11-12
Commercial artists utilize the principles and practices of illustration, design and graphic production as they are used in the field of visual communication. Both conventional and computer-aided methods are explored. Each individual student will have an access to a powerful dual XEON processor IBM computer and learn state-of-the-art software applications such as Adobe Photoshop, Illustrator, InDesign, and other high-end 3D rendering programs. Throughout the course, students also work with different media such as airbrush, watercolor, and color pencil techniques. Fashion design, cartooning, and outdoor advertising are also studied. Students identify basic design elements and principles and learn to apply color theory. They are introduced to lettering and typography. Performance portfolios will be developed and maintained by students.
Computer Aided Drafting and Design (CADD) - 2 Semesters (1 ½ Units Each) - Grades 11-12
Students in the CADD program learn the skills that enable them to prepare detailed drawings for engineering, architectural, and manufacturing purposes. Using sophisticated technology, students learn to complete plans and drawings that indicate how to construct machines, buildings and tools. Skills in blueprint reading, measuring, sketching, multi-view drawing, and parametric modeling are taught. Students learn the software programs AutoCad, Inventor, and Architectural Desktop. Students should posses a strong math background, have an interest in drawing, enjoy working with people, show creativity, and have an eye for detail.
Computer Technology - 2 Semesters (1 ½ Units Each) - Grades 11-12 Prerequisite – Computer Applications
Computer Technology emphasizes using microcomputers and software in a business setting. All students have individual work stations where they learn to apply Windows based word processing spreadsheet, database, data entry, desktop publishing, multimedia, and data communications. Upon completion of the course, students have the necessary microcomputer productivity skills that many employers seek for entry-level positions in their companies.
Construction - 2 Semesters (1 ½ Units Each) - Grades 11-12
Construction is designed to provide students with entry level and advanced skills in carpentry, plumbing, masonry, and electrical wiring. In carpentry, students learn the safe use of tools, blue print reading, house framing, and types and grades of building materials. Electrical wiring symbols, electrical device mounting, and electrical codes form the basis for the electrical wiring unit. In plumbing, students learn to use plumbing tools to install drains, fixtures, and faucets. In masonry, students learn to use the equipment and materials found in this career field. Students should have good math skills and mechanical aptitude, be physically fit, willing to work indoors/outdoors, and be a team player. Career opportunities and explorations are provided by representatives from various construction fields. Experience in this class will provide students with knowledge, skills, and incentive to go into fields such as architectural design, engineering, surveying, and project managing and supervision. Selected coursework may articulate with Gwinnett Technical College
Cosmetology - 2 Semesters (1 ½ Units Each) - Grades 11-12
The Cosmetology program serves as a gateway to becoming a hair stylist, color technician, nail technician, or make-up artist. Biology, anatomy, physiology, and chemistry terms are learned in relation to diseases and disorders of the scalp, hair, skin, and nails. Students learn to shampoo, cut, style, color and condition hair, give facials, apply make-up, and perform manicures and pedicures. Cosmetology students are required to perform their skills on mannequins and other students. Instruction also emphasizes professionalism, ethics, sanitation, salon management, and personality development. Work hours are recorded and are transferable to a postsecondary school in preparation for the State Board of Georgia Examination.
Early Childhood Education - 2 Semesters (1 ½ Units Each) - Grades 11-12
The Early Childhood Education program prepares students for a profession working with young children providing age appropriate education for them. Topics centering on a healthy, safe environment, child development principles, food and nutrition, curriculum development, and the educational instruction of the preschool child are emphasized. Students interested in the Early Childhood Education program should enjoy working with children, have a high energy level, be neat in appearance, demonstrate the ability to get along with others, and must be a good role model for children.
Electronics - 2 Semesters (1 ½ Units Each) - Grades 11-12 Prerequisite – Algebra I or Concepts of Problem Solving and Concepts of Algebra
Electronics is the study of electrical circuitry used in modern equipment such as computers and home entertainment systems. Circuit theory is proven by use of hands-on laboratory experiments and computer simulations. The electronics students apply electrical and electronic principles to construct and repair residential and industrial electronic equipment. Skills learned include soldering, splicing, and analyzing AC/DC circuits. In addition, solid state electronics and digital circuits are stressed. Students must demonstrate analytical skills and attention to detail.
Graphic Communications - 2 Semesters (1 ½ Units Each) - Grades 11-12
The Graphic Communications program provides a foundation in the creative, pre-press production and printing professions. Students learn basic design and layout, image creation and manipulation, document design, pre-press procedures, plate making, offset press operation and bindery techniques. Multiple projects ranging from print design (using Adobe PhotoShop, InDesign and Illustrator software programs) to web-based graphics (using Adobe Flash animation and DreamWeaver web design software) are produced by students. From initial concept through the design phase and on to final production students receive a hands-on experience. Students are allowed a range of creativity within the structured projects. Basic computer knowledge and skills is an asset in navigating the software this class uses. Students may use this program as a foundation for entering graphic design, pre-press production, promotional, public relations, advertising, offset press operation, bindery or business oriented graphic communications professions.
Horticulture - 2 Semesters (1 ½ Units Each) - Grades 11-12
Greenhouse management, landscape and floral design are emphasized in the Horticulture program. Students study the techniques of flower and plant production, soils, nutrients, and the propagating/transplanting of plants and foliage. Instruction in design techniques for landscaping and drawing to scale of landscape plans are part of this program. Students study the use, growth, and proper care of plants, ground cover, trees, and shrubs for landscaping. The floral design aspect of horticulture will assist in preparing students to enter the floral trade with entry level skills. Business management for the floral and garden center industries is also stressed. Students will experience hands-on applications in the classroom, the greenhouse, and outdoors.
Public Safety - 2 Semesters (1 ½ Units Each) - Grades 11-12
Students enrolled in the Public Safety program are provided instruction in the areas of police work, court protocol, corrections, and private security. Students will also gain experience in speaking, writing and interviewing techniques. Officer safety skills, testimony in a courtroom, crime scene investigation, and careers in law enforcement are part of the program. Close coordination with state and local agencies adds substance to the various areas of study. Students successfully completing the Law Enforcement program will possess skills helpful for transition into postsecondary law enforcement programs.
Technical Apprenticeship - 2 Semesters (1 ½ Units Each) - Grades 11-12 Prerequisite - 3 Units in Technical Concentration
The program provides an opportunity for a student who has selected a career major and completed two semesters in a Maxwell technical program to pursue employment in his/her career major during the senior year in high school. Students will meet with the Apprenticeship Coordinator on a pre-arranged schedule to complete required documentations and assignments. Decision-making, problem solving, and time management skills are essential. Students may take the course to satisfy the one unit technical requirement.
Welding - 2 Semesters - (1 ½ Units Each) - Grades 11-12
This program is designed to develop knowledge and skills in industrial and construction welding with emphasis on metal fabrication, shielded metal arc welding (SMAW), MIG arc welding (GMAW, FCAW), use of TIG welding equipment, welding inspections, employability skills, leadership development, and safety.
Healthcare Science Technology
Intro to Healthcare Science Technology - 1 Semester (1 ½ Units Each) - Grades 11-12
The Medical Services program exposes the student to a wide range of medical career opportunities, assists in narrowing down careers in terms of the student's own aptitudes and interests, and provides the student with the academic knowledge, skills and training for entry level positions or post secondary education in health care services. The program prepares the student for the m8ltiple roles one encounters in life by developing decision-making skills based on explorative and educational experiences. This course is a pre-requisite for all Healthcare Science Technology Programs offered at Maxwell High School of Technology.
HSTE-I Nursing Essentials - 1 Semester (1 ½ Units Each) - Grades 11 -12
In the Certified Nursing Assistant program students will be trained in clinical skills required to provide bedside nursing care to the sick and injured. Some of the skills are assisting the patient with hygiene, ambulation, and nutrition. Students will be provided a clinical opportunity at local medical and or nursing care facilities. This program contains all the State required components for the students to be eligible to be tested for their certification as a Certified Nursing Assistant upon successful completion of all requirements. Students must have successfully completed HSTE I or the equivalent.
HSTE-I Emergency Services - 1 Semester (1 ½ Units Each)
Emergency Services is a course in the Therapeutic Services Career Pathway. This course is designed to introduce students to emergency medical care by providing an overview of EMS operations; medical, legal, and ethical issues that impact emergency care; anatomy and physiology; emergency packaging and transferring of patients. Upon completion of this course and prerequisites students who successfully master these standards may be eligible to sit for First Responder exam. Students must have successfully completed HSTE I or the equivalent.
HSTE-I Application of Healthcare Science Technology - 1 Semester - (1 ½ Units Each)
The Medical Services program exposes the students to a wide range of medical career opportunities, assist in narrowing down careers in terms of the student's own aptitudes and interest, and provides the student with the academic knowledge, skills and training for entry level positions or post secondary education in health care services. Master if these standards through project based learning, technical skills practice, and leadership development activities of the career and technical student's organization (SkillsUSA) will provide students with a competitive edge for either entry into the global marketplace and/or the post-secondary institution of their choices to continue their education training. Students must have successfully completed the HSTE I or the equivalent.
TECHNOLOGY EDUCATION
To earn a Technology/Career-Preparatory Diploma, students must complete three courses within one Technical area of concentration plus one related course. Technology Education offers a concentration of courses that qualify for the Technology/Career-Preparatory. Careful course planning is required to achieve the concentration. See your counselor/teacher/advisor for further information on planning for the Technology/Career-Preparatory Diploma.
Introduction to Technology - 2 Semesters - Grades 9-10
This course introduces the three technology education clusters (energy and power, production and communication) and emphasizes increased capability with a greater variety of tools, materials, processes, career awareness and reinforcement of basic skills and core competencies. Students will be instructed using a modular delivery system for computer-aided drafting, computer-aided publishing, computer numerical control, robotics, fluids, automation, lasers and alternative energy. Students will work in individual, team, and group activities.
Mechanical Drafting - 2 Semesters - Grades 9-12
This course is designed to introduce analytical and critical thinking skills in the context of technical drafting. The student will study the principles of drafting using various materials, instruments, and drafting tools. Drafting techniques are developed and applied to the production of mechanical drawings. Emphasis is placed on laboratory process, including both manual drafting skills and computer aided drafting (CAD) techniques.
Architectural Drafting and Design - 2 Semesters - Grades 10-12 Prerequisite - Mechanical Drafting
Architectural Drafting and Design introduces the student to the residential and commercial design concepts through analytical design analysis. This course is designed to familiarize the students with the fundamentals of quality design and the construction of residential models utilizing mechanical drafting and/or CADD. Architectural Design Students apply architectural design concepts to development of computer projects. The student will advance in the area of residential design and commercial development. This course is designed to develop advanced manual drafting techniques and expand computer aided drafting (CAD) skills.
Electronic Systems - 2 Semesters - Grades 10-12 Prerequisite - Algebra I Recommended
This course introduces students to the fundamental theories and laws of electricity and electronic systems. The student is engaged in critical thinking and problem solving processes in the context of electricity and electronic systems. Theory, operations and applications are explored further in the electronics field. Students learn about basic components, their characteristics, and theory of operation. Career opportunities are explored.
Engineering Tech: Construction – 1 Semester - Grades 10-12 Prerequisite - Technology Education Teacher Recommendation
This course is an advanced opportunity to develop and use critical thinking and analytical skills in the area of structural/construction engineering. In addition, the student will work independently, as a class member, and as a small team member in a modular setting. The student will have the opportunity to be involved in problem solving processes in many different areas of technology. Some of the areas include: Structural Engineering; Robotics, Laser and Satellite Communication; Computer Aided Drafting; Radio Communications; Aerodynamics; Flight and Aviation; Computer Numerical Control; Weather and Meteorology; Transportation and Computer Animation. The course also prepares the student to make more meaningful career and educational decisions in choosing to continue his/her training at the secondary level or to pursue postsecondary education in a technical school or college.
Engineering Tech: Communications - 1 Semesters Grades - 11-12 Prerequisite - Technology Education Teacher Recommendation
This course is designed to meet the needs of the student advanced in the area of communications engineering and serves as an extension to the previous Engineering Technology courses. The student will have the opportunity to be involved in additional problem solving processes with communications technologies. The course continues to prepare the student to make more meaningful career and educational decisions in choosing to continue his/her training at the secondary level or to pursue postsecondary education in a technical school or college.
Engineering Tech: Manufacturing – 1 Semester – Grades 10-12 Prerequisite – Technology Education Teacher Recommendation
This course is designed to meet the needs of the student advanced in the area of manufacturing engineering and serves as an extension to the previous Engineering Technology courses. The student will have the opportunity to be involved in additional problem solving processes involving the manufacturing process. The course continues to prepare the student to make more meaningful career and educational decisions in choosing to continue his/her training at the secondary level or to pursue postsecondary education in a technical school or college.
Engineering Tech: Transportation – 1 Semester – Grades 10-12 Prerequisite – Technology Education Teacher Recommendation
This course is an advanced opportunity to develop and use critical thinking and analytical skills in the area of transportation. The student will have the opportunity to be involved in additional problem solving processes in the field of transportation and engineering. The course continues to prepare the student to make more meaningful career and educational decisions in choosing to continue his/her training at the secondary level or to pursue postsecondary education in a technical school or college.
Communications Technology - 2 Semesters - Grades 10-12
This course is designed to develop analytical and thinking skills in the area of communications. Students will focus on communication systems such as: data communication, audio and video, optic, technical design and graphic production. Students will work as a group and independently with an emphasis on research, materials, equipment, and technological processes related to the communications industry. Students will study additional concepts in communication systems such as: data communication, audio and video, optic, technical design, and graphic production. This course also prepares the student to make more meaningful career and educational decisions. Career opportunities are explored.
Power and Energy - 1 Semester - Grades 9-12
This course familiarizes the student with the various sources of power. It begins with the study of early sources of power and includes most recent developments of power and energy technology. Students are introduced to the fundamentals of engines and their construction, operation, and applications. Emphasis is placed on alternative energy sources.
WORK-BASED LEARNING
Apprenticeship/Internship - 2 Semesters - Grades 11-12 Pre-requisite: Must be at least 16 years of age
Students will practice key roles in a workplace setting where a school-site mentor and a work-site mentor help a student explore a career of interest that has been supported by academic coursework. Students will complete an in-depth portfolio capturing their experience at their work-site as well as highlights of academic achievement, community involvement and occupational research. This program is designed for students who plan to continue their education at a post-secondary institution. It is recommended that students complete a total of 2,000 hours of work during their secondary and post secondary education in their chosen career field to complete the apprenticeship program. In order to be an Apprentice in Education, a student must successfully complete 1 unit of Careers in Education.
OTHER ELECTIVE COURSES
Careers in Education - 2 Semesters - Grades 11-12
Prerequisites: 80% or above GPA, Excellent Attendance and Discipline Record, Teacher
Recommendations, and FEA Membership
CIE, Careers in Education, is unlike any other course students have had the opportunity to experience. The class is comprised of highly motivated juniors and seniors who have an interest in pursing education as a future career. The course includes college level introduction curriculum as well as basic foundations of teaching which some state colleges and universities accept upon course completion for college credit or field experience hours. The course includes team-building activities, personal skillbuilding, developmental stages, learning styles, cooperative learning, classroom management techniques, ethics, as well as many other topics crucial to the field of education. After an intensive training process, students will enter a classroom of their interest to work directly with a teacher and students. This field experience is usually four days a week with the other day specified for continued classroom training. The class is unlike any other course due to the responsibility given to each student who participates. Students who think they want to become a teacher, coach, or administrator should definitely apply for this course.
SAT Prep - 1 Semester - Grades 11-12
This course reviews the content for both the critical reading and math sections of the SAT. The focus of the critical reading section is building vocabulary, critical reading and critical thinking skills that will serve the student beyond simply preparing for the test. The math instruction concentrates on problem solving, reasoning and conceptual understanding. The course approaches test preparation by teaching students to think critically and to apply a variety of strategies for solving both verbal and math problems presented in SAT format.
Library Science I - 2 Semesters - Grades 10-12 Prerequisite - Recommendation of Media Specialist
Library Science I is an introduction to the classification, location and use of media center resources and the utilization of instructional equipment. Library science and information literacy skills are taught through media activities.
Library Science II - 2 Semesters - Grades 10-12
Prerequisite - Library Science I and Recommendation of Media Specialist
Library Science II is an in depth study of the classification, location and use of media center resources and the utilization of instructional equipment. Advanced library science and information literacy skills are taught through media activities.
Library Science III - 2 Semesters - Grades 10-12 Prerequisite - Library Science I, II and Recommendation of Media Specialist
This course is designed to meet the needs of advanced library science students. Independent units and projects are designed for the individual student.
Peer Facilitation II - 2 Semesters Prerequisite - Recommendation of Counselor
This course enhances skills learned in Peer Leadership and provides practice in modifying instructional methods and materials, enabling communication, and demonstrating appropriate social interaction skills.
Adapted Careers - 4 Semesters - Grades 10-12
These courses introduce students to the career planning process. Students will apply skills learned by exploring careers, filling out application forms, preparing resumes, demonstrating interview techniques, job keeping and job changing skills. Career opportunities such as apprenticeships are explored. Students enrolled in these courses are pursuing an Individualized Education Diploma.
VPP Careers - 4 Semesters - Grades 10-12
These courses introduce students to the career planning process. Students will apply skills learned by exploring careers, filling out application forms, preparing resumes, demonstrating interview techniques, job keeping and job changing skills. Career opportunities such as apprenticeships are explored. Students enrolled in these courses are pursuing an Individualized Education Diploma and are in the VPP program.
Gifted Directed Study - 8 Semesters - Grades 9-12
Prerequisite - This course is for identified gifted students.
Under the supervision of a gifted program teacher, students complete and present an individual research project planned and developed through extensions of AKS. Curriculum areas available include language arts, mathematics, science, social studies, fine arts, modern languages, classical languages, and general electives. Students expand their individual interest and creativity while learning to develop adult behavior such as self motivation, planning, prioritizing, and task completion.
Affective Skills - Up to 8 Semesters - Grades 9-12
Prerequisite: Special Education recommendation and must have a need documented on IEP.
This course addresses the social and emotional needs of students. Areas stressed are appropriate behavior in the classroom, problem solving, and peer relations. Appropriate techniques and methods to support regular classroom performance are also addressed. The end result is for students to display positive attitudes, to be recognized and accepted by others, and behave in a socially acceptable manner.
Gifted Internship - Up to 4 Semesters - Grades 11-12 (Numerical Grade) Prerequisite - This course is for identified gifted students.
Students spend a portion of the school day in an in-depth career exploration with a mentor in the community. As interns, students gain specific knowledge of a career as they experience the day to day routine. They expand their social and intellectual skills through interaction with a successful role model in a career area in which the students are personally interested. At the end of the semester, presentations by students highlight the career and their work experiences. Career curriculum areas include those associated with language arts, mathematics, science, social studies, fine arts, modern languages, classical languages and general electives.
Postsecondary Options Elective Courses (Numerical Grade) Postsecondary English - 2 Courses Postsecondary Social Studies - 1 Course, Postsecondary Fine Arts - 2 Courses, Postsecondary Business Education - 2 Courses
Prerequisite - Eligibility For Postsecondary Options Program
College level elective studies in the designated subject area are offered as cooperative courses through a Georgia public college, university, or technical institution. Carnegie unit credit is determined at the following rate; each 7.5 quarter hours equals 1 Carnegie unit, each 5 semester hours equals 1 Carnegie unit. See Glossary for further information regarding Joint Enrollment Program.
Study Skills - Up to 8 Semesters - Grades 9-12 (Numerical Grade) Prerequisite - Students must be registered by a Special Education Teacher and must have such
need documented on his/her IEP.
This course is designed to assist eligible special education students with appropriate techniques and methods to support regular classroom performance. This course includes, but is not limited to organizational skills, time management, memory techniques, and test-taking tips.
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INTEGRAL JOINS THE 3RD INTERPLANETARY NETWORK
K. Hurley 1 and A. Rau, A. von Kienlin, G. Lichti 2
1 University of California, Space Sciences Laboratory, Berkeley, CA 94720-7450, USA 2 Max-Planck-Institut f¨ur Extraterrestrische Physik, 85748 Garching, Germany
ABSTRACT
The BGO anticoincidence shield of the SPI detectors has a maximum effective area of over 5000 cm 2 , and operates in the energy range >75 keV. It was incorporated into the 6- spacecraft interplanetary network shortly after launch. It detects about one confirmed burst every three days, and has detected over 125 cosmic and soft gamma repeater bursts since it started operation. It also detects numerous other bursts which are below the thresholds of the other IPN instruments and are therefore unconfirmed, but which are almost certainly cosmic. We describe the operation of the SPI-ACS and some of its unique features, and explain how the data on bursts are being utilized by the scientific community.
Key words: gamma rays; gamma-ray bursts; soft gamma repeaters.
1. INTRODUCTION
Despite the great progress which has been made in understanding the nature of cosmic gamma-ray bursts (GRBs), a number of fundamental questions remain, among them:
* What is the nature of the short GRBs?
* Are all long-duration GRBs associated with Type Ic supernovae or hypernovae?
* What is the nature of the "dark" or radio-quiet bursts, which display no long wavelength afterglows?
* Can examples be found of bursts which are outside of their host galaxies, as might be expected in some cases in the merging neutron star model?
* How many GRBs display strong linear polarization in their prompt gamma-ray emission?
The detection, localization, and multiwavelength follow-up observations of many more bursts will be required to answer these and other questions. Thus INTEGRAL's capability to detect and localize bursts with the spectrometer anticoincidence shield (ACS) in the 3rd Interplanetary Network (IPN) of gammaray burst detectors is an important one, which complements IBIS's independent GRB localization capabilities.
2. THE ANTI-COINCIDENCE SUBYSTEM OF THE INTEGRAL SPECTROMETER SPI
INTEGRAL's SPI germanium detectors are shielded on the side and bottom by a large anticoincidence shield, consisting of 91 BGO crystals whose thicknesses are 1.6 – 5 cm and whose maximum effective area is ∼ 5250 cm 2 at 100 keV (von Kienlin et al. 2003). At the urging of numerous people (e.g. Hurley 1997) it was decided to enable this system to provide data on cosmic gamma-ray bursts. Thus 50 ms count rates for a single energy channel >75 keV are transmitted to the ISDC, where ground-based trigger software searches for statistically significant increases, filters out false events, and identifies bursts. Burst data, including a light curve and spacecraft ephemeris, are placed on a public website, and a burst alert is sent out to subscribers in near-realtime. Figure 1 shows the SPI and the ACS. As an example, figure 2 shows the time history of GRB021206 as observed by the ACS.
3. THE 3RD INTERPLANETARY NETWORK
Interplanetary networks of gamma-ray burst detectors have been in operation since the late 1970's. They localize GRBs by timing their arrival at various spacecraft. The current IPN began in late 1990, with the launch of the Ulysses spacecraft. Today, it comprises Ulysses, INTEGRAL, Konus-Wind, HETE-II, Mars Odyssey, and RHESSI. Despite the great diversity of detector shapes, sizes, time and energy resolutions, and experiment configurations (table 1), these
1
missions have all been successfully integrated into the IPN, and ∼ 800 localizations have been published in seven catalogs in the Astrophysical Journal to date (Hurley et al. 1999a,b, 2000a,b,c; Laros et al. 1997, 1998). Localization data for these and other bursts may also be found on the IPN website (ssl.berkeley.edu/ipn3/index.html).
One advantage which the INTEGRAL SPI–ACS data bring to the IPN is their ability to resolve alternate error boxes. When an IPN has just three widely separated spacecraft, it produces two annuli which intersect at two locations. If none of the instruments has sufficient directional capability, it is impossible to choose the correct location. This is also true even when an IPN has more than three spacecraft, if some of them are very close to one another (e.g., in near-Earth orbit). In effect, such spacecraft count as a single point in the network because they are separated by distances which, expressed in lightseconds, are smaller than the uncertainties in crosscorrelating their time histories. INTEGRAL's eccentric orbit, however, means that it is not redundant with respect to the near-Earth missions; a burst observed by Ulysses, Mars Odyssey, INTEGRAL, and any other Earth orbiting spacecraft can be triangulated to a single error box, without using the directional capability of any instrument.
HETE, and soon, Swift, can localize GRBs almost in real-time, whereas the IPN delays are of the order of 10 hours. Is the IPN still useful under these conditions? The answer is yes, for several reasons. First, HETE and Swift view only about 1/10th of the sky, while the IPN is isotropic. Thus the detection rate for bursts above the IPN threshold is roughly 10 times that of HETE and Swift. These bursts tend to be the brighter ones, and it is often possible to do special analyses of their properties. A good example is GRB021206 (figures 2 & 3), for which RHESSI discovered 80% linear polarization in gamma rays (Coburn & Boggs 2003), and which has been used to set limits on quantum gravity (Boggs et al. 2004). Because the arrival direction of this burst was only 18 ◦ from the Sun, it was not detected by HETE, and probably would not have been detected by Swift for the same reason. Second, the IPN can monitor the entire sky for repeating sources, such as the Soft Gamma Repeaters, the bursting pulsar, and similar phenomena. Third, sensitive searches are now underway for neutrino, gravitational radiation, and very high energy gamma-ray emission by experiments such as AMANDA (Ahrens et al. 2003), LIGO (Katsavounidis 2003), and Milagro (Noyes 2003). These experiments do not require rapid notification of bursts, or even, in many cases, small error boxes, but they do rely in some cases on the co-addition of the responses to many GRBs to achieve their sensitivities; also, to first order, one might expect that detections will come from studying the more intense events. Thus the IPN data are ideally suited to these efforts.
Table 1. Comparison of experiments in the Interplanetary Network.
4. BRINGING THE SPI-ACS INTO THE IPN
Over the past year, we have assisted the ISDC in finetuning the trigger algorithm to maximize the number of true bursts while minimizing the number of false alerts. This involved examining many triggers for evidence of confirming data from other IPN spacecraft, and setting not only the trigger threshold, but also the acceptable portions of the INTEGRAL orbit (to avoid particle triggers). The present SPI-ACS burst alert rate is 1/1.3 days. Many of these are valid cosmic events, even though they cannot all be verified by the less sensitive IPN experiments. Second, we have developed software to use the SPI-ACS burst alerts to automate the retrieval of GRB data from the public website; once the data are retrieved, automatic searches for the burst in the data of the other IPN experiments are conducted. Third, using the known positions of both GRB sources and soft gamma repeaters observed by the ACS, we have verified that the INTEGRAL timing is good to ∼ 100 milliseconds, which is quite adequate for almost all IPN applications; we are currently attempting to refine this. Fourth, we have instituted a procedure where localization data on almost every burst is sent out via the GRB Coordinates Network. (Previously, only small, rapidly-determined error boxes were circulated, for the benefit of optical and radio astronomers.) This was done to accommodate the new requirements of experimenters searching for neutrino, gravitational radiation, and VHE gammaray emission in conjunction with GRBs. To date, over 100 GCNs involving SPI-ACS data have been sent out, or 1/3.7 days. Finally, we confirmed or refined IBIS-only localizations of GRBs by providing IPN annuli for four bursts (GRB021219, 030131, 030320, and 030501) and an IPN error box for a fifth (GRB021125 - figure 3). A statistical analysis of the SPI-ACS burst sample is presented elsewhere (Rau et al. 2004).
5. FUTURE WORK
We will continue to issue GCN reports for all GRBs and SGRs which have localizations, in order to support ground- and space-based experiments studying multi-wavelength, neutrino, and gravitational radiation emission from these sources. Our effort will also support INTEGRAL-IBIS, HETE, and Swift burst localizations in some cases by reducing the areas of their error circles, as it has done in the past. It should also be possible to trigger Swift pointed observations of interesting GRBs.
REFERENCES
Ahrens, J., et al., 2003, ApJ 583, 1040 Bazzano, A. & Paizis, A., 2002, GCN Circ. 1706
Boggs, S., et al., 2004, ApJ, Submitted, astroph/0310307
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Coburn, W. & Boggs, S., 2003, Nature 423, 415 Frail, D. et al. 2003, GCN Circ. 2280 Gros, A. & Produit, N., 2002, GCN Circ. 1714 Hurley, K., 1997, in The Transparent Universe, ESA SP-382, 491 Hurley, K., et al., 1999a, ApJS 120, 399 Hurley, K., et al., 1999b, ApJS 122, 497 Hurley, K., et al., 2000a, ApJ 533, 884 Hurley, K., et al., 2000b, ApJ 534, 258 Hurley, K. et al., 2000c, ApJS 128, 549 Hurley, K. et al., 2002, GCN Circ. 1709 Hurley, K. et al., 2003, GCN Circ. 2281 Katsavounidis, E., 2003, April APS Meeting, Paper H5.004 Laros, J. et al., 1997, ApJS 110, 157 Laros, J. et al., 1998, ApJS 118, 391 Lichti et al., G. et al., 2000, AIP Conf. Proc. 510, 722 Noyes, D., 2003, April APS Meeting, Paper P9.003 Rau, A., et al., 2004, these proceedings von Kienlin, A., et al., 2003, Proc. SPIE, Vol. 4821, 1336
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DAV Senior Secondary Public School Lakkar Bazar, Shimla – HP
Academic Calendar : 2023-24
circle)
अक्षर
| | CELEBRATIONS |
|---|---|
| ❖ Holi Celebration ❖ B’ day ❖ Red colour day | |
| ❖ Himachal Day ❖ B’ day ❖ Yellow colour day | |
| ❖ Mother’s Day ❖ B’day ❖ Blue colour day | |
Class – LKG
THEME FOR THE MONTH — GOOD MANNERS (JUNE)
Drawing book -pages 19-24
Shape:
अक्षर
Shape:
अक्षर
अक्षर
अक्षर
❖ Fun with races
*
Bitter gourd printing impressions
and making(origami doll)
अक्षर
अक्षर
Revision
folding match
tree
| | MY MENU |
|---|---|
| MONDAY : PROTEIN DAY CHEESE/ Matar/Black chana (in any form) with chapati | |
| WEDNESDAY : GREEN DAY Green vegetable with chapatti | |
| FRIDAY : FRIED DAY Stuffed parantha/Bread pakora or puri | |
CLASS – UKG
SYLLABUS
CELEBRATIONS
ACTIVITIES
THEME FOR THE MONTH — ME AND MY SCHOOL (February & March)
❖ Paper Tearing
Hindi
CLASS – I
SYLLABUS
IMPORTANT DAYS
ACTIVITIES
THEME FOR THE MONTH — Inculcating Hobbies ( March)
SYLLABUS
IMPORTANT DAYS
ACTIVITIES
THEME FOR THE MONTH — INCULCATING ETIQUETTES (March)
English
Hindi :
Maths :
Science :
English :
Hindi :
Science :
English
Hindi
Science :
English
Hindi
Maths :
English
Hindi
Maths :
Science :
Class – II
English
Hindi :
Maths :
English
Hindi
Maths :
English
Hindi
Maths :
Hindi:
Maths:
Hindi:
Maths:
Hindi:
Hindi:
CLASS – III
SYLLABUS
ACTIVITIES
IMPORTANT DAYS
June
June
June
English:
THEME FOR THE MONTH — integrity & honesty (July)
Reader –Unseen Passage Pages 71, 72Reader– Pages 53 – 71
Hindi-
World Population Day
Writing –Informal Letter. Practice Book– Unit 5
11
th
July
नार्क मंचन
Hindi
Hindi:
Hindi:
Maths :
Hindi
| | So. Science – Model Making |
|---|---|
| | English– Spell Bee |
| | Science: Flow Chart |
| | Maths- Length Activity |
| | English– Declamation |
| | Hindi : Project |
| | So. Science – Project |
| Science – Quiz Maths- Mental Activity | |
| So. Science – Quiz Maths - Calendar Game Hindi- भाषर् प्रततयोतिता | |
| Revision & Exam (Term 2) | |
English:
Hindi:
Maths :
English:
Hindi:
Maths
English:
Hindi:
Maths :
English:
Hindi:
Maths :
CLASS – IV
SYLLABUS
ACTIVITIES
IMPORTANT DAYS
THEME FOR THE MONTH — integrity & honesty (July)
Reading
English:
– Page 118 – 119 of Practice BookWriting– Story Writing
So. Science
– Indoor and Outdoor games/ assignment 1
World Population Day
11
th
Hindi:
Maths :
Hindi:
Maths :
Hindi:
Maths :
Science
Hindi:
Maths :
English:
Hindi:
Maths :
| | English– Spell Bee | |
|---|---|---|
| | Hindi- | नारक् मंचन |
| | Science– Flow Chart | |
| | English– Declamation | |
| | Hindi– Project | |
| | So. Science – Project | |
| | Maths – Dream house with grid | |
| Science – Quiz | | |
| | Science – Quiz | |
| | Hindi- भाषर् प्रततयोतिता | |
| | So. Science – Quiz | |
| | Maths – Calendar Game | |
| English- Declamation Revision & Exam (Term 2) | | |
| | English- Declamation | |
| | Revision & Exam (Term 2) | |
July
15
th
CLASS – V
SYLLABUS
ACTIVITIES
Important days
Hindi
| Maths - Cheque making Science – Poster making Sanskrit : स्िपरिचय | |
|---|---|
| English : Poem Recitation Hindi- कविता – िाचन So. Science – Model making (Types of Houses) | |
| | English : Writing Activity |
| | Sanskrit : quiz |
| | Maths : Quiz |
| | Science – Photo Gallery |
| Term 1 DS : Bhajan Hindi : पोरटफ् ोलियो | |
THEME FOR THE MONTH — integrity & honesty (July)
Reading –
English:
Pages 124 of Practice BookWriting– E mail Writing
English –Spell Bee
Practice Book– Topic 7,8Reader– Pages 73 - 80
World Population Day
Class – VI
SYLLABUS
ACTIVITIES
CELEBRATIONS
June
June
June
THEME FOR THE MONTH — Positive Attitude (July)
World Population Day
August
English : Literature: Lesson 7 Practice Book: Unit 7
Writing skills: e-mail , notice writing
Hindi : Kku lkxj - ikB 11, 12
vH;kl iqfLrdk-ikB 11, 12
Maths : Chapter 3, 14Science : Chapter 8
So. Science : Geography – Chapter 5History– Chapter 14
Sanskrit : ikB 7
स्रीलिङ्
,
अव्यय,
उपसगट
Computer: Chapter 6
Naitik Shiksha : ikB 11,12 , 13
GK: Pages 52-60
English : Declamation
Science : Flow chart, Plantation, Activities
Sanskrit : Assignment 3
So. Science : Project
Hindi : Assignment 2
Maths : Assignment 3
11
th
July
World National
Conservation Day
28
th
July
THEME FOR THE MONTH — Freedom struggle (August)
English : Literature: Lesson 8,9 Reader: Unit 4
Practice Book: Unit 8,9 Writing Skills : Paragraph Writing, Diary Entry
Hindi : Kku lkxj-ikB 13, 14, 15vH;kl iqfLrdk-ikB 13, 14, 15
Maths : Chapter 13Science : Chapter 9 , 10
So. Science : Geography- Chapter 6History- Chapter 15, 16, 17
Sanskrit : ikB8,9
शब्दरूप,
कािक
Computer : Chapter 7
Naitik ShikshaikB14,
15, 16
GK : Pages 61-70
Science : Assignment 3, Activities, Best out of waste
Sanskrit : izgfydk ifj;kstuk
कायट
DS : Enactment
English : Listening
Maths: Word Problem
Hindi : ifj;kstuk
कायट
So. Science: Project
Int. Friendship Day
7
th
August
Independence day
15
th
August
National Sports Day
29
th
THEME FOR THE MONTH — Literacy & career options (September)
English : Literature: Lesson 10 Reader: Unit 5
Practice Book: Unit 10 Writing Skills : Report writing, Speech
Hindi : Kku lkxj-ikB 16, 17 ,18vH;kl iqfLrdk-ikB 16, 17 ,18
Maths : Chapter 5,11,15Science : Chapter 11, 12
So. Science : History- Chapter 18,19Civics- Chapter 23
Sanskrit :
ikB 10 उपपद विभक्तत
Computer : Chapter 8
Naitik Shiksha : ikB17 ,18GK : Pages 71 -80
English : Writing contest
Science : Quiz
Hindi :
पोर्टफोलियो
So. Science : Election
Maths : Assignment 4
Sanskrit : Assignment 4
Teachers' Day
5
th
September
Hindi Diwas
14
th
September
THEME FOR THE MONTH — Festivity (October/ November)
English : Literature: Lesson 11 Reader: Unit 6 Practice Book: Unit 11
Writing Skills : Revision
Hindi: Kku lkxj - ikB 19, 20, Ikqujko`fr
vH;kl iqfLrdk: ikB 19, 20,Ikqujko`fr
Maths : Chapter 6, 7, 12Science : Chapter 13 & 14 ,Revision
So. Science : Geography– Chapter 7History- Chapter 20
Civics- Chapter 24 & Revision
Sanskrit :
ikB 11 & प्रत्यय,संख्या 1-100,पुनिािवि
Computer: Revision
Naitik Shiksha :
ikB 19,20
GK : Pages 81-90
English : Poetry Competition
Science : Assignment 4, Activities, Extempore
So. Science : Quiz
Hindi : Assignment 3
Maths: Verify angle sum property of Δ
Gandhi Jayanti
2
nd
October
Children's Day
14
th
November
Class – VII
SYLLABUS
ACTIVITIES
CELEBRATIONS
THEME FOR THE MONTH — Women empowerment (Feb, Mar)
THEME FOR THE MONTH — Positive Attitude (July)
English : Literature: Lesson 7
Practice Book : Unit 7
World Population Day
11
th
Writing Skills : Informal letter, Article
Hindi : Kku lkxj - ikB 11, 12
vH;kl iqfLrdk - ikB 11, 12
Maths : Unit 4Science : Chapter 9GK : Page 69 75
So. Science : Geography- Chapter 5Civics- Chapter 21
Sanskrit :
ikB 7 विशेषण – विशेष्य
Computer: Chapter 5Naitik Shiksha :
ikB 11, 12, 13
So. Science : Project
Sanskrit : Assignment 3
Hindi :
दोहों का सस्वर वाचन / कंठस्थ करवाना
Maths : Assignment 3
World National
Conservation Day
28
th
July
THEME FOR THE MONTH — Freedom struggle (August)
English : Literature: Lesson 8,9 Reader: Unit 5 Practice Book: Unit 8,9
Writing Skills : Speech writing, Invitation Card (informal)
Hindi : Kku lkxj - ikB 13, 14, 15
vH;kl iqfLrdk - ikB 13, 14, 15
Maths : Unit 5Science : Chapter 10, 11 GK : Page 76 - 85
So. Science : Geography– Chapter 6History- Chapter 14, 15
Sanskrit :
ikB 8 सिटनाम प्रयोग
Computer : Chapter 6Naitik Shiksha : ikB
14, 15, 16
Maths: Quiz
Hindi : Assignment 3,
पोर्टफोलियो
Sanskrit :
श्लोक उच्चारर्
Science : Assignment 3, Activities, Best out of
waste
English : Poetry Competition
So. Science : Assignment 3, PowerPoint
Presentation
Int. Friendship Day
7
th
August
Independence day
15
th
August
National Sports Day
29
th
August
THEME FOR THE MONTH — Literacy & career options
(September)
English : Literature: Lesson 10,11 Reader: Unit 6(half) Practice Book: Unit 10
Writing Skills : Letter writing -Formal and Informal
Hindi : Kku lkxj – ikB 16, 17,18vH;kl iqfLrdk-ikB 16, 17,18
Maths : Unit 7, 9Science : Chapter 12, 13, 14GK : Page 86 -97
So. Science : Geography- Chapter 7History- Chapter 16Civics- Chapter 22
Sanskrit :
ikB 9 उपपद विभक्तत , सक्धध प्रयोग
Computer : Chapter 7Naitik Shiksha :
ikB
17, 18, 19
Science : Quiz, Activities
Hindi : नाट्य मंचन
Sanskrit –dFkkys[kue
So. Science : Quiz
Maths : Assignment 4
Sanskrit : Assignment 4
English : Listening Activity
Teachers' Day
5
th
September
Hindi Diwas
14
th
September
THEME FOR THE MONTH — Festivity (October/November)
English : Literature: Lesson ASL, Revision Reader: Unit 6 (cont.)
Practice Book : Unit 11 & 12
Hindi : Kku lkxj –19, 20, Ikqujko`fr vH;kl iqfLrdk-19, 20, Ikqujko`fr
Maths : Unit 10, 11, 14Science : Chapter 15, 16, 17 & Revision
So. Science : Geography– Chapter 8History- Chapter 17
Civics- Chapter 23, RevisionSanskrit :
ikB
10
पर,
गचर िेखन
GK : Revision
Computer: Chapter 8 & RevisionNaitik Shiksha : ikB 20 & Ikqujko`fr
English : Assignment 4
Maths: Perimeter and area of 2D figures
(Cutting and pasting)
Science : Assignment, Activities, Extempore
So. Science : Group discusion
Sanskrit: lwfDrladye
Hindi : Assignment 4
Gandhi Jayanti
2
nd
October
Children's Day
14
th
November
July
English : Declamation
Science : Plantation, Flow Chart
So. Science : Project
Sanskrit : Assignment 3
Hindi :
दोहों का सस्वर वाचन / कंठस्थ करवाना
Maths : Assignment 3
Class – VIII
SYLLABUS
ACTIVITIES
CELEBRATIONS
THEME FOR THE MONTH — Women empowerment (Feb, Mar)
THEME FOR THE MONTH — Positive Attitude (July)
English: Skit
English : Literature: Unit 7 Reader: Unit 4 Practice Book : Unit 6, 7
World Population Day
Writing Skills : Notice, Formal Letter
Hindi : Kku lkxj:-ikB 11, 12vH;kl iqfLrdk:- ikB11, 12
Maths : Unit 3, 12Science : Chapter 3
So. Science : Geography- Chapter 5History- Chapter 13, 11
Sanskrit :
ikB 7 प्रत्यय ,पुनिािृवि
Computer : Chapter 6
Naitik Shiksha :
ikB 12,13GK : Page 80-90
So. Science : Project
Science : Plantation + Activities
Sanskrit : Assignment 3
Maths : Assignment 3
Hindi :
पोर्टफोलियो
11
th
July
World National
Conservation Day
28
th
July
THEME FOR THE MONTH — Freedom struggle (August)
English : Literature: Unit 8,9
Practice Book : Unit 8, 9(half)
Writing skills : Bio-skech , Message, Passage 1, 2
Hindi : Kku lkxj:-ikB 13, 14, 15vH;kl iqfLrdk:- ikB13, 14, 15
O;kdj.k-
lekl lfU/k] vuqPNsn Mk;jh ys[ku
Maths : Unit 8, 9 Science : Chapter 10,11
So. Science : Geography: Chapter 6History: Chapter 14Civics: Chapter 19
Sanskrit :
ikB8, 9
प्रत्यय,
गचर िणटन
Computer: Chapter 7
Naitik Shiksha :
ikB
14,15, 16GK : Page 91-110
Maths: Quiz
Hindi : Assignment 3
Science : Assignment 3+ Activities, Best
out of waste
So. Science-Assignment 3
DS : Enactment
English: Spell Bee
Int. Friendship Day
7
th
August
Independence day
15
th
August
National Sports Day
29
th
August
THEME FOR THE MONTH — Literacy & career options (September)
English : Literature: Unit 10, 11 Reader: Unit 5 Practice Book : Unit 9 (cont.), 10
Writing skills : Article, Passage 3, 4, 5
Hindi : Kku lkxj:-ikB 15, 17, 18vH;kl iqfLrdk:- ikB16, 17, 18
O;kdj.k-
okD; Hksnअलंकार अनुच्छेद,
पत्र fuikr
Maths : Unit 6, 11Science : Chapter 12, 13
So. Science : Geography: Chapter 7History: Chapter 15Civics: Chapter 20
Sanskrit :
ikB 10,11पर,
धातुरूप
Computer: Chapter 8
Naitik Shiksha : ikB17, 18GK : Page 111-130
Hindi:
प्रॉजेतर्
English : Enactment of play
Science : Quiz, Activities
So. Science: Quiz
Maths : Assignment 4
Sanskrit : Assignment 4
Teachers' Day
5
th
September
Hindi Diwas
14
th
September
THEME FOR THE MONTH — Festivity (October/november)
English : Literature: 12 & Revision Reader : Unit 6
Writing skills : Description Passage 6
Hindi : Kku lkxj:-ikB 19, 20 Ikqujko`fr:-vH;kl iqfLrdk:-ikB 19, 20 Ikqujko`fr
O;kdj.k- lfU/k] okD; Hksn vuqPNsnसूचनाys[kuपत्र
Maths : Unit 15, 16Science : Chapter 14, 15 & Revision
So. Science : Civics: Chapter 20 & Revision
Sanskrit :
ikB 12 कािक , पर , अनुिाद , अपठठत गदयांश Ikqujko`fr Computer: Chapter 9
Naitik Shiksha :
ikB 19, 20GK : Page 131-158
English : Assignment 3 (Spell Bee)
So. Science : Assignment 4
Maths : Construction of Pie chart
Science : Assignment 4 + Activities,
Picture collection, Field trip
Sanskrit : lwfDrlxzag
Hindi : Assignment 3
Gandhi Jayanti
2
nd
October
Children's Day
14
th
November
Sanskrit : dFkk okpu o ys[ku
Class – IX
SYLLABUS
ACTIVITIES
CELEBRATIONS
THEME FOR THE MONTH — Women empowerment (Feb, Mar)
THEME FOR THE MONTH — Positive Attitude (July)
English: BEEHIVEProse- My Childhood
English: Amazing facts
World Population Day
CLASS – X
SYLLABUS
ACTIVITIES
CELEBRATIONS
English :
THEME FOR THE MONTH — Positive Attitude (July)
FIRST FLIGHT Poetry- Amanda
English: Debate
World Population Day
CLASS – XI : Medical & Non-Medical : 2023-24
8th
26th June
CLASS - XI : COMMERCE/ARTS
SYLLABUS
CELEBRATIONS
THEME FOR THE MONTH — Health and Fitness (Mar/April)
English :
Hornbill The portrait of a lady; A photograph(poetry); Activity Photograph Activity
Accountancy :
UNIT 1
Economics
: Micro – Chapter 1, 2 Statistics: Chapter 1
B. Studies :
Chapter 1
Music :
Unit 1(1.1), Unit 4 (4.1) Teen-Taal
Maths :
Trigonometric functions
P. Ed : Unit 1 & 2IP : Unit 1-
Introduction to Computer System IT :
Computer Organization & IDE Netbeans
Geography:
Book 1 Unit 1 Chapter 1, Unit 2-chapter 2,3 & 4
Pol. Science:
Book 1 Chapter 1,2
Legal Studies:
Unit 1-Chapter 1
History: Ch.2 Writing & City Life Psychology:
Chapter 1
World Health Day
7th April
World Heritage Day
18th April
English Language Day
23rd April
THEME FOR THE MONTH — Science & Technology (May)
English :
Snapshots The summer of beautiful White-Horse, The address; ActivityMovie Watching(Hitler & Germany)
Writing Skills Notice & Letter writing
Accountancy :
Unit II
Economics
Micro – Chapter 3, 4 Statistics: Chapter 2, 3, 9
B. Studies :
Chapter 2
Music :
UNIT 1(1.2) ; Unit III (3.2) ; UNIT IV (4.1); UNIT V
Maths :
Sequence and Series
P. Ed :
Unit 3 & 4
IP : Unit 2
Introductory Python Programming
IT : Fundamental of Java, Computer Network
Geography:
Book 1 Unit 3,Chapter 4(contd.),5,6
Pol. Science:
Book 1 Chapter 3,4,5
Legal Studies:
Unit 1-Chapter 2,3
History: Ch.3 An Empire Across Three ContinentsPsychology:
Chapter 2
Mothers' Day
10th May
National Technology Day
11th May
Anti-Tobacco Day
31st May
THEME FOR THE MONTH — Green Revolution (June)
English :
HornbillThe Laburnum Top(poetry), The Ailing PlanetWriting SkillsNote Making & Summarizing' Poster Designing
Accountancy:
UNIT II-CONTD.
Economics
Micro – Chapter 5, 6 Statistics: Chapter 9, 4 , Revision
B. Studies :
Chapter 3
Music :
Unit 5; UNIT 4(4.1); Unit 3(3.1)
Maths :
Binomial Theorem, Mathematical Induction, Complex Numbers
P. Ed :
Unit 4 & 5
IP : Unit 2
Introductory Python Programming (cont.)
IT :
Open Office- Spreadsheet, Presentation
Geography:
Book 1 Unit 3-Chapter 7,two-practicals
Pol. Science:
Book 1 Chapter 6
Legal Studies:
Unit 1-Chapter 4
History: Ch. 5 Nomadic EmpirePsychology:
Chapter 3
World Environment Day
5th June
Fathers' Day8th June
Int. day against Drug
Abuse & Illicit Trafficking.
26th June
THEME FOR THE MONTH — Positive Attitude (July)
English :
Snapshots - Ranga's Marriage, Albert Einstein at schoolActivity: Debate
Accountancy :
UNIT II CONTD.
Economics
: Micro – Chapter 7, 8 Statistics: Chapter 5, 10
Music :
Unit 5; UNIT 4(4.1); Unit 3 (3.2)
B. Studies :
Chapter 4
Maths :
Limits & Derivatives
P. Ed :
Unit 6
IP : Revision and Half Yearly Exams
IT :
Open Office Application
Geography:
Book 1 Unit 3-Chapter 8,9
Pol.Science:
Chapter 7,8,9
Legal Studies:
Unit 2-Chapter1,2,3
History: Ch. 6 The Three OrdersPsychology:
Chapter 4, Revision 1-4
World Population Day
11th July
9th
THEME FOR THE MONTH — Freedom Struggle (August)
English :
Hornbill We are not afraid to die, Discovering Tut, The voice of rain(poetry) Activity: Documentary/Presentation Writing Skills Article Writing
Accountancy :
UNIT III
Economics
: Micro – Chapter 9, 10 Statistics: Chapter 6, 7
B. Studies :
Chapter 5
Music :
UNIT 5, UNIT 3(3.1) 1, UNIT 2(2.1)
Maths : Linear in-equations & Straight Lines
P. Ed :
Unit 7
IP : Unit 4 - Data Management
IT :
RDBMS- MySQL
Geography:
Book 1 Unit 4-Chapter 10,11,Unit 5-chapter 12,13
Pol.Science:
Book 2 Chapter1,2,3
Legal Studies:
Unit 3-Chapter 1,2,3
History: Ch. 7 Changing Cultural TraditionPsychology:
Chapter 5 & 6
Senior citizens' Day
8th August
Independence day
15th August
National Sports Day
29th August
THEME FOR THE MONTH — Literacy & Career options (September)
English :
Hornbill-The Browing Version, ChildhoodSnapshots–Mother's Day, The Ghat of the only worldActivity: Enactment
Accountancy :
UNIT 3 CONTD.
Economics : Micro – Chapter 11 Statistics: Chapter 8, 11
B. Studies :
Chapter 6
Music :
UNIT 5; UNIT 4 (4.1); UNIT 2 (2.2)
Maths :
Conic Section & 3-D Geometry
P.Ed :
Unit 8, Practical File work
IP: Unit 3 - Data Handling
IT : Troubleshooting-Hardware, Software,
Networking
Geography:
Book 1 Unit 6-Chapter 14,15,16, Book 2,Unit 1- Chapter1
Pol. Science:
Chapter 4,5,6
Legal Studies:
Unit 4-Chapter 1
History: Ch. 10 Displacing Indigenous PeoplePsychology:
Chapter 7 &8
Teachers' Day
5th September
World Literacy Day
8th September
Tourism Day
27th September
THEME FOR THE MONTH — Festivity (October/ November)
English :
Hornbill-The Adventure, Silk Road, Father to Son(poetry), Landscape of the soulSnapshots–Birth, The tale of
melon-cityActivity: Debate/DocumentaryWriting SkillsSpeech Writing; Advertisement & REVISION
Accountancy :
UNIT IV; REVISION & PROJECT WORK
Economics
: Micro – Project Work & Revision Statistics: Chapter 12& Revision
B. Studies: Chapter 7 &REVISION / PRACTICAL WORK
Music: UNIT 5; UNIT 4(4.2); Unit 3 (3.2) & REVISION.
Maths :
Probability, Statistics & Revision
P. Ed : Unit 9 & 10
IP : Unit 5
Society, Law and Ethics and File
work
Geography:
Book 2 Unit 2-Chapter 2,3,Unit 3-chapter 4,5,6,Unit 4-chapter 7,four-practicals & revision
Pol. Science:
Chapter7,8,9-REVISION
IT :
Employability Skills and Revision
Legal Studies:
Unit 5-Chapter 1 & REVISION
History: Ch. 11 Paths to Modernization
Psychology:
Chapter 9, Practical's & Revision
Non-Violence Day
2nd October
World Animal Welfare Day
4th October
World Post Day
October
CLASS - XII : Non-Medical & Medical : 2023-24
English :
P. Ed :
English
IP :
English
Maths :
P. Ed :
P. Ed :
8th June
26th June
IP :
1
2, 3
CLASS - XII : COMMERCE / HUMANITIES
THEME FOR THE MONTH — Green Revolution (June)
English :
Flamingo -Keeping Quiet(poem) , Vistas – The third level, Journey to the end of earth ,
Writing Skills - Complaint Letter, Invitations
Accountancy :
Unit III Share Capital, `Unit I Financial statement of Non-Profit organization
B. Studies :
Chapter 6 & 7
Geography:
BOOK 1- Unit 4-Chapter 10, revision
Economics
: Macro – Chapter 9, 1, 2 IE – Chapter
6
Pol. Science:
BOOK 1- Chapter 9
Legal Studies:
Unit 3- 1,2
Psychology:
Chapter 3 contd.,4
History :
Chapter 6, 7
IT :
Unit 4 - Work Integrated Learning IT – DMA
Maths :
Application of Derivative & Integrals
P. Ed :
Unit IV & V
Hindustani Music :
Unit II ( 2.2) Devp. Of time theory of ragas; UNIT IV(4.1)- Dhamar Taal, UNIT V Raag Malkauns
Accountancy :
Unit III Share Capital, `Unit I Financial statement of Non-Profit organization
B. Studies :
Chapter 6 & 7
Geography:
BOOK 1- Unit 4-Chapter 10, revision
Economics
: Macro – Chapter 9, 1, 2 IE – Chapter
Pol. Science:
BOOK 1- Chapter 9
Legal Studies:
Unit 3- 1,2
Psychology:
Chapter 3 contd.,4
History :
Chapter 6, 7
IT :
Unit 4 - Work Integrated Learning IT – DMA
Maths :
Application of Derivative & Integrals
P. Ed :
Unit IV & V
Hindustani Music :
Unit II ( 2.2) Devp. Of time theory of ragas; UNIT IV(4.1)- Dhamar Taal, UNIT V Raag Malkauns
THEME FOR THE MONTH — Positive Attitude (July)
English :
Flamingo -The Rattrap, A thing of beauty
Accountancy :
UNIT IV Analysis of financial statements
B. Studies :
Revision
Geography:
BOOK 2- Unit 1- Chapter 1,2
Economics
: Macro – Revision IE – Chapter 7
Pol. Science:
BOOK 2- Chapter 1,2
Legal Studies:
Unit 3(3)
Psychology:
Chapter 4 contd.
History :
Chapter 8
IT :
Unit -1 : Database Concepts – RDBMS Tool
Maths :
Definite Integral, & integrals
P. Ed :
Unit V & VI
Hindustani Music:Unit 5 Raag Bageshree UNIT 2(2.1) Ragas Classification-Ancient, medieval & Modern
World Population Day
11th July
THEME FOR THE MONTH — Freedom Struggle (August)
English :
Flamingo - Indigo, Poets & Pancakes Vistas – Should wizard Hit Mommy?
Writing Skills –Speech/Advertisement
Accountancy :
UNIT 4 Tools of financial analysis, Ratios
B. Studies :
Chapter 8 & 9
Geography:
BOOK 2- Unit 1-Chapter 3, Unit 2-Chapter 4, Unit 3-Chapter 5,6
Economics
: Macro – Chapter 3, 4 IE – Chapter 4, 8
Pol. Science:
BOOK 2- Chapter 4,5,6
Legal Studies:
Unit 4
Psychology:
Chapter 5,6
History :
Chapter 9, 10
IT :
Unit -2 : Operating Web Based Applications.
Maths :
Application Of Integral & Differential equation
P. Ed :
Unit VI
Hindustani Music:UNIT 5 Raag Shudh Sarang, UNIT 3(3.2) Faiyaz Khan, UNIT 3(3.1) Sangeet Ratna Kar
Senior citizens’ Day 8th August Independence day 15th August National Sports Day 29th August
THEME FOR THE MONTH — Literacy & Career options (September)
English :
Flamingo - The Interview Vistas – On the face of it, Evan Tries an O’ Level Writing Skills – Debate, Letter & Inquiry/Reply
Accountancy :
UNIT 3 Debentures Issue; UNIT 5 Cash flow statement
B. Studies :
Chapter 10 & 11
Geography:
BOOK 2- Unit 3- Chapter 7,8,9, Unit 14-CHAPTER 10
Economics
: Macro – Numerical Practice IE – Chapter 9, 10
Pol. Science:
BOOK 2- Chapter 7,8
Legal Studies:
Unit 5,6
Psychology:
Chapter 7,8
History :
Chapter 11, 12
IT :
Part A - Employability Skills
Maths :
Vectors & 3-D Geometry
P. Ed :
Unit VII & VIII
Hindustani Music :
UNIT 5(Vilambit Khayal) Raag Bageshree; UNIT 3 (3.1) Sangeet Parijat (3.2) Krishan Rao S.Pandit
Teachers’ Day 5th September World Literacy Day 8th September Tourism Day 27th September
World Environment Day 5th June Fathers' Day 8th June Int. day against Drug Abuse & Illicit Trafficking. 26th June
THEME FOR THE MONTH — Festivity (October/ November)
English :
Flamingo -Aunt Jennifer's Tiger(poem), A roadside stand(poem),Memories of childhoodVistas – Going Places
Writing Skills – Job application, letter placing order & cancellation REVISION
Accountancy : UNIT 3 Redemption of debentures; REVISION & PRACTICAL WORK B. Studies :
REVISION & PRACTICAL WORK
Geography:
BOOK 2- Unit 4-Chapter 11,12,PRACTICALS,survey & revision
Legal Studies:
Unit 7 & REVISION
Economics : Macro and IE– Revision & Project preparation
Pol. Science:
BOOK 2- Chapter 9 & revision
Maths :
linear programming ,Probability, Matrices & Determinants (REVISION)
Psychology:
Chapter 9, practical's & revision
History :
Revision
IT :
Revision
P. Ed :
Unit IX & X
Hindustani Music :
UNIT 5 Tarana, Sadar/Dadra, Dhamar, Folk Songs; UNIT 4(4.1) Tilwada Taal & REVISION.
Non-Violence Day 2nd October World Animal Welfare Day 4th October World Post Day 9th October
XII Commerce & Arts
|
Trinidad and Tobago Creative Industries Company Limited #47 Long Circular Road, St. James
The Updated 2023 Public Statement of the Trinidad and Tobago Creative Industries Company Limited ('CreativeTT') in compliance with Sections 7, 8 and 9 of the Freedom of Information Act, 1999.
In accordance with Sections 7, 8 and 9 of the Freedom of Information Act, 1999 ('FOIA') Chap. 22:02, the Trinidad and Tobago Creative Industries Company Limited ('CreativeTT') is required by law to publish and annually update the following statement which lists the documents and information generally available to the public.
The FOIA gives members of the public a legal right:
1. for each person to access information held by the CreativeTT;
2. for each person to have official information relating to himself/herself amended where it is incomplete, incorrect or misleading;
3. to obtain reasons for adverse decisions made by the CreativeTT regarding an applicant's request for information under the FOIA;
4. to complain to the Ombudsman and to apply to the High Court for Judicial Review to challenge adverse decisions made under the FOIA.
The CreativeTT publishes this statement as at 11 th December 2023 in accordance with Sections 7, 8 and 9 of the FOIA and this Statement has been updated reflecting changes at the CreativeTT as at 11 th December 2023.
SECTION 7 - STATEMENTS
Section 7(1) (a) (i)
Functions and Structure of CreativeTT.
CreativeTT is a wholly owned State enterprise and the parent company of three (3) subsidiaries – Trinidad and Tobago Music Company Limited (MusicTT), Trinidad and Tobago Film Company Limited (FilmTT) and Trinidad and Tobago Fashion Company Limited (FashionTT); established by The Government of the Republic of Trinidad and Tobago through the Ministry of Trade and Industry. The main business of CreativeTT as a parent company, is to facilitate the business development and functioning of its three subsectors – Music, Film and Fashion.
Vision Statement of CreativeTT
To stimulate and facilitate the business development and export activities of the Creative Industries in Trinidad and Tobago.
Mission Statement of CreativeTT
To generate national wealth and, as such, to be responsible for the strategic and business development of the three (3) niche areas and subsectors under its purview- Music, Film, Fashion
Management of CreativeTT
CreativeTT, the Parent Company, is governed by a Board of Directors consisting of a Chairman and six (6) directors, all appointed by the President of the Republic of Trinidad and Tobago. The Chief Executive Officer is appointed by the Board. The Chairman of the Board reports to the Minister in the Ministry of Trade and Industry.
Responsibilities of MusicTT
The Trinidad and Tobago Music Company Limited (MusicTT) was established in 2014 with the mandate to stimulate and facilitate the business development and export activity of the music industry in Trinidad and Tobago to generate national wealth. As a subsidiary of CreativeTT, MusicTT provides industry-wide strategic direction and action plans toward the development of the music industry as well as guidance and access to music education and capacity development, especially in the business and monetization of local music and protection of the same.
Responsibilities of FilmTT
The Trinidad and Tobago Film Company Limited (FilmTT) was established in 2006 to facilitate the growth and development of the film and audio-visual sector in Trinidad & Tobago. As a subsidiary of CreativeTT, FilmTT works on all aspects of film sector development, promotes Trinidad & Tobago as a film production location, and provides Film Commission services to local and incoming productions. FilmTT's mission is to maximize the economic and creative potential of Trinidad and Tobago's screen industries for the benefit of the country and its people.
Responsibilities of FashionTT
The Trinidad and Tobago Fashion Company Limited (FashionTT) was established in 2013 with the mandate to stimulate and facilitate the business development and export activity of the fashion industry in Trinidad and Tobago to generate national wealth. As a subsidiary of CreativeTT, FashionTT provides structured and extensive capacity building support in training and export for local fashion industry stakeholders.
CreativeTT's management consists of the CreativeTT Parent Board, three (3) Subsidiary Boards – Music, Film and Fashion, and a Chief Executive Officer (CEO) ('currently vacant'). The Board of Directors are appointed by the Minister of Trade and Industry.
The members of CreativeTT Parent Board are:
* Calvin Bijou (Chairman)
* John Arnold
* Dionne Mc Nicol Stephenson
* Laura Narayansingh
* Roy Gomez
* Rajkavir Singh
* Heeralal Rampartap
The organizational structure of CreativeTT consists of six (6) support functions:
* Legal Department
* Corporate Services Department
* Finance and Accounting Department
* Facilitations Department
* Marketing and Communications Department
* Procurement Unit
The Head of each department reports directly to the Chief Executive Officer.
Chief Executive Officer (CEO)
The CEO is responsible for providing the highest quality of strategic leadership and management for CreativeTT and its subsidiaries (FashionTT, FilmTT, MusicTT) in the oversight of its day-to-day functioning and direction in accordance with CreativeTT's Vision and Mission and the Strategic Direction of CreativeTT as directed by its Board of Directors.
In collaboration with the General Managers of each subsidiary, the CEO establishes and builds the Creative industries by creating and delivering industry value for its stakeholders and provide sustained profitable growth of the organization. The CEO facilitates the integration of the diverse work being undertaken as well as assist in innovation and transformative work, delivering on sector strategy which considers the national priorities and public policy objectives. The CEO, with the Board of Directors executes policy and strategic plans to ensure efficient management of the organization including its staff.
Internal Auditor
The Internal Auditor reports administratively to the CEO, operationally to the Audit Committee and is responsible for providing the Board and Management of CreativeTT and its subsidiaries (FashionTT, FilmTT, MusicTT) with independent assurance and consulting in the areas of controls, risk management and governance processes.
Legal Department
This department is responsible for maintaining standards of sound corporate governance, support the Board in its risk management, and maintain compliance with corporate, secretarial and legal requirements for CreativeTT and its subsidiaries – MusicTT, FilmTT and FashionTT.
Corporate Services Department
This department is responsible for the sites, staff, and operations to ensure the continuous and successful functionality of the company. It also oversees the organization of the corporate office and the development and maintenance of company business practices, policies and procedures, personnel files, and associated functions of each.
Finance & Accounting Department
The role of this department is to oversee and coordinate all financial operations of CreativeTT and its Subsidiaries, and ensure that accurate financial information is reported in a timely manner.
Facilitation Department
This department is responsible for the administration of the application and approval processes for industry rebates and incentives as well as to provide support on the Public Sector Investment Programmes.
Marketing and Communications Department
The role of this department is to develop and implement the marketing and promotional aspects of the strategic plan in order to enhance the company's corporate image and manages its relationship with key stakeholders.
Procurement Unit
This department liaises with all Subsidiaries and Departments, as necessary, and is responsible for coordinating the procurement activities of the company in compliance with applicable procurement laws, regulations, policies and procedures. This unit involves strategic planning, vendor management, and collaboration with various teams to optimize the procurement process. It is responsible for coordinating the procurement activities of CreativeTT, and the subsidiaries - FilmTT, FashionTT and MusicTT in compliance with applicable procurement laws, regulations, policies and procedures.
The management structure of each Subsidiary consists of the Subsidiary Board of Directors and the General Manager (GM) with the GM maintaining a dotted line of reporting to the CEO of CreativeTT. In the absence of a CEO, the GM reports directly to the Board of Directors. Each Subsidiary is supported by a Project Department.
The members of the MusicTT Board and General Manager are:
* John Arnold (Chairman)
* Martin Raymond
* Francis Escayg
* Melissa Jimenez (GM)
MusicTT General Manager
The GM reports to the MusicTT Board and collaborates with the CreativeTT CEO. The main responsibility is to implement and execute strategic plans, programmes and activities, and simultaneously provide data and new opportunities for industry development and commercialization within the music sector. The GM also oversees the general operations of the company and develops its budgets.
MusicTT Business Development Department
This department garners information and data from stakeholders, industry regulators and other entities to facilitate evidence-based decision making, inform business development strategies and enable achievement of approved strategic plans for the company.
MusicTT Project Department
This department is responsible for the coordination, implementation, management, monitoring, evaluation and reporting on all projects/programmes undertaken by the Company.
The members of the FilmTT Board and General Manager are:
* Dionne Mc Nicol Stephenson (Chairman)
* Lorraine O'Connor
* Richard Chin Fatt
* Leslie-Ann Wills-Caton (GM)
FilmTT General Manager
The GM reports to the FilmTT Board and collaborates with the CreativeTT CEO. The main responsibility is to implement and execute strategic plans, programmes and activities, and simultaneously provide data and new opportunities for industry development and commercialization within the film sector. The GM also oversees the general operations of the company and develops its budgets.
FilmTT Business Development Department
This department garners information and data from stakeholders, industry regulators and other entities to facilitate evidence-based decision making, inform business development strategies and enable achievement of approved strategic plans for the company.
FilmTT Project Department
This department is responsible for the coordination, implementation, management, monitoring, evaluation and reporting on all projects/programmes undertaken by the Company.
The members of the FashionTT Board and General Manager are:
* Jason Lindsay (Chairman)
* Laura Narayansingh
* Lisa Sinanan
* Lisa-Marie Daniel (GM)
FashionTT General Manager
The GM reports to the FashionTT Board and collaborates with the CreativeTT CEO. The main responsibility is to implement and execute strategic plans, programmes and activities, and simultaneously provide data and new opportunities for industry development and commercialization within the fashion sector. The GM also oversees the general operations of the company and develops its budgets.
FilmTT Business Development Department
This department garners information and data from stakeholders, industry regulators and other entities to facilitate evidence-based decision making, inform business development strategies and enable achievement of approved strategic plans for the company.
FilmTT Project Department
This department is responsible for the coordination, implementation, management, monitoring, evaluation and reporting on all projects/programmes undertaken by the Company.
Section 7 (1) (a) (ii)
Categories of Documents maintained by CreativeTT (Files, Records, Manuals, Documents): -
1. General administrative documents for the routine functions of CreativeTT
2. Personnel files, which detail all staff appointments, job applications, job specifications, etc.
3. Accounting and financial management files of CreativeTT and its subsidiaries
4. Financial Records (e.g. cheques, vouchers, receipts, journals, salary records etc.)
5. Circulars, memoranda, notices, bulletins
6. Files dealing with official functions, workshops and events hosted by CreativeTT
7. Matters relating to the procurement of supplies, services and equipment
8. Internal and external correspondence files
9. Complaint/suggestion files
10. Inventory records
11. Contracts, memorandum of agreements, service level agreements, legal opinions and related matters
12. Memberships
13. Minutes/Agenda of meetings
14. Annual Reports
15. Archival documents
16. Policy and Procedure Documents
17. Acts and Legal notices
18. Manuals
19. Other Forms – Bomb Threat Checklist, Employee Incident Report, Employee Emergency Contact
Section 7(1)(a)(iii)
Material prepared for publication or inspection
* CreativeTT Financial Statements
The public may inspect material between the hours of 8:30 a.m. and 3:45 p.m. on normal working days of Monday to Friday at CreativeTT's office situated at:
#47 Long Circular Road,
St. James.
Tel: 628-1156
E-mail: email@example.com
Forms
1. Freedom of Information Act forms
Section 7(1)(a)(iv)
Literature available by subscription
CreativeTT offers no literature by way of subscription services.
Section 7 (1) (a) (v)
Procedure to be followed when a request for access to a document is made to CreativeTT
General Procedure
In order to have the rights given to applicants under the FOIA, an applicant must make their request in writing by submitting:
1. A completed Request for Access to Official Documents Form, which can be accessed from CreativeTT's website at www.creativett.co.tt or the Freedom of Information Unit's website at http://www.foia.gov.tt.
2. The relevant information that must be provided to the CreativeTT includes the following:
* Name of the Applicant (full name preferred)
* Contact information for the Applicant
* The information requested and the format in which the information is to be provided
* Date of request
* Signature of Applicant
Addressing Requests
To facilitate the prompt handling of a request, please contact or write to the Designated Officer of CreativeTT (see section 7 (1) (a) (vi)).
Details in the Request
Applicants should provide details that will allow for ready identification and location of the records that are being requested. If insufficient information is provided clarification will be sought from the applicant. If the applicant is unsure how to write his/her request or what details to include, the applicant should communicate with CreativeTT's Designated Officer.
Requests not handled under the Act
A request under the FOIA will not be processed to the extent that the applicant requests access to documents which are classified as exempt under Part IV of the FOIA or documents falling under Section 12 of the FOIA.
Responding to Requests
CreativeTT is only required to furnish copies of documents that it has in its possession or can be retrieved from storage.
Furnishing Documents
An applicant is entitled to access copies of information which CreativeTT has in its possession, custody or power. CreativeTT is required to furnish only one (1) copy of a document. If CreativeTT cannot make a legible copy of a document to be released, the CreativeTT is not obliged to reconstruct it. Instead, CreativeTT will furnish the best copy possible and note its quality in its reply.
Please note CreativeTT is not compelled to do the following:
a. create new documents; or
b. perform research for the public.
Time Limits
The FOIA sets a time limit of thirty (30) calendar days from the date the request was received to notify the applicant of the approval or refusal of the request for access to documents. CreativeTT will try diligently to comply with the time limit, but where it appears that processing a request may take longer than the statutory limit, CreativeTT will acknowledge the request and advise the applicant of its status. Where the CreativeTT fails to meet the thirty (30) day deadline, the FOIA gives the applicant the right to proceed as though his/her request has been denied. If it is determined that the request cannot be disclosed (refusal) then the applicant is informed of the refusal and the rights of the applicant according to Section 38A and 39 of the FOIA. If a decision is taken to grant access to the information requested, the applicant will be provided with copies, or if so requested will be permitted to inspect the document/s as soon as reasonably practicable thereafter.
The possibility exists that requests may be incorrectly addressed or misdirected. Applicants are asked to call or write to confirm that the CreativeTT has received the request, and to ascertain its status.
Fees and Charges
Section 17(1) of the FOIA stipulates that no fee shall be charged by a public authority for the making of a request for access to an official document. However, where access to an official document is to be given in the form of printed copies, or copies in some other form, such as tape, disk, film or other material, the applicant will be required to pay the prescribed fee incurred for duplication of the said material.
Section 7 (1) (a) (vi)
Officers at the CreativeTT are responsible for:
1) The initial receipt of and action upon notices under section 10 of the FOIA;
2) Requests for access to documents under section 13 of the FOIA; and
3) Applications for correction of personal information under section 36 of the FOIA.
All Requests for Access to Information should be submitted on the prescribed form addressed to:
Designated Officer for CreativeTT:
Josanne Lord Marketing and Communications Manager Trinidad and Tobago Creative Industries Company Limited #47 Long Circular Road St. James
Tel: (868) 628-1156 Email: firstname.lastname@example.org
Alternate Designated Officer:
Dianne O'Neil Senior Human Resource Officer Trinidad and Tobago Creative Industries Company Limited #47 Long Circular Road St. James
Tel: (868) 628-1156 Email: email@example.com
Alternate Designated Officer:
Gunness Sudama Finance Manager
Trinidad and Tobago Creative Industries Company Limited #47 Long Circular Road
St. James
Tel: (868) 628-1156 Email: firstname.lastname@example.org
Section 7 (1) (a) (vii)
Advisory Boards, Councils, Committees, and other bodies (Where meetings/minutes are open to the public)
At the present time, there are no bodies that fall within the meaning of this section of the FOIA.
Section 7 (1) (a) (viii)
Library/Reading Room Facilities
Information can be accessed at CreativeTT's Office in the designated reading area located at:
#47 Long Circular Road,
St. James
Hours of Operation:
8.00am – 4:00 pm Monday – Friday www.creativett.co.tt
Requests to use the facility should be made no less than 5 business days in advance by scheduling an appointment with the Designated Officer:
Josanne Lord, Marketing and Communications Manager
Trinidad and Tobago Creative Industries Company Limited
#47 Long Circular Road,
St. James
Tel: (868) 628-1156 Email: email@example.com
All members of the public will be required to adhere to the rules and regulations outlined for use of this facility.
SECTION 8 – STATEMENTS
Section 8 (1) (a)(i)
Documents containing interpretations or particulars of written laws or schemes administered by the public authority, not being particulars contained in another written law.
There are no documents to be published under this subsection at this time.
Section 8 (1) (a)(ii)
Manuals, rules of procedure, statements of policy, records of decisions, letters of advice to persons outside the company, or similar documents containing rules, policies, guidelines, practices or precedents:
* FashionTT's Strategic Plan 2015-2020
* The Strategic Plan of the Ministry of Trade and Industry 2016-2020
* Departmental Manuals, Policies and Procedures
Section 8 (1) (b)
In enforcing written laws or schemes administered by the public authority where a member of the public might be directly affected by that enforcement, being documents containing information on the procedures to be employed or the objectives to be pursued in the enforcement of, the written laws or schemes.
There are no reports or statements to be published under this subsection at this time.
SECTION 9 – STATEMENTS UNDER SECTION 9 OF THE FOIA
Statement of Possession of certain documents to be published
Section 9(1)(a)(b)(c)(d)(e)(g)(h)(i)(j)(k)(l)(m)
These sections are not applicable to CreativeTT at this time.
Section 9 (1) (f)
A report prepared for CreativeTT by a consultant who was paid for preparing the report.
1. Financial Reports and Audits
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Brief
The Contours of a New Western Russia Strategy
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Kristi Raik
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Russia's invasion of Ukraine on 24 February 2022 triggered profound changes in the EU's and NATO's approach to Russia. The leading Western organisations have reassessed their understandings on two core issues: military force and economic interdependence. Both changes were long overdue and have now been hastily introduced in response to the shocking images of war. In the next months, the chosen new course needs to be fully implemented and confirmed as a long-term policy aimed at preserving the rules-based security order in Europe and beyond and blocking Russia's imperial ambitions and efforts to destroy Ukraine.
For years, NATO's approach to the collective defence of its Eastern member states was constrained by the NATO-Russia Founding Act signed in 1997. In the document, NATO committed to refrain from "permanent stationing of substantial combat forces" on the territories of the former Warsaw Pact states. Importantly, Russia took on the obligation to "exercise similar restraint in its conventional force deployments in Europe". 1 In 2014, Russia's aggression against Ukraine gave rise to calls in some NATO countries to abandon the treaty which the Russian side was clearly violating through the annexation of Crimea, war in eastern Ukraine and military exercises next to NATO's borders. 2 However,
It is time to quietly bury the NATO-Russia Founding Act as a relic of a different era
The necessity of hard power
The first major change has taken place in the Western approach to the role of military force in containing and pushing back Russian aggression. The shift is clearly indicated by two factors: Western military aid to Ukraine and the plans to considerably increase NATO's presence on its eastern front. Both steps move towards rejection of the previously widely held view that European security was improved by constraining Western military presence and involvement in Russia's neighbourhood. Until recently, limitations of NATO's presence in the Baltic states and Poland as well as Western military support to Ukraine used to be seen as means to reduce tensions and avoid provoking Russia. This view is obviously untenable in the light of Russia's invasion of Ukraine.
some allies, especially Germany, insisted on sticking to the normative approach on the NATO side. As a result, NATO limited its steps to strengthen defence and deterrence on the eastern front and only introduced battalion-sized rotational deployments under the enhanced forward presence initiative in 2016. 3
Today the claim that such caution on NATO side could have a positive impact on European security has lost credibility. In response to the war in Ukraine, NATO is preparing a strengthened and more permanent presence in the eastern front countries, to be decided at the summit in Madrid in June. It is time to quietly bury the NATO-Russia Founding Act as a relic of a different era.
A similar, even more radical change has taken place in Western views on military aid to Ukraine. The military assistance that was given to Ukraine
1
by the US, UK, Estonia and some other Western countries prior to 24 February 2022 was seen as controversial by some allies. However, after the invasion, Ukraine started to receive deliveries of military equipment from a number of countries that had previously considered such action unconceivable, including Germany, Finland and Sweden. Furthermore, the EU took a radical leap forward as a security actor by its decision to provide €1 billion of military assistance to Ukraine through the European Peace Facility. 4 The expected new aid package from the US worth $33 billion, including $20 billion in military aid, would bring Western support to a further new level and indicate a long-term commitment. These changes mark the definite end of the post-Cold War era when the Western-Russian relations were guided by the belief that it was possible to leave behind military confrontation and build a peaceful, cooperative and normsbased relationship. So strong was the wish on the Western side to believe in this prospect that Russia's use of military force in Georgia in 2008 did not lead to a reassessment of policy, and the annexation of Crimea and war in Donbas were met with a rather cautious response.
Western weakness and constraint encouraged Russia to move ahead with efforts to impose its vision of a European security order based on spheres of influence and ultimately defined by force. Russia's imperial ambitions did not emerge as a result of NATO enlargement; they have centuries-long roots in history and resurfaced when Russia was regaining strength after the chaotic 1990s.
itself. However, the only way for Europe to maintain a security order that is based on norms and not brutal force is to make sure that Russia is defeated in Ukraine. Tragically, it took the lives of thousands of Ukrainians before the West was convinced about the necessity of military force in pushing back Russian aggression and defending European values and principles.
The failure of positive economic interdependence
The second area where a profound change of Western policy is underway is economic ties with Russia. Again, the change is particularly radical for Germany. During half a century, the German Ostpolitik advanced economic cooperation first with the Soviet Union and then Russia in the hope that this would contribute to good political relations, stability and security. Yet the preconditions for positive interdependence were missing, as the economic relationship remained hugely unbalanced and asymmetrical. In recent years, the share of Russia in the EU's total trade was approximately 6%, while the EU accounted for 37% of Russian trade. 5 Hence, the EU was much more important as a trade partner for Russia than vice versa, and yet it turned out to be deeply vulnerable due to its high level of dependence on Russian fossil fuels. In 2021, two-fifths of the gas consumed in the EU came from Russia, and over a quarter of imported crude oil, with Germany and Italy among the most dependent countries. 6
The shift in Western policy has not been smooth or uncontroversial, as indicated by the hesitation especially in Germany with regard to supporting Ukraine with harder military equipment. The concern that military aid to Ukraine may provoke Russia and lead to escalation has not disappeared from Western discussions.
Tragically, again, it took the invasion of Ukraine before the EU started to see this dependence as a geopolitical problem. Between 23 February and 8 April, the EU imposed five packages of sanctions, including unprecedented restrictions on the banking sector and trade. 7 However, extending the sanctions to the energy sector, where they hurt Russia the most, has been slow
The only way for Europe to maintain a security order that is based on norms and not brutal force is to make sure that Russia is defeated in Ukraine and difficult. In late February, the EU introduced an export ban on all goods and equipment needed for oil refining, and on 8 April it banned imports of coal. The most profitable areas for Russia – exports of oil and gas – have taken
Indeed, Russia is provoked by a Ukraine that is independent, democratic and able to defend
2
a longer time to tackle. The EU is expected to phase out oil imports and cut gas imports by
two-thirds by the end of the year. 8 The oil ban will be of major importance for crippling Russia's future ability to wage war.
As the EU-Russia energy trade makes plain, interdependencies make both sides vulnerable to each other's influence. The EU and US have been able to impose costly sanctions on Russia due to the latter's dependence on the Western economy. However, Europeans have appeared as the more vulnerable side in their relationship with Russia, fearful of the costs of cutting off Russian energy supplies and pushed to increase their funding of Putin's war due to the extraordinary growth of energy prices in 2022. 9
As with military force, the change in thinking about economic interdependencies goes deep to the core ideas about how the EU, and also the US, see their relations with external powers. Integration of both Russia and China into the global economy was an important strategic goal of the West after the end of the Cold War. The accession of China and Russia to the WTO, respectively in 2001 and 2012, was expected to promote not just economic development and liberalisation, but also the spread of democracy and peace. 10
of strategic vulnerabilities, which is a highly relevant concern also with regard to China.
A long struggle ahead
Enhancing Ukraine's and NATO's defence vis à vis Russia and isolating the Russian economy from the West are key elements of an emerging new Western strategy. The steps that the US and Europeans have taken thus far are yet to be consolidated and fully implemented, but the direction is visible. In contrast to the postCold War attempts to transform and integrate Russia, the new strategy has to be based on a realist recognition of Russia as an adversary and existential threat that needs to be – and can be – contained.
The changes described above mark a radical turn for some Western countries, most notably Germany, while others, such as Poland and the Baltic states, have been calling for the current approach for many years. Kaja Kallas, the Prime Minister of Estonia, has named the new approach a policy of smart containment. 11
In reality, state control over politics, society and the economy has tightened in both countries, while their relations
By now it should be clear to all Western leaders that a shared vision of security order will not emerge as long as Vladimir Putin stays in power with the West have become increasingly hostile. The global trends of early 21st century suggest that positive economic interdependence works among countries with similar political systems and a commitment to shared norms, with the EU as a prime example. However, economic interdependence does not seem to bring about convergence of political systems and normative commitments. Instead, dependence on an increasingly aggressive, authoritarian and today even totalitarian Russia has turned into a major
As a result of the war in Ukraine, a hard border is emerging again between Russia and the West, defined by a strengthened military presence on both sides, stark contrast and competition between totalitarianism and democracy, heavy restrictions of economic interaction and people-to-people contacts, and lack of a shared understanding on the European security order. The same elements of confrontation existed during the Cold War when the Soviet Union was occupying large parts of Europe. Russia's desire
Dependence on an increasingly aggressive, authoritarian and today even totalitarian Russia has turned into a major vulnerability for Europe to return to a similar division of Europe was clearly expressed in the demands that it presented in December 2021. By now it should be clear to all Western leaders that a shared vision of security order will not emerge as long as Vladimir
vulnerability for Europe. More broadly, the war in Ukraine highlights that economic ties with authoritarian major powers may be a source
3
Putin stays in power. What will come after Putin (and when) is unpredictable, but the West should prepare for a long-term confrontation
and struggle over the key principles of European and international security.
The outcome of the war will be decisive not only for the fate of Ukraine but for the viability of the European and international rules-based security order. Ukraine's defeat would encourage authoritarian great powers to keep pushing for a revised security order based on spheres of influence, a complete cynicism about rules, intimidation and subversion of neighbouring states and rejection of the values of democracy and human rights. One might argue that Russia and China would establish a different, but still rules-based order, with different rules, but fundamentally their version of order would mean force prevailing over norms.
Ukraine's survival as an independent state and integration in a democratic Europe would, on the contrary, re-energize the democratic community and its efforts to maintain the rulesbased security order. Ukraine with Western support is defending the order that Russia wants to destroy. It can give a decisive blow to both Russian imperialist ambitions and the spread of authoritarianism.
Endnotes
1 North Atlantic Treaty Organization, "Founding Act on Mutual Relations, Cooperation and Security between NATO and the Russian Federation signed in Paris, France, 27-May.-1997," 12 October 2009.
2 Anna Maria Dyner et al, "How Russian Violations of the 1997 Founding Act Influence NATO-Russia Relations", Polish Institute of International Affairs, 6 July 2018.
3 John R. Deni, "The NATO-Russia Founding Act: A Dead Letter," Carnegie Europe, 29 June 2017.
4 European Council, "EU support to Ukraine: Council doubles funding under the European Peace Facility," press release, 23 March 2022.
5
" EU trade relations with Russia," Trade – EU Trade Relationships by Country/Region, European Commission, accessed 5 May 2022
6 Charlotte Edmont, "How much energy does the EU import from Russia?," World Economic Forum, 17 March 2022.
7 "Timeline - EU restrictive measures against Russia over Ukraine," Policies – Sanctions, European Council, accessed 3 May 2022.
8 European Commission, "In focus: Reducing the EU's dependence on imported fossil fuels," news, 20 April 2022.
9 World Bank, "Food and Energy Price Shocks from Ukraine War Could Last for Years," press release, 26 April 2022.
10 "What Happened When China Joined the WTO? ," World101, Council on Foreign Relations, accessed 3 May 2022.
11 Government of Estonia, "Address by the Prime Minister Kaja Kallas to the European Parliament," news, 9 March 2022.
About the Author
About the Autho
Dr Kristi Raik is Director of the Estonian Foreign Policy Institute at ICDS.
Disclaimer: The views and opinions contained in this paper are solely of its author(s) and do not necessarily represent the official position of the International Centre for Defence and Security or any other organisation.
ICDS.Tallinn, EVI.EESTI @ICDS _ Tallinn, @EFPI _ EST
ICDS-Tallinn www.icds.ee, www.efpi.icds.ee
International Centre for Defence and Security Estonian Foreign Policy Institute 63/4 Narva Rd., 10120 Tallinn, Estonia email@example.com, firstname.lastname@example.org.
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A LEVEL OF TAPPING FREQUENCY OF LOWER LIMBS OF ELITE SLOVAK SOCCER PLAYERS AT DIFFERENT POSITIONS
Pavol Pivovarniček 1 , Martin Pupiš 1 , Michal Lacena 2 and Roman Švantner 2
1 Faculty of Arts, Matej Bel University, Slovak Republic 2 Slovak Football Association, Slovak Republic
Original scientific paper
Abstract
The aim of the study was to compare a level of tapping frequency of lower limbs of elite Slovak soccer players at different playing positions (n = 48, age = 23.8 ± 4.9 years, height = 181.4 ± 6.9 cm, weight = 77.8 ± 7.2 kg; goalkeepers = 5, age = 25.9 ± 3.5 years, height = 190.4 ± 2.2 cm, weight = 85.6 ± 3.4 kg; defenders = 15, age = 25.4 ± 5.2 years, height = 181.2 ± 5.0 cm, weight = 78.0 ± 6.5 kg; midfielders = 19, age = 21.7 ± 3.7 years, height = 177.5 ± 6.3 cm, weight = 73.5 ± 5.9 kg; forwards = 9, age = 24.3 ± 4.5 years, height = 185.2 ± 6.6 cm, weight = 81.9 ± 6.7 kg). The level of tapping frequency of lower limbs was diagnosed with the device FiTROtapping, (FiTRONIC, Bratislava, Slovak Republic). The criterion of performance evaluation of every measured soccer player was total number of contacts with both legs on contact mats of mentioned device during 6 seconds in a standing position. Oneway ANOVA was used for determination of difference significance (α = 0.05) between playing positions. The statistical analysis was realized by software IBM® SPSS® Statistics V19. The highest average level of tapping frequency of lower limbs in 6 seconds was observed by forwards (59.9 ± 5.9 contacts), then by defenders (58.5 ± 5.5 contacts), by midfielders (58.1 ± 6.8 contacts). The lowest average level of tapping frequency of lower limbs had goalkeepers (53.2±3.3 contacts). The statistical analysis did not show any significant differences between playing groups (F(3.44)=1.405, p>0.05, η 2 = 0.09).
Keywords: defenders, fitness training, forwards, goalkeepers, midfielders
Introduction
The condition according to Bunc (1999) presents 30-40% of playing performance in soccer. According to Reilly (1997), Psotta et al. (2006), Orendurff et al. (2010), the soccer is intermittent movement activity which contains very short, usually 1 to 5 seconds continuing intervals of endurance with high to maximum intensity, which alternate with intervals of endurance with lower intensity or inaction lasting from 5 to 10 seconds. Little & Williams (2006) include the running acceleration, maximal running speed and agility, which exist constantly in the match, into movement activities at high intensity.
Bangsbo, Mohr & Krustrup (2006), Bangsbo, Iaia & Krustrup (2007) state by players of the highest level 150 to 250 short intensive activities in a match. Hipp (2007) declares that in the soccer match we can observe by player around 100 to 150 sprints with different length. According to findings of Psotta et al. (2006) is 50-65% of all realized sprints shorter than 5m, 75-85% of all sprints is no longer than 10m and the average length of sprints is 9m in a single soccer game. Grasgruber & Cacek (2008) state the length of sprints is ca. 15m and usually no more than 30m, every ca. 90s, it means 0.8 to 1 km for the whole match. Mohr, Krustrup & Bangsbo (2003) found out by elite players about 28 to 58% bigger distance (p < 0.05) in runs at high intensity (> 19km.h -1 ) and sprints compared to players of lower level (run at high intensity = 2.43±0.14 vs. 1.90±0.12km, sprint = 0.65±0.06 vs. 0.41±0.03km).
Haugen, Tønnessen & Seiler (2013) discovered that Norwegian national soccer players and players of the Norwegian Premier league achieved higher performance from the point of view of the acceleration and running speed (p < 0.05) than players of 2 nd division (difference 1.01.4%), 3 rd – 5 th division (difference 3.0-3.8%), junior national team (difference 1.7-2.2%) and junior players (difference 2.8-3.7%). Considering that this research lasted more years (1995-2010, n = 939, age = 22.1±4.3 years), the authors had the possibility to determine that players in years 2006-2010 were faster about 1-2% in 20m run and had achieved rather maximal speed in comparison with players in years 1995-1999 and 2000-2005. Within maximal intensive running of the soccer player, the tapping frequency of lower limbs is also one of partial sections of complex speed performance. We agree with the statement of Grasgruber & Cacek (2008), who say that speed of runner (soccer player) is the result of mutual interaction of frequency and stride. According to Doležajová & Lednický (2002) in evaluation of complex demonstration of speed abilities, it is mainly maximal movement speed in forward direction, acceleration and maximal frequency of circular movements. The level of speed abilities is genetically determinated and depends on neuromuscular coordination and composition of fast muscle fibres. In spite of that it is necessary to focus on diagnostics and in the case of detection of inadequate level we have to focus on stimulation of tapping frequency of individual players too.
We agree with Zemková, Chren & Štefániková (2013), who write that there is little knowledge in literature about tapping frequency of sportsmen despite the fact that this ability presents one of important factors of sport performance in various kinds of sports. This was also the reason why we deal with the level of tapping frequency of lower limbs of elite Slovak soccer players from the point of view of playing positions in presented study.
Methods
The observational group consisted of players (n = 48, age = 23.8 ± 4.9 years, height = 181.4 ± 6.9 cm, weight = 77.8 ± 7.2 kg; goalkeepers = 5, age = 25.9 ± 3.5 years, height = 190.4 ± 2.2 cm, weight = 85.6 ± 3.4 kg; defenders = 15, age = 25.4 ± 5.2 years, height = 181.2 ± 5.0 cm, weight = 78.0 ± 6.5 kg; midfielders = 19, age = 21.7 ± 3.7 years, height = 177.5 ± 6.3 cm, weight = 73.5 ± 5.9 kg; forwards = 9, age = 24.3 ± 4.5 years, height = 185.2 ± 6.6 cm, weight = 81.9 ± 6.7 kg) from three Slovak elite soccer teams (MŠK Žilina, FK Dukla Banská Bystrica and AS Trenčín). In competition year 2010/2011 the players MŠK Žilina and FK Dukla played the highest Slovak soccer league and AS Trenčín was the leader of the second highest soccer league. This team won this league and promoted to the highest league too. The measurements were realised during February and March 2011 (MŠK Žilina – 8.2.2011, FK Dukla 26.2.2011 and AS Trenčín – 23.3.2011) in morning hours when we can speak about the first daily peak of performance in accordance with Jančoková (2000). The measurements of the level of tapping frequency of lower limbs took place in training complex Fitaréna in Banská Bystrica in the same standard conditions. The research was approved by the Ethical Committee of Matej Bel University in Banská Bystrica. The measurements were carried out in accordance with the ethical standards of Declaration of Helsinki and ethical standards in sport and exercise science research (Harriss & Atkinson, 2011). Before measurements soccer players went through general warm-up (10 minutes) and speed warm-up (10 minutes). We had measured the tapping frequency of lower limbs with the device FiTROtapping, (FiTRONIC, Bratislava, Slovak republic) which consists of two contact mats placed and fixed on the floor, connected with interface to computer. The distance between mats was 10 cm. At the beginning of measurement the soccer player poses himself into standing position in the middle of mats. His task was to make maximally fast touchescontacts on mats alternately with left and right leg (leg tapping) during 6 seconds. The evaluation criterion of the level of tapping frequency of lower limbs was number of contacts of both legs on mats of the device FiTROtapping (FiTRONIC, Bratislava, Slovak Republic) during 6 seconds. The measurement was made two times and we chose a better trial to the evaluation.
In presented study we have used within periphrastic characteristics of descriptive statistics arithmetic average (x) from position measures and standard deviation (SD) from variability measures. We determined statistically the importance of differences of the level of tapping frequency of lower limbs between playing groups with One-way analysis of variance (ANOVA).
The effect size coefficient was assessed using "Eta Squared – η 2 ", calculated as common ratio of intergroup and total amount of squares. Levene's Statistic was used within adequacy of usage One-way ANOVA for determination of homogeneity of variances. Normal division of residuals was observed with Shapiro-Wilk test. In the study we have determined importance on standardly used α – level (alpha) = 0.05. Statistical analysis was realized with software IBM® SPSS® Statistics V19.
Results
We discovered the highest average level of tapping frequency of lower limbs by forwards, then by defenders and midfielders. The lowest average level of tapping frequency was determined by goalkeepers (Table 1).
Table 1 The average level of tapping frequency of lower limbs in individual groups according to playing positions (n = 48)
One-way ANOVA has shown that there were no significant differences between playing positions (F(3.44) = 1.405, p > 0.05, η 2 = 0.09). Upon this deduction we did not determine differences between individual playing groups with adequate post hoc test.
Discussion
We agree with statements of Reilly, Bangsbo & Franks (2000) that soccer players do not have to dispose with extraordinary performance in any field of physical performance but they have to have appropriate high level in all fields. The authors Bunc & Psotta (2001) mention that physiological presuppositions and norms represent necessary conditions for success at the professional level, but neither sufficient. Speed and speed-dynamic abilities are limiting factors of individual playing performance of soccer player, especially on elite professional level. In spite of high demands from the point of view of speed abilities during the match dividing at accelerating, decelerating and maximal speed and agility, it is necessary to perceive these components integrated. Integral component of complex speed performance of soccer player is his tapping frequency too.
Fast come-backs into defense, sprint tendencies behind the defense line, offensive backup of outside players (mostly defenders) and fast "switching" from defense to offense (or vice versa) have a complementary character from the point of view of speed presuppositions of players. In the study we have measured the tapping frequency during time interval of 6 seconds. Zemková, Chren & Štefániková (2013) state the test of tapping frequency of mainstream population usually lasting 10 seconds. According to definition of intermittent movement structure of soccer as state Reilly (1997), Psotta et al. (2006), Orendurff et al. (2010) we have changed time interval of the test on 6 seconds because speed performance of a soccer player in a match lasts longer very rarely. The problems of comparison of the level of speed presuppositions of soccer players from the point of view of playing positions can be helpful partial indicator in monitoring and evaluating of different successful playing situations, e.g. microsituations forward – defender. Forwards have achieved the highest performance from the point of view of comparison of movement performance of tapping frequency at individual playing positions. This result corresponds with finding of authors Sporiš et al. (2011) who present that the best results achieve forwards. Sporiš et al. (2009) also found out by elite Croatian soccer players (n = 270) in seasons 2005/06 and 2006/07, that forwards achieved the highest performance from the point of view of running speed in 5, 10 a 20 m. Gil et al. (2007) state the highest performance by forwards in all measured parameters of speed and agility. The authors allege that they did not work with young elite soccer players (n = 241, age = 17.31 ± 2.64 years). In our study we have not found out significant differences between playing positions because forwards have achieved higher performance in comparison with defenders 2,3 %, midfielders 3,0 % and goalkeepers 11,2 %.
In studies of speed abilities Taskin (2008) came to similar results. He has not found out significant differences (p > 0.05) by professional soccer players (n = 243) between playing groups according to their playing positions, even running speed was measured for 30 m. Alike Rampinini, Sassi & Impellizzeri (2003) did not determine significant differences between the groups of defenders, midfielders, forwards and goalkeepers at professional or amateur level (n = 78, age = 21.0±4.9 years) from the point of view of running speed in 30m.
Guner, Kundaracioglu & Ulkar (2006) did not observe important differences between playing positions from the point of view of speed expectations as well. It is also necessary to mention the limits of carried research. The tapping frequency of lower limbs is just partial indicator of complex unspecific and specific speed demonstration and speed performance of a soccer player. We also have to evaluate other components as jump abilities, reaction speed, direct accelerating and running speed, but specific speed performance with the ball too, so that we can create evaluation of complex speed of soccer players. The limit presents the way of measurement too and evaluations of tapping frequency of lower limbs in our study. We recommend to focus not only on measurement of contacts with both legs in certain time interval, but especially focus on right and left leg as a result of laterality in finding of defects from the point of view of tapping frequency of individuals. It would be useful to analyze time of contact on the mat and time of contact out of mat (time of support and non-support phase) as well as we analyzed number of contacts on mats of used device. It would be useful to check correlation relationships between particular speed components too. The unrepeated testing is certain limitation too and it is joined with limitation in reliability. The unrepeated measurement can be influenced by external conditions but also by actual internal disposals of tested individual. We proceeded from time limits and organizational matters of individual teams.
Conclusion
The results of statistical analysis has shown that elite Slovak soccer players dispose of even performance from the point of view of tapping frequency of lower limbs (F(3.44) = 1.405, p > 0.05, η 2 = 0.09). The highest average level of tapping frequency of lower limbs during 6 seconds was recorded by forwards (59.9 ± 5.9 contacts on the mat of device FiTROtapping, FiTRONIC, Bratislava, Slovak Republic), then by defenders (58.5 ± 5.5 contacts) and midfielders (58.1 ± 6.8 contacts). The lowest average level of tapping frequency of lower limbs had goalkeepers (53.2 ± 3.3 contacts). Presented data can serve as certain norm or standard of elite soccer players from the point of view of the level of tapping frequency of lower limbs. Results of this study can be a useful material for scientists, but for soccer and condition coaches, experts and people interested in soccer too.
References
Bangsbo, J., Mohr, M., & Krustrup, P. (2006). Physical and metabolic demands of training and match-play in the elite football player. Journal of sport sciences, 24(7), 665-674.
Bangsbo, J., Iaia, F.M., & Krustrup, P. (2007). Metabolic response and fatigue in soccer. International journal of sports physiology and performance, 2(2), 111-127.
Bunc, V. (1999).
Role kondice
v přípravě
hráče fotbalu.
Fotbal a trénink, 5, 20-21.
Bunc, V., & Psotta, R. (2001). Physiological profile of very young soccer players. The Journal of Sports Medicine and Physical Fitness, 41(3), 337-341.
Doležajová, L., & Lednický, A. (2002).
Rozvoj koordinačných
schopností. Bratislava: SVSTVŠ.
Grasgruber,
Gil, S.M., Gil, J., Ruiz, F., Irazusta, A., & Irazusta, J. (2007). Physiological and anthropometric characteristics of young soccer players according to their playing position: relevance for the selection process. The Journal of Strength & Conditioning Research, 21, 438-445.
Guner, R., Kundaracioglu, B., & Ulkar, B. (2006). Running velocities and heart rates at fixed blood lactate concentrations in young. Advances in Therapy, 23, 395-403.
P., & Cacek, J. (2008). Sportovní geny. Brno: FSS MU.
Harriss, D.J., & Atkinson, G. (2011). Update - Ethical Standards in Sport and Exercise Science Research. International Journal of Sports Medicine, 32(11), 819-821.
Haugen, T.A., Tonnessen, E., & Seiler, S. (2013). Anaerobic Performance Testing of Professional Soccer Players 1995-2010. Internalitonal journal of sports physiology and performance, 8(2), 148-156.
Jančoková, Ľ. (2000). Biorytmy v športe (S úvodom do chronobiológie). Banská Bystrica: FHV UMB.
Hipp, M. (2007). Futbal. Rozvoj vybraných pohybových schopností, diagnostika a strečing v družstve vrcholového futbalu. Bratislava: SPN.
Little, T., & Williams, A.G. (2006). Effects of differential stretching protocols during warm-ups on highspeed motor capacities in professional soccer players. Journal of Strength and Conditioning Research, 20, 203-207.
Mohr, M., Krustrup, P., & Bangsbo, J. (2003). Match performance of high-standard soccer players with special reference to development of fatigue. Journal of sport sciences, 21(7), 519-528.
Orendurff, M.S., Walker, J.D., Jovanovic, M., Tulchin, K.L., Levy, M., & Hoffmann, D.K. (2010). Intensity and duration of intermittent exercise and recovery during a soccer match. J Strength Cond Res., 24, 2683-2692.
Psotta, R., Bunc, V., Netscher, J., Mahrová, A., & Nováková, H. (2006). Fotbal-kondiční trénink. Praha: Grada.
Rampinini, E., Sassi, A., & Impellizzeri, F.M. (2003). Sprint and jump abilities in soccer players of different positions. Salzburg: Communication to: European College of Sport Science Congress, 2003.
Reilly, T. (1997). Energetics of high-intensity exercise (soccer) with particular reference to fatigue. Journal of sports sciences, 15(3), 257-263.
Sporiš, G., Jukić, I., Ostojić, S.M., & Milanović, D. (2009). Fitness profiling in soccer: physical and physiologic characteristics of elite players. Journal of Strength and Conditioning research / National Strength & Conditioning Association, 23, 1947-1953.
Reilly, T., Bangsbo, J., & Franks, A. (2000). Anthropometric and physiological predispositions for elite soccer. Journal of sports sciences, 18(9), 669-683.
Sporiš, G., Milanović, Z., Trajković, N., & Joksimović, A. (2011). Correlation between speed, agility and quickenss (SAQ) in elite young soccer players. Acta Kinesiologica, 5, 36-41.
Zemková, E., Chren, M., & Štefániková, G. (2013). Rýchlosť frekvencie pohybov dolných končatín u jedincov rôzneho veku a výkonnosti. In Cepková, A., & Horvát, M. (Eds.). Od výskumu k praxi v športe 2013 (pp.347-352). Bratislava: Slovenská technická univerzita.
Taşkin, H. (2008). Evaluating sprinting ability, density of acceleration, and speed dribbling ability of professional soccer players with respect to their positions. Journal of Strength and Conditioning Research, 22, 1481-1486.
RAZINA TAPING FREKVENCIJE DONJIH EKSTREMITETA ELITNIH SLOVAČKIH NOGOMETAŠA RAZLIČITIH POZICIJA U IGRI
Sažetak
Cilj istraživanja bio je usporedba razine taping frekvencije donjih ekstrmiteta kod elitnih slovačkih nogometaša različitih pozicija u igri, (n = 48, uzrast = 23.8 ± 4.9 g., visina = 181.4 ± 6.9 cm, težina = 77.8 ± 7.2 kg; vratari = 5, uzrast = 25.9 ± 3.5 g., visina = 190.4 ± 2.2 cm, težina = 85.6 ± 3.4 kg; obrana = 15, uzrast = 25.4 ± 5.2 g., visina = 181.2 ± 5.0 cm, težina = 78.0 ± 6.5 kg; sredina = 19, uzrast = 21.7 ± 3.7 g., visina = 177.5 ± 6.3 cm, težina = 73.5 ± 5.9 kg; napad = 9, uzrast = 24.3 ± 4.5 g., visina = 185.2 ± 6.6 cm, težina = 81.9 ± 6.7 kg). Razina taping frekvencije utvrđena je uređajem FiTROtapping, (FiTRONIC, Bratislava, Slovak Republic). Kriterij procjene izvedbe svakog mjerenja nogometađa bio je totalni broj kontakata s obje noge na kontaktnoj površini uređaja za vrijeme od 6 sekundi u stojećem položaju. Analiza One-way ANOVA je korištena za utvrđivanje razlika (α = 0.05) na igračkim pozicijama. Statistička analiza je urađena softwareom IBM® SPSS® Statistics V19. Najveća razina frekvencije tapinga je utvrđena kod napadača (59.9 ± 5.9 kontakata), zatim obrane (58.5 ± 5.5), sredine (58.1 ± 6.8). Najniža razina je utvrđena kod vratara (53.2±3.3). Statistička analiza nije pokazala značajne razlike između grupa (F(3.44) = 1.405, p > 0.05, η 2 = 0.09).
Ključne riječi: nogomet, frekvencija, vratari, obrana, sredina, napad, razlike
Received: March 15, 2014
Accepted: December 20, 2014
Correspondence to:
Pavol Pivovarniček, PhD.
Matej Bel University
Faculty of Arts, Department of Physical Education and Sports
974 01 Banská Bystrica, Tajovského 40, Slovakia
Phone: 00421 048 446 7530
E-mail: email@example.com
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CARICOM BUSINESS CARICOM BUSINESS
A Weekly Business News Aggregation Service
Vol. 5 No. 48
Foreign Exchange Summary
as at November 25, 2022
| Member State | USD | CAD | GBP | Euro |
|---|---|---|---|---|
| Bahamas (BSD) | 1 | 0.75 | 1.19 | 1.04 |
| Barbados (BBD) | 2.03 | 1.52 | 2.47 | 2.12 |
| Belize (BZD) | 2.01 | 1.52 | 2.46 | 2.12 |
| Guyana (GYD) | 217 | 157.1 | 254.78 | 218.96 |
| Haiti (HTG) | 142.46 | 106.48 | 166.16 | 148.21 |
| Jamaica * (JMD) | 155.06 | 117.82 | 187.45 | 163.18 |
| OECS (XCD) | 2.71 | 2.02 | 3.27 | 2.81 |
| Suriname (SRD) | 31.39 | 23.18 | 38.31 | 32.28 |
| T&T (TTD) | 6.77 | 5.45 | 8.65 | 7.51 |
*Rates applicable for Customs & GCT purposes
Business News In Brief
UK BP International to market Guyana's crude oil
Guyana has selected the UK-based BP International Ltd to market the country's share of petroleum from the Liza Destiny and Liza Unity floating production storage and offloading vessels. Under the Production Sharing Agreement, Guyana is entitled to 50% of the profit oil share - 12.5% each to the country and the ExxonMobil-led Esso Exploration and Production Guyana Ltd and 75% goes to cost oil. Guyana also gets 2% royalty. The UK oil company will support the Guyana government "in all operating and back-office responsibilities of managing the crude sales and each individual lift whilst facilitating timely & cost-effective crude operations". (LOOP)
T&T set to receive over 126 thousand cruise visitors
T&T's tourism sector is set to receive a further boost in economic activity with the start of the cruise season. According to Tourism Minister Randall Mitchell the country will see the arrival of a total of 71 cruise calls; 21 will be in Port-of-Spain and 4 of those will be inaugural sailings. Minister Mitchell also said that 17 calls are expected from the Royal Caribbean Group, noting that after a 20 year hiatus, Royal Caribbean returned to Trinidad with the Rhapsody of the Seas being the first cruise ship to visit in two years. Cruise season, starts November 1 through March 2023 during which time it is expected that some 126,962 passengers and 47,570 crew members will dock at the ports of the twin islands. (G) (TE)
S&P - "New taxes" or "material spending cuts" for Bahamas
Standard and Poor's (S&P) has this week affirmed The Bahamas' credit rating at B+ and its outlook as stable. S&P posited that real GDP growth in the Bahamas will slow next year to 1.1%. Nonetheless, "the expanding economy is supporting government revenues, which increased almost 29% in the most recent fiscal year, while higher employment is shrinking the government's social expenditures." Deficits have fallen to 6% of GDP in FY2022 from 13.7% in FY2021, and are expected to fall even further in the current fiscal year. S&P expects the Bahamas' net debt burden to decrease to "72.3% of GDP by the end of 2023 from 83.1% in 2020, while interest payments will remain above 15% of government revenues for the next 3 or more years". S&P said while the government is intent on increasing its revenue collection to 25% of GDP, shrinking expenses to 20% of GDP and capital spending to 3.5% of GDP by fiscal year 2025/2026, the results are not achievable without new taxes or "material spending cuts". (NG)
Corporate Movements
Scotia Group Jamaica Limited has announced the appointment of Anya Schnoor as Chair effective December 9, 2022.
IDB provides US$150M for fiscal sustainability in Suriname
The IDB has provided US$150 million to help Suriname strengthen its fiscal sustainability and economic growth. According to the Bank, the funds will help the Surinamese Government overhaul the tax collection system, boost public spending oversight and efficiency, improve fiscal planning and management, and strengthen the oversight of state-owned enterprises. The IDB said the program supports the government's plan to improve revenue collection through the adoption of the Value Added Tax, and the adoption of regulations to strengthen tax management in all major sectors of the economy. The IDB added that it will also support the modernization of the revenue agency by establishing a Semi-Autonomous Revenue Agency (SARA), and the preparation of an action plan for reviewing and updating expenditure budget classifications in line with international best practices. In addition, the IDB said the government is expected to launch an electronic procurement platform to streamline public spending and have at least 8 ministries using this platform to manage their bidding processes by 2025. (CNW)
CARICOM BUSINESS CARICOM BUSINESS
A Weekly Business News Aggregation Service
Vol. 5 No. 48
Stock Market Summary
as at November 25, 2022
Jamaica Stock Exchange
Overall Market activity resulted from trading in 52 stocks of which 26 advanced, 21 declined and 5 traded firm. Market volume amounted to 6,765,232 units valued at over J$141,934,680.76. Seprod Limited was volume leader with 1,698,127 units. The JSE Index advanced by 1,999.87 points to close at 338,060.45.
Jamaica Junior Stock Exchange
Overall market activity resulted from trading in 41 stocks of which 18 advanced, 15 declined and 8 traded firm. Market volume amounted to 2,791,802 units valued at over J$8,477,949.38. Index closed at 3,870.24.
Barbados Stock Exchange
1 security traded firm as 300 shares traded on the Regular Market, with a total value of $1,350.00. Cave Shepherd and Company Limited was the sole security trading. Index closed at 2,521.82.
Trinidad & Tobago Stock Exchange
Overall Market activity resulted from trading in 16 securities of which 7 advanced, 3 declined and 6 traded firm. Trading activity on the First Tier Market registered a volume of 50,382 shares crossing the floor valued at TT$400,826.00. Massy Holdings Ltd was volume leader with 32,805 shares changing hands valued at TT$147,671.81. The All T&T Index advanced by 0.33 points to close at 1967.95 and the Composite Index advanced by 2.23 points (0.17%) to close at 1309.18.
Guyana Stock Exchange
4 stocks declined and 2 traded firm as 129,156 units traded. Demerara Bank Limited (DBL) was volume leader with 94,679 shares. Index closed at 1,570.86.
Eastern Caribbean Securities Exchange (ECSE)
2 stock traded 2,535 units. St. Kitts Nevis Anguilla National Bank , volume leader, traded 1,535 units.
CARICOM Business is a weekly newsletter produced by the Directorate of Econ. Integration, Innovation & Development. Editorial Manager: Joseph Cox ; Email: email@example.com
Business News In Brief
Imports jump by 33.6% in Jamaica
For January to July 2022, Jamaica's total spending on imports were valued at US$4,411.2 million, while earnings from exports were valued at US$939.7 million. Imports for the period increased by 33.6% relative to the same period in 2021. This increase was largely attributable to higher imports of "Fuels and Lubricant", "Raw Materials / Intermediate Goods" and "Consumer Goods", which rose by 55.4%, 29.8% and 31.0%, respectively. Relative to the similar period in 2021, total exports for January to July 2022 increased by 2.3% above the US$918.3 million earned in the 2021 period. The increase in exports was due primarily to a 61.8% increase in the value of exports of "Mineral Fuels". The increase in total exports was influenced by the growth in re-exports which increased by US$59.4M to US$172.7 M. (STATIN)
In this week’s CARICOM Business Premium Edit on :
Jamaica grows by 5.2%
Reinsurance rates to jump in January
S&P New taxes or spending cuts for Bahamas
Black Friday sales to top US$9 Billion / Cyber-Monday $11B
EU To resume talks on Russia's oil price cap
After failing to reach an agreement on a price cap for Russian gas, the EU is set to resume talks on limiting the price of Russian crude. The bloc has so far failed to agree on how strict the price cap should be or how it should be implemented. Countries such as Poland are opposed to the EU executive arm's proposal to set a $65 per barrel limit, saying it was too generous to Russia while others like Greece don't want to go below that level. Indeed, Bloomberg has reported that currently, Russia's premium grades are only selling for $52 per barrel, meaning the EU's proposed level of $65-$70 would hardly have the desired effect. First proposed by the US, the aim of the price cap is two-fold: to keep Russian oil flowing while also limiting Moscow's revenue. (OP)
International Oil Prices as at November 25, 2022
| Futures | Price | US$ Change | Change % |
|---|---|---|---|
| WTI Crude | US$76.55 | -1.39 | -1.78 |
| Brent Crude | US$83.63 | -1.71 | -2 |
| OPEC Basket | US$85.19 | -1.01 | -1.17 |
| Natural Gas | US$6.802 | -0.506 | -6.92 |
|
PERFORMANCE SPECIFICATION
INSULATION BLANKET, THERMAL
This specification is approved for use by all Departments and Agencies of the Department of Defense.
1. SCOPE
1.1 Scope. This specification covers metal-wire mesh reinforced thermal insulation blankets.
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DEPARTMENT OF DEFENSE STANDARDS
MIL-STD-1623 - Fire Performance Requirements and Approved Specifications for Interior Finish Materials and Furnishings (Naval Shipboard Use)
(Copies of this document are available online at http://quicksearch.dla.mil/.)
2.2.2 Other Government documents, drawings, and publications. The following other Government documents, drawings, and publications form a part of this document to the extent specified herein. Unless otherwise specified, the issues of these documents are those cited in the solicitation or contract.
NAVAL SEA SYSTEMS COMMAND (NAVSEA) PUBLICATIONS
S9510-AB-ATM-010 - Nuclear Powered Submarine Atmosphere Control Manual
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Comments, suggestions, or questions on this document should be addressed to: Commander, Naval Sea Systems Command, ATTN: SEA 05S, 1333 Isaac Hull Avenue, SE, Stop 5160, Washington Navy Yard DC 20376-5160 or emailed to CommandStandards@navy mil, with the subject line "Document Comment". Since contact information can change, you may want to verify the currency of this address information using the ASSIST Online database at https://assist.dla.mil.
INCH-POUND
MIL-PRF-2818E
10 May 2016
SUPERSEDING MIL-PRF-2818D(SH) w/INT. AMENDMENT 1 14 January 2014 MIL-PRF-2818D
14 October 2004
2.3 Non-Government publications. The following documents form a part of this document to the extent specified herein. Unless otherwise specified, the issues of these documents are those cited in the solicitation or contract.
ASTM INTERNATIONAL
(Copies of these documents are available online at www.astm.org.)
2.4 Order of precedence. Unless otherwise noted herein or in the contract, in the event of a conflict between the text of this document and the references cited herein, the text of this document takes precedence. Nothing in this document, however, supersedes applicable laws and regulations unless a specific exemption has been obtained.
3. REQUIREMENTS
3.1 First article. When specified (see 6.2), a sample shall be subjected to first article inspection in accordance with 4.2.
3.2 Material. When specified (see 6.2), the thermal insulation blanket material shall be secured between metallic supporting members. The insulation material shall contain neither asbestos nor ceramic (refractory) fiber.
3.3 Physical requirements. The insulation material shall conform to the physical requirements specified in table I.
3.3.1 Recycled, recovered, environmentally preferable, or biobased materials. Recycled, recovered, environmentally preferable, or biobased materials should be used to the maximum extent possible, provided that the material meets or exceeds the operational and maintenance requirements, and promotes economically advantageous life cycle costs.
TABLE I. Physical requirements.
| Characteristic | Requirement |
|---|---|
| Non-fibrous material (shot content), percent by weight, max. | 20 |
| Alkalinity, percent, max. | 0.6 |
| Corrosiveness to steel, copper, and aluminum | No corrosion greater than that observed with sterile cotton |
| Binder content, percent, max. | 1.5 |
| Density, lb/ft3 (without supporting metal facings) | 8 - 12 |
| Thermal conductivity, max. Btu in/hr sq. ft. degrees Fahrenheit at a mean temperature of 200 °F 400 °F 600 °F | 0.31 0.44 0.60 |
| Moisture absorption, percent, max. | 1.25 |
3.4 Dimensions. The length, width, and thickness of the insulation blanket shall be as specified (see 6.2). The tolerances shall be plus ¼ inch and minus ⅛ inch for thickness, ±½ inch for length, and ±¼ inch for width.
3.5 Supporting members. The supporting members shall consist of stainless steel metal-wire mesh on both sides of the insulations, metal-wire mesh on one side and metal lath on the other side, or without supporting members, as specified (see 6.2 and 6.9).
3.6 Resistance to vibration. The insulation blanket shall not, after heating/vibration, lose more than 15.0 percent in mass nor sag an average of more than 3 inches (see 4.5.8). There shall be no detrimental effect to the overall physical characteristics of the blanket when comparing to a control specimen. For example, bolts cutting through the insulation material, which cause large quantities of fiber or insulation blanket pieces to drop off the test stand holder during or after the test, is unacceptable.
3.7 Fire resistance. The insulation material without supporting members shall meet the requirements for insulating blankets in MIL-STD-1623 (see 4.5.9).
3.8 Maximum exothermic temperature rise. The insulation blanket mid-point temperature shall not exceed the hot surface temperature by more than 100 °F when tested in accordance with ASTM C411 and the hot surface performance section of ASTM C447 at the insulation's maximum use temperature and at the manufacturer's maximum recommended thickness for that temperature. The 100 °F criterion applies during heat up as well as steady state conditions (see 4.5.10).
3.9 Workmanship. The insulation blanket shall be free of defects such as jagged ends of metal-wire mesh, tie wire, or expanded metal; tie wires not properly spaced; tie wires not securely attached; metal-wire mesh not properly spaced; broken expanded metal; and supporting members not specified.
3.10 Toxicity. When evaluated in accordance with 4.5.11 (the Health Hazard Assessment [HHA]), the insulation blanket shall have no adverse effect on the health of personnel when used for its intended purpose (see 4.5.11 and 6.6).
3.11 Off-gassing. The insulation blanket shall be evaluated for off-gassing in accordance with the requirements of 4.5.12. Based on the circumstances of use and the chemical nature of the subject of document, the Navy will determine whether off gas testing is required or if an administrative assessment is acceptable. In order to be considered acceptable for use in submarines, the subject of document shall be assigned to either the "Permitted" or "Limited" category (see 4.5.12 and 6.7).
4. VERIFICATION
4.1 Classification of inspections. Unless otherwise specified (see 6.2), all inspections shall be performed in accordance with the test conditions specified herein. The inspection requirements specified herein are classified as follows:
a. First article inspection (see 4.2).
b. Conformance inspection (see 4.3).
4.2 First article inspection. First article inspection shall consist of the tests specified in table II (see 6.3). Unless otherwise specified (see 6.2), if more than one thickness of insulation blanket is acquired at any one time, one blanket of each thickness shall constitute the first article sample.
4.3 Conformance inspection. Conformance inspection shall be in accordance with table III and the examination of 4.4.
4.3.1 Exception. The thermal conductivity, resistance to vibration, fire resistance, and maximum exothermic temperature rise conformance tests only need to be conducted for one of the following reasons:
a. If within 1 year prior to the last test approval date the material has not been tested and found in compliance with section 3 and table I (as applicable), or
b. If the material being offered for delivery is not manufactured the same in all respects as that previously tested.
TABLE II. First article inspection.
| Inspection | Requirement | Test Method |
|---|---|---|
| Non-fibrous material (shot content) | 3.3 | 4.5.1 |
| Alkalinity | 3.3 | 4.5.2 |
| Corrosiveness to steel, copper, and aluminum | 3.3 | 4.5.3 |
| Binder content | 3.3 | 4.5.4 |
| Dimensions | 3.4 | 4.5.5 |
| Density | 3.3 | 4.5.5 |
| Thermal conductivity | 3.3 | 4.5.6 |
| Moisture absorption | 3.3 | 4.5.7 |
| Resistance to vibration | 3.6 | 4.5.8 |
| Fire resistance | 3.7 | 4.5.9 |
| Maximum exothermic temperature rise | 3.8 | 4.5.10 |
| Toxicity | 3.1 | 4.5.11 |
| Off-gassing1/ | 3.11 | 4.5.12 |
4
TABLE III. Conformance inspection.
| Inspection | Requirement | Test Method |
|---|---|---|
| Non-fibrous material (shot content) | 3.3 | 4.5.1 |
| Binder content | 3.3 | 4.5.4 |
| Dimensions | 3.4 | 4.5.5 |
| Density | 3.3 | 4.5.5 |
| Thermal conductivity1/ | 3.3 | 4.5.6 |
| Resistance to vibration1/ | 3.6 | 4.5.8 |
| Fire resistance | 3.7 | 4.5.9 |
| Maximum exothermic temperature rise1/ | 3.8 | 4.5.10 |
| NOTE: 1/ Shall be performed when specified (see 6.2). | | |
4.3.2 Testing of the end item. When specified (see 6.2), conformance testing specified in 4.5 shall be conducted in accordance with table IV.
TABLE IV. Sampling for examination and test.
| Lot Size | Sample Size |
|---|---|
| 2 - 15 | 2 |
| 16 - 25 | 3 |
| 26 - 90 | 5 |
| 91 - 150 | 6 |
| 151 - 280 | 7 |
| 281 - 500 | 9 |
| 501 - 1,200 | 11 |
| 1,201- 3,200 | 13 |
| 3,201 - over | 15 |
NOTE:
1. Rejected lots may be screened and resubmitted for inspection and test.
4.4 Examination. When specified (see 6.2), blankets selected in accordance with the sampling guidance provided in 4.3.2 shall be surface examined (see 3.5 and 3.9) and measured (see 3.4) to determine conformance to the requirements of this specification. Any blanket selected for examination that contains one or more visual or dimensional defects shall not be offered for delivery.
4.5 Test methods.
4.5.1 Non-fibrous material (shot content). The non-fibrous material (shot content) shall be tested as specified in ASTM C892.
4.5.2 Alkalinity. The alkalinity test shall be performed as follows: Weigh a 5±0.01-gram representative sample of the insulation material and place in a 500-milliliter (mL) Pyrex Erlenmeyer flask, or equal. Wet the sample with 5 mL of 95 percent ethyl alcohol and add 400 mL of distilled water. Reflux for 4 hours ±5 minutes. At the end of this period, disconnect the condenser and immediately filter through a no. 41 Whatman paper, or equal, supported in a Buechner funnel and connected to a suction source. Wash the flask and residual material three times with 25 mL portions of hot distilled water. Titrate the combined filtrate and wash solution immediately with 0.02 N sulfuric acid (H2SO4), using 6 to 8 drops of a 1-percent solution of phenol red indicator to the disappearance of the pink color. Run a blank determination on the same amount of distilled water and alcohol and substitute the titration value in the formula below:
Percentage alkalinity as sodium oxide (Na2O) = (A - B)N x 0.031 x 100
W
Where:
A – mL H2SO4 required to titrate total sample
B – mL H2SO4 required to titrate blank
N – Normality of the H2SO4
W – Weight of the samples in grams
A representative sample may be prepared by taking borings with a large cork borer through the cross-section of the insulation.
4.5.3 Corrosiveness to steel, copper, and aluminum. The insulation shall be tested in accordance with the corrosiveness method specified in ASTM C665.
4.5.4 Binder content. The insulation shall be tested in accordance with the binder content method specified in ASTM C1139.
4.5.5 Dimensions and density. The dimensions and density of the insulation shall be determined in accordance with the method specified in ASTM C167.
4.5.6 Thermal conductivity. Thermal conductivity shall be determined in accordance with the method specified in ASTM C177.
4.5.7 Moisture absorption. A 3½- by 3½- by 3-inch specimen of the insulation material component shall be weighed and then subjected to an atmosphere of 90±3 percent humidity at 120±3 °F for 6 hours. The specimen shall be weighed immediately upon removal from the test chamber and the percent moisture absorbed shall be determined.
4.5.8 Resistance to vibration. Vibration resistance shall be conducted in accordance with the test method in the Supplementary Requirements Section of ASTM C592.
4.5.9 Fire resistance. Fire resistance shall be conducted in accordance with the test method for insulating blankets in MIL-STD-1623.
4.5.10 Maximum exothermic temperature rise. The maximum exothermic temperature rise shall be tested in accordance with ASTM C411 and the hot surface performance section of ASTM C447 at the insulation's maximum use temperature and at the manufacturer's maximum recommended thickness for that temperature. The test surface shall be at the intended surface temperature when the test begins.
4.5.11 Toxicity. An HHA will be conducted to ensure conformance to 3.10, as specified (see 6.2). The Navy and Marine Corps Public Health Center (NMCPHC) will evaluate the insulation blanket using data provided by the manufacturer/distributor to the NMCPHC (see 3.10 and 6.6).
4.5.12 Off-gassing. The insulation blanket shall be evaluated for off-gassing in accordance with S9510-AB-ATM-010 chapter titled "Material Control Program" (see 3.11 and 6.7). If the Navy determines that off gas testing is required, testing shall be conducted at a NAVSEA approved test facility (see 3.11). The Navy will review the off gas test results and assign a usage category. Additionally, the Navy will assign a usage category if an administrative review is conducted in lieu of off gas testing (see 3.11).
5. PACKAGING
5.1 Packaging. For acquisition purposes, the packaging requirements shall be as specified in the contract or order (see 6.2). When packaging of materiel is to be performed by DoD or in-house contractor personnel, these personnel need to contact the responsible packaging activity to ascertain packaging requirements. Packaging requirements are maintained by the Inventory Control Point's packaging activities within the Military Service or Defense Agency, or within the military service's system commands. Packaging data retrieval is available from the managing Military Department's or Defense Agency's automated packaging files, CD-ROM products, or by contacting the responsible packaging activity.
6. NOTES
(This section contains information of a general or explanatory nature that may be helpful, but is not mandatory.)
6.1 Intended use. The insulation blanket covered by this specification is intended for insulation of hot surfaces of machinery, boilers, and equipment at temperatures up to 1,200 °F.
6.2 Acquisition requirements. Acquisition documents should specify the following:
a. Title, number, and date of this specification.
b. When a first article sample is required (see 3.1).
c. When material should be secured between metallic supporting members (see 3.2 and 3.5).
d. Length, width, and thickness required (see 3.4).
e. Whether metal-wire mesh on both sides, metal-wire mesh on one side and expanded metal lath on the other side, or no supporting members are required (see 3.5).
f. Requirements for an HHA (see 3.10 and 4.5.11).
h. Inspection conditions, if other than as specified (see 4.1 and 4.3.1).
i. First article inspection, if other than as specified (see 4.2).
j. Whether thermal conductivity, resistance to vibration, and maximum exothermic temperature rise tests should be performed (see tables II and III, as applicable).
k. Lot size, if other than as specified (see 4.3.2 and 4.4).
l. When conformance examination and testing are required (see 4.4 and 4.5).
m. Packaging requirements (see 5.1).
n. Whether Material Safety Data Sheets are required (see 6.4).
6.3 Fire testing. Contractors are advised to review USCG 164.009 fire test requirements to determine whether their insulation product (manufactured in accordance with MIL-PRF-2818) automatically meets the criteria for non-combustibility without conducting prior fire tests, in which case only certification is required.
6.4 Material safety data sheets. When specified (see 6.2), contracting officers will identify those activities requiring copies of completed Material Safety Data Sheets (MSDSs) prepared in accordance with FED-STD-313. In order to obtain the MSDS, FAR clause 52.223-3 must be in the contract.
6.5 Lot acceptance and rejection criteria. If one or more defects are found in any sample (see 4.3.2), the entire lot should be rejected. The contractor has the option of screening 100 percent of the lot for the defective characteristic(s) or providing a new lot, which should be inspected in accordance with the sampling plan herein.
6.6 Toxicity evaluation. The NMCPHC requires sufficient information to permit an HHA of the product. Upon completion of the HHA, a copy will be provided by the NMCPHC to the Government for evaluation. The HHA process is described on the NMCPHC's website, http://www med.navy.mil/sites/nmcphc/industrialhygiene/Pages/health-hazard-assessment.aspx.
6.7 Material certification. Materials to be installed in submarines are to be controlled to prevent off-gassing, which contaminates the submarine's atmosphere and can result in health hazards to personnel or deleterious effects on machinery. These controls are administered through the Submarine Material Control Program, which is described in the Nuclear Powered Submarine Atmosphere Control Manual, S9510-AB-ATM-010 chapter titled "Material Control Program." Under the Submarine Material Control Program, all materials considered for use on submarines require certification and assignment of a usage category. Under the certification process, candidate materials are selected by Navy activities or contractors, and a request for certification is submitted to Commander, Naval Sea Systems Command, ATTN: SEA 05S, 1333 Isaac Hull Avenue, SE, Stop 5160, Washington Navy Yard, DC 20376-5160 or emailed to email@example.com. The certification request is accompanied by detailed information, including descriptions of the material, method of application, usage, and storage. A chemical analysis is conducted, which can be accomplished through off gas testing. If off gas testing is required, it must be conducted in a Government approved laboratory. Information pertaining to this test requirement may be obtained from Commander, Naval Sea Systems Command, ATTN: SEA 05S, 1333 Isaac Hull Avenue, SE, Stop 5160, Washington Navy Yard, DC 20376-5160 or emailed to firstname.lastname@example.org. Based on the chemical analysis results, a usage category is assigned to the material defining whether, and to what extent, the material may be used on submarines.
6.8 Certification. Consideration should be given to including certificates of compliance with each shipment of insulation. Certificates should indicate successful completion of the individual tests of conformance inspection.
6.9 Supporting members. Examples of supporting member configurations are as follows: 20-gauge, 1-inch 304 or 316 series stainless steel metal-wire mesh, approximately 1-inch hexagonal shaped on both sides of the insulation, or metal-wire mesh on one side and expanded metal lath (copper containing, not galvanized) having diamond shaped openings on the other side. When secured between supporting members, the supporting members are attached to each other by wires spaced 6¾ to 7¼ inches apart passing vertically through the blanket and should include rows within 2 inches from all edges of the blanket.
6.10 Subject term (key word) listing.
Insulation, boiler
Insulation, machinery
Metal mesh
Wire mesh
6.11 Changes from previous issue. Marginal notations are not used in this revision to identify changes with respect to the previous issue due to the extent of the changes.
Custodians:
Preparing activity:
Army – CR4
Navy – SH
Navy – SH
(Project 5640-2014-001)
Reviewer:
Navy – YD
NOTE: The activities listed above were interested in this document as of the date of this document. Since organizations and responsibilities can change, you should verify the currency of the information above using the ASSIST Online database at https://assist.dla.mil.
|
| | Health and Safety Executive Board | | | HSE/14/31 |
|---|---|---|---|---|
| Meeting Date: | | 9 April 2014 | FOI Status: | |
| Type of Paper: | | Above the line | Exemptions: | |
| TRIM Reference: | | | | |
PROPOSED PETROLEUM (CONSOLIDATION) REGULATIONS 2014:
OUTCOME OF PUBLIC CONSULTATION AND REQUEST TO PROCEED WITH IMPLEMENTATION
Purpose of the paper
1. To inform the Board of the outcome of the public consultation on the proposed Petroleum (Consolidated) Regulations 2014.
2. To seek Board approval to recommend to the Minister that the proposed Petroleum (Consolidation) Regulations 2014 are implemented.
Background
3. The consolidation of petroleum legislation is one of the five 'sector' consolidations the Government, in response to the Löfstedt review, committed to completing by the end of 2014. The Board approved the consultation exercise in October 2013 and the eight-week public consultation on the proposed draft Petroleum (Consolidated) Regulations 2014 closed on 7 February 2014.
4. We propose to repeal/revoke all existing legislation and to replace this with new regulations that consolidate, modernise, and, where practicable, simplify the current legislative arrangements, whilst maintaining existing standards of safety and reducing unnecessary burdens on business.
5. The proposed framework primarily covers storage of petrol at workplaces where petrol is dispensed (in the main at retail petrol filling stations), enforcement, nonworkplace storage (usually at domestic dwellings) and petrol containers. The development of the framework in the proposed draft regulations was carried out in an open and collaborative way, drawing on a wide range of views from industry, regulators, other government departments (OGDs) and hobbyists (whose activities involve storage of petrol).
Argument
6. Overall the consultation was well received and the 74 responses received did not indicate a need for a fundamental shift in any of the policy proposals. The majority of the proposals were supported with a high agreement rate, many in excess of 70%. The high level of agreement reflects work carried out with stakeholders in advance of developing the draft regulations. In particular, we worked closely with a group of key industry and enforcement representatives to develop proposals to replace the current licensing regime for petrol filling stations with a certification scheme. An analysis of the 74 responses is at Annex 1.
Petroleum Regulations 2014 – proposed framework
Petrol filling stations
7. In the case of petrol filling stations, both retail and non-retail (e.g. for filling of fleet vehicles), the current licensing regime is essentially concerned with the safe storage of petrol before it is dispensed into vehicle fuel tanks. Due to the intrinsic hazards of petrol and the associated public safety aspects, HSE wants to maintain public assurance that the risks of storage continue to be suitably controlled. There was general support, in line with the Board's earlier recommendation (at its meeting in September 2012), for the need to maintain a permissioning element for storing petrol at these premises.
8. The key change for petrol filling stations is the proposal to move away from licensing and to introduce a petroleum storage certificate. The certificate will relate specifically to the storage arrangements for petrol at the site and the proposed scheme will continue to provide the means for the local enforcing authority to satisfy itself that a site has in place appropriate physical arrangements for the safe storage of petrol. There was general agreement regarding the criteria for granting a petroleum storage certificate and the consultation provided many helpful comments on its proposed content that HSE will take into account for implementation.
9. The certificate, unlike the licence which is renewed every 1-3 years, will remain valid until a 'prescribed material change' (i.e. one that affects the validity of the petroleum storage certificate) is made, or the site is no longer in use. Some PLA respondents had strong views regarding the fact that the proposed regulations do not include responsibilities for site operators to notify other types of changes (and certain incidents such as petrol spillages) as is the case under current licence conditions. However, as a number of the changes cited relate directly to operational matters rather than the physical arrangements, these do not affect the validity of the petroleum storage certificate. Licence conditions are not formally included in the current legislative framework but HSE intends to revise the draft regulations to ensure some of the stakeholder comments in relation to proposed material changes are captured and that other notification requirements are detailed in guidance so these aspects are not lost.
10. The current licensing regime includes the facility to transfer a licence between operators when ownership of a petrol station changes hands. There was agreement (78%) with the proposal to remove the need for this administrative process and to instead introduce a simpler duty to notify the enforcing authority regarding such a change.
11. There were some differing views on the proposed transitional arrangements as sites move from licensing to certification over the next three years. The consultation highlighted industry's view that licences should be replaced by certificates when the regulations are implemented (or within 6 months of that date), while enforcers did not provide any strong views on this issue. To minimise burdens HSE proposes to maintain the transitional arrangements as drafted in the regulations. This will lead to a phased introduction of certification for existing sites as licences will be replaced with certificates as they expire or if a 'prescribed material change' takes place prior to the licence expiry date. This is beneficial for both business and enforcing authorities as on implementation no actions are required for sites that hold a valid licence.
Enforcement and enforcement authorities
12. There was a lot of support (89%) for the proposals to maintain the existing enforcement responsibilities. There was also support (89%) for renaming Petroleum Licensing Authorities (PLAs) to Petroleum Enforcing Authorities (PEAs) to better reflect the intentions of the new regulations.
Non-workplace storage
13. The draft regulations define what can be stored at non-workplace premises, (most commonly domestic dwellings), e.g. small quantities kept by individuals for fuelling private vehicles or for use in lawn mowers, boats, etc. The consultation confirmed our view that there is some confusion about the current requirements as concerns were raised regarding the introduction of new/different storage thresholds when in fact these have essentially remain unchanged. One of the aims of the consolidation is to bring clarity to this area and the regulations will be supported by updated guidance that clearly defines storage amounts and arrangements at non-workplace premises.
14. There was a high level of support (78%) for the proposal to maintain the licensing requirement for storage of more significant amounts at non-workplace premises because storage arrangements are likely to vary and duty holders are likely to have poorer understanding of the risks and hazards associated with storing petrol.
15. We received some helpful comments about the amounts of petrol that can be stored without notifying the enforcing authority or applying for a licence. The draft regulations proposed that no more than 20 litres could be stored in suitable portable containers (or no more than 30 litres in a demountable fuel tank). In light of the responses, HSE proposes to revise the draft regulations to reflect that for either type of storage the limit will be no more than 30 litres (or for a combination of the two types no more than 30 litres in total).
16. We received some incisive and well constructed comments from a respondent representing the interests of boat owners regarding storage on boats. HSE proposes to reflect these comments in the draft regulations to help ensure that boat owners, and others with similar requirements, will not be disadvantaged compared to the current situation, by the introduction of the new regulations.
Petrol containers
17. The current legislation in relation to plastic containers includes requirements for basic safety features with a supporting ACOP that contains a range of prescriptive provisions. There was strong support (91%) for the proposal to retain basic safety features and strong agreement (89%) to withdraw the ACOP (also see para 19 below), allowing for continuing innovation and further developments in technology. There were some differing views regarding the sizes of containers that should be permitted; for example, some were against raising the limit of plastic containers to 10 litres whilst others believed it should be raised to 20 litres.
18. HSE proposes to retain the basic safety features as set out in the draft regulations and also intends to take forward the limit of 10 litres for the size of plastic petrol containers. HSE has set up a stakeholder working group involving manufacturers, suppliers, distributors and enforcing authorities to work together to develop guidance on petrol containers. The aim is to take the container requirements in the draft regulations, consider what standards are available and develop guidance that supports the legal requirements.
Approved Codes of Practice (ACOPs) and Approved Document
19. There are two ACOPs and one Approved Document associated with the petroleum
consolidation work.
a) L133: Unloading petrol from road tankers. The proposal to review the ACOP was almost unanimously (98%) supported. Subject to separate Board approval a public consultation is planned for June 2014 with a view to publishing a revised version of L133 by the end of 2014.
b) COP6 – Petroleum-Spirit (Plastic Containers) Regulations 1982. Requirements for testing and marking or labelling. The plan to withdraw this ACOP was strongly supported (89% of respondents agreed with the proposal). As mentioned above HSE has set up a stakeholder working group to produce updated guidance regarding petrol containers.
c) L93 – Approved tank requirements. The provisions for bottom loading and vapour recovery systems of mobile containers carrying petrol. The plan to withdraw this Approved Document was strongly supported (94%) as the requirements are covered in other more appropriate legislation.
Devolved Administrations
20. The safe storage of petrol is not a devolved matter so the Petroleum (Consolidation) Regulations 2014 will apply to Scotland and Wales. Although having no specific comments on the proposals, the Scottish Government has been very helpful in resolving an issue in respect of the petroleum regulations relating to disused petrol tanks and links to a piece of primary legislation in Scotland. No comments were received regarding the proposals from the Welsh government. Northern Ireland has its own legislation and HSE informed them of the consultation but no response was received. Members of Scottish and Welsh petroleum enforcing authorities provided responses to the consultation and were also represented on the working group that developed the framework for the regulations.
Main risks identified
21. The draft regulations include provisions regarding the manufacture of petrol containers and fire-proofing in domestic premises. Therefore under the EU Technical Standards Directive they are considered to be a 'draft technical regulation'. This means there is a mandatory three month standstill period to provide EU Member States with the opportunity to comment on the draft regulations. The standstill period is due to end on 6 May 2014 and if an opinion is logged during this period it could result in a further 3 month standstill period for consideration of that opinion. No opinions have been logged thus far.
Timescales
22. The intention is to submit the regulatory package to the Minister during May 2014 so the regulations can be laid in June enabling them to come into force on 1 October 2014 (following Parliamentary scrutiny). However, if one or more EU Member State(s) logs an opinion in relation to the TSD then this could delay the process and consideration would need to be given to delaying the coming into force possibly to the next Common Commencement Date.
Communications
23. The consolidation team has begun work to ensure updated guidance is available in line with government timescales. We are working with stakeholders on guidance in relation to petrol containers and to assist enforcing authorities and industry in relation to transitional arrangements. We will also develop guidance for the public on the
dangers of petrol, the amounts that can be stored at private premises and the appropriate storage containers to use.
Action
24. The Board is asked to:
* note the outcome of the public consultation on the consolidation of petroleum legislation and;
* subject to agreement of HSE's proposals in response to the consultation, recommend to the Minister that the proposed Petroleum (Consolidation) Regulations 2014 are implemented.
Paper clearance
25. The HSE Senior Management Team at its meeting on 26 March 2014.
Consultation on Proposals for the Consolidation of Petroleum Legislation
Consultation Analysis
Introduction
HSE published a consultation on proposals for the consolidation of petroleum legislation to seek views from stakeholders. The consultation formally closed on 7 February 2014 and responses were received via a range of media.
This report is based on the 74 responses to the consultation document. As some respondents may have offered a number of opinions in relation to some but not all questions, total percentages under any one question are expressed as a measure of those answering each question, not as a measure of all respondents.
The breakdown of respondents is as follows:
Local/regional Government: 37 (50%)
Industry/business: 12 (16%)
Trade Associations: 9 (12%)
Public: 8 (11%)
Consultants: 2 (3%)
National Government: 2 (3%)
Non Government Organisation: 1 (1%)
Unions: 1 (1%)
Academic: 1 (1%)
Charity: 1 (1%)
The report starts with an overview, followed by a summary analysis of the responses to each question within the consultation.
Overview
The consultation was generally well received and there was a high level of agreement to most of the proposals (many in excess of 70%). This is likely to reflect the development of the proposals through close working with a stakeholder working group consisting of key industry and enforcement representatives.
In considering the responses we have taken into account the fact that around half of respondents currently work within Petroleum Licensing Authorities (PLAs) which outweighs the numbers of responses from industry/trade associations (who account for less than 30% of responses received). Industry responses were mainly received via their representatives/trade organisation(s).
This overview addresses the three main areas covered by the petroleum regulations, workplace storage (i.e. retail and non-retail petrol filling stations), non-workplace storage and petrol containers.
Workplace storage (retail and non-retail petrol filling stations)
A key element of the proposals is the replacement of a licence with a petroleum storage certificate for petrol filling stations. There was general agreement that, due to the dangers of petrol and the presence of the general public, there is a need to continue with a permissioning regime for storage of petrol at petrol stations. Overall, stakeholders understood how this will work in practice, but some enforcing authorities expressed concerns regarding the loss of some current licence conditions. For example, there were strong views from some PLAs regarding the fact that the regulations did not include responsibilities for site operators to notify them of certain incidents, e.g. petrol spillages, as in existing licence conditions, although, as with other licence conditions, this is not a legal requirement under the current legislative framework.
The consultation provided stakeholders with the opportunity to see a draft version of a petroleum storage certificate and the information it is proposed to include. Overall it had general support but, based on some comments received, it is felt that some respondents did not fully understand the exact purpose of the petroleum storage certificate. For example, a number of comments from PLAs related to day-to-day operational aspects rather than the storage of the petrol. However, the responses provided a range of useful comments/suggestions on the content of the petroleum storage certificate that will help improve it prior to implementation.
There were some differing views on the proposed transitional arrangements as sites move from licensing to certification. The consultation highlighted industry's view that licences should be replaced by certificates at implementation (or within 6 months of that date), although enforcers did not have strong views on this aspect. A number of respondents expressed concerns regarding what they perceived as a requirement, on transition, for existing sites to produce drawings (site plans), even where they do not currently exist, which could prove difficult and costly. This perception may be due to a lack of clarity in the consultation document as that is not the intention. It is proposed that drawings would only be required for new sites or where it is planned to make significant structural changes at a site. This will be clarified in the updated regulations and also be covered in guidance that supports the introduction of the new regulations.
There were some concerns raised regarding an anomaly in relation to the supply of petrol to those under sixteen years of age and this will be rectified in the regulations.
Non-workplace storage
Based on a number of the comments received, there appears to be a general lack of understanding of the current legislation for storage of petrol at non-workplace premises. Some concerns were raised regarding the 'introduction' of new/different storage thresholds but these essentially remain unchanged as do the notification/licensing requirements for this type of storage. This confirms that the current legislation is confusing and not well understood; a key aim of the consolidation is to bring clarity around this area.
We received some helpful comments on the amount of petrol that can be stored without notifying the Petroleum Enforcing Authority (PEA) and these will be taken on board. Additionally, we received some incisive and well constructed comments in relation to storage on boats that will help to ensure that owners, and others with similar requirements, will not be disadvantaged by the introduction of the new regulations.
Petrol containers
There was general support for the proposals relating to suitable containers for the storage of petrol. There were some differing views regarding allowing storage of petrol in 10 litre plastic containers, as some were against this whilst others believed the limit should be raised to 20 litres. The majority of respondents supported maintaining basic safety features for the design and manufacture of petrol containers and therefore the withdrawal of 'COP6 – Petroleum-Spirit (Plastic Containers) Regulations 1982. Requirements for testing and marking or labelling'. However, there was some disagreement with this view, particularly from two manufacturers of petrol containers stating that the withdrawal of the ACOP will lead to the development of low quality containers, particularly those made of plastic.
HSE proposes to retain the basic safety features as set out in the draft regulations but to help in this area HSE will work with manufacturers, suppliers, distributors and enforcing authorities to develop guidance on petrol containers.
Summary of responses
1 Do you agree or disagree with the proposed definition of 'petrol'?
There were 65 responses: 62 (95%) Agreed 3 (5%) Disagreed
There was mostly agreement with the proposed definition. One of those who disagreed provided a useful comment because, as currently written, the definition (read in conjunction with other aspects of the regulations) could potentially bring in substances that are not necessarily intended to be used as a fuel. HSE is reviewing these aspects of the draft regulations ahead of implementation to ensure this is not the case.
2 A petroleum enforcement authority must be 'satisfied that the containment system for petrol at the dispensing premises … may reasonably be used to store petrol without creating an unacceptable risk to the health or safety of any person' before granting a storage certificate. Do you agree or disagree with this requirement?
There were 64 responses: 44 (69%) Agreed 20 (31%) Disagreed
The majority of respondents agreed with this proposal although some PLA respondents commented that in order for them to reach this level of confidence additional information to that proposed should be provided by the dutyholder and therefore included in the regulations, e.g. schedule for the inspection and testing of the electrical installation, wet stock reconciliation system.
Some respondents from industry disagreed as they believe that this should be the case for new sites but not for existing sites which have a current licence granted by the enforcing authority. They expect that any site which is currently licensed would be granted a petroleum storage certificate as part of a 'deeming process' because if a licence is currently in existence the site has been judged suitable to store petrol by the enforcing authority. This is what is intended by the draft regulations and the requirement does not apply to existing sites on implementation.
A range of comments from those who disagreed raised other issues that were taken into account when reviewing responses to other consultation questions. Examples of these include:
* comments that are more relevant to the proposals on transitional arrangements / prescribed material changes;
* comments relating to day-to-day operational activities at the site rather than the specific issue of the containment system for storing the petrol;
* the competency of enforcing authorities and site operators.
HSE proposes to retain the requirement with respect to the granting of a petroleum storage certificate within the regulations without imposing additional burdens on industry.
3 Do you agree or disagree with the information that is included on the petroleum storage certificate - see Annex 1?
There were 61 responses: 32 (52%) Agreed 29 (48%) Disagreed
The purpose of this question was to help refine the detail of the information included in the certificate, so a level of disagreement was expected. Therefore, the consultation exercise has provided the opportunity to gather a range of comments.
Some of the key themes raised were:
* more clarity is needed in relation to drawings, e.g.
o definition of a drawing is required (including proposals for the definition);
* inclusion of additional documents, e.g. hazardous zone plan, details of dispensing equipment;
o more information needed when drawings are required, particularly in respect of existing sites;
* requirement to record the storage of other fuels on site;
* some comments (from respondents who disagreed) relate to additional information the site operator should have to provide to the PEA.
* specific comments on updating individual sections/wording on the certificate;
The responses provided useful information that will help HSE to adapt and update the petroleum storage certificate.
4 Do you agree or disagree with the proposal for notifying prescribed material changes?
There were 61 responses: 45 (74%) Agreed 16 (26%) Disagreed
Most respondents across the various stakeholder groups supported this proposal. The main theme from those who disagreed relates to terminology in the draft regulations regarding the role of the enforcing authorities where prescribed material changes take place, as it is currently stated that a petroleum storage certificate 'must' be issued. This implies that this is irrespective on whether the site remains safe for petrol storage which is not the intention and the regulations will be updated to ensure clarification on this point.
A number of PLAs suggested other types of changes that should be notified and this is covered at Q5 below.
The regulations will be supported by guidance that clearly explains the procedure for notifying changes that are not a prescribed material change, i.e. those that do not affect the validity of the petroleum storage certificate.
5 Do you agree or disagree with what is included in the list of items that constitute a prescribed material change at Schedule 1 of the draft regulations?
There were 60 responses: 28 (47%) Agreed 32 (53%) Disagreed
This question resulted in a slightly higher number of respondents who disagreed. In retrospect the consultation document could have been more explicit in describing what is meant by a prescribed material change as this is new terminology. The intention is not to include all those material changes that must currently be notified to enforcing authorities in line with existing model licence conditions as these are not specified explicitly in the current petroleum legislative framework. Under the proposed new regulations prescribed material changes are only those changes that directly relate to the storage of petrol at the site and therefore specifically what is included on the petroleum storage certificate.
Suggestions of some other 'material' changes to be notified include:
* grade change involving petrol & diesel;
* removal or installation of any part of the sites spillage containment system and leak detection system;
* installation of facilities which may affect site safety, e.g. LPG cage, ATM machine.
Many of the comments in disagreement relate to day-to-day operational issues rather than directly relating to the storage of the petrol. However, a number of common themes were raised regarding the content of the certificate (plus reference to some minor drafting errors in the proposed regulations). The key issues raised were:
* absence of any specific reference in Schedule 1 to any alteration to the site spillage containment/drainage systems;
* clarification required where some, but not all, storage tanks are decommissioned;
* there should be specific reference to petrol pump/dispensers so that it doesn't include diesel (or even water dispensers) which do not come under the remit of the Petroleum Enforcement Authority.
These issues will be addressed in an updated version of the petroleum storage certificate.
6 Do you agree with the proposed timeframe for notifying a prescribed material change to the enforcing authority?
There were 60 responses: 52 (87%) Agreed 8 (13%) Disagreed
The vast majority of respondents agreed with the proposed timeframe, many stating that it is a reasonable period. In the main, the comments from those who disagreed were not directly relevant to the question asked but related to comments that a duty holder should be aware of the consequences for failure to notify the PEA of a prescribed material change.
HSE proposes to maintain the timeframe as detailed in the draft regulations.
7 The table at Appendix 1 of the petroleum storage certificate lists other changes that could be notified to the PEA and, in some cases, may result in the issuing of a new certificate. Do you agree that such changes are notified to the enforcing authority?
There were 61 responses: 44 (72%) Agreed 17 (28%) Disagreed
The majority of respondents agreed with the changes that should be notified and the responses provided useful information for development of the petroleum storage certificate. Many who agreed thought some other types of changes should be incorporated into the regulations but that is not our intention as the operational aspects referred to, e.g. change to the mode of operation, are not related to the storage of the petrol and under the proposed regulations not considered a prescribed material change, i.e. because it would not result in a new certificate being required.
A number of the respondents who disagreed referred directly to the comments they made in their response to Q4 and are captured above.
In line with many responses, it is proposed that 'other changes' will not form part of the petroleum storage certificate but will be incorporated into supporting guidance.
8 Do you agree or disagree with the proposal to remove the transfer procedure for petrol filling stations?
There were 60 responses: 47 (78%) Agreed 13 (22%) Disagreed
The majority of respondents agreed with the proposal to remove the transfer procedure and it was particularly welcomed by many. Some commented that the current transfer fee (£8) in no way covers PLA costs for transferring and re-issuing a licence, and it is burdensome for the operator. The proposed notification of a change of site operator achieves the same goals without the burdens and cost implications.
There were concerns from some respondents who disagreed because they believed it may result in a site not having a registered operator in place. This eventuality should not occur as the regulations place a legal responsibility on those leaving or taking over a site to notify the enforcing authority at least 28 days in advance of this occurring. Some commented that there should be evidence that a new operator is competent to operate a site, this is not contained in current petroleum legislation but is required under other relevant health and safety law.
HSE intends to remove the transfer procedure for petrol filling stations and as proposed include a simpler notification process in the regulations.
9 Do you agree or disagree with the procedure and timescales to notify a change of site operator?
There were 60 responses: 55 (92%) Agreed 5 (8%) Disagreed
The vast majority of respondents agreed with this proposal and no-one disagreed with the proposed timescales. Some of those who agreed stated that a definition of an operator is required and also that sanctions should be put into place for failure to adhere to the prescribed procedure. As above, there were comments that there is a need to check the competency of the new site operator. It is not proposed that competency will form part of the regulations as such a requirement is not in current petroleum legislation but is required under other health and safety law.
The procedure and timescales were agreed and will be included in the regulations. The methods acceptable for notification, e.g. email, will be incorporated into supporting guidance.
10 Do you agree or disagree with the proposed transitional arrangements?
There were 58 responses: (72%) Agreed
16 (28%) Disagreed
Although the vast majority of respondents agreed with this proposal, some of the disagreement appears to be caused by some minor drafting errors regarding references within the draft regulations. Also, some respondents commented that it appeared that at the point of transition all sites would be expected to have drawings for the site, which is not the case.
Industry respondents generally believe that all petrol filling stations should receive a new certificate immediately after the new regulations come into force (or within 6 months of that date).
PLAs generally commented that they agreed with the proposals believing them to be straightforward and achieve an enhanced level of consistency in administration. However, to achieve a smooth transition, there is a need for comprehensive guidance to be developed and published via the Petroleum Enforcement Liaison Group (PELG). PELG have already highlighted the need for such guidance and believe they are the appropriate body to take this work forward.
11 Do you agree or disagree with the proposals to review and update the ACOP L133 on the unloading of petrol?
There were 61 responses: 60 (98%) Agreed 1 (2%) Disagreed
There was universal agreement amongst respondents to this question as the only comment that disagreed did not reflect the question asked.
12 Do you agree or disagree with the withdrawal of the ACOP L93?
There were 49 responses: 46 (94%) Agreed
3 (6%) Disagreed
The vast majority of respondents agreed with this proposal. There was only one fundamental disagreement with its withdrawal but this was a general point against HSE removing any ACOPs, rather than it being specific to L93.
13 What is the impact, if any, of withdrawing ACOP L93?
There were 46 responses.
Most of the comments (39) stated there would not be an impact. A concern was raised that some important information may be lost but as explained in the consultation document the requirements contained in this ACOP are covered via appropriate environmental and transportation legislation.
Therefore, as proposed, the ACOP will be withdrawn as part of the consolidation exercise.
14 Do you agree or disagree with the proposals for retaining the current enforcement bodies and enforcement arrangements?
There were 63 responses: 56 (89%) Agreed 7 (11%) Disagreed
Consideration of the respondents is important because, as mentioned above, 50% of the overall responses to the consultation came from enforcing authorities who currently carry out the petroleum licensing authority role and all therefore support this proposal.
Some of those who agreed stated that this is subject to PEAs being required to follow the National Local Authority Enforcement Code (although they are already bound by this and it is not a new requirement of the regulations). One respondent, although agreeing with the proposals for petrol filling stations thought that non-workplace storage should be enforced by the fire and rescue service/police.
Some disagreement related to an error in the draft regulations which appeared to change enforcement responsibility in some councils. This was not the intention, has been recognised and will be corrected. There were also comments relating to the training and competency of some staff in enforcing authorities but, as mentioned at Q9 above, this does not form part of the proposed regulations.
HSE proposes to retain existing enforcement arrangements as laid out in the draft regulations, ensuring that the error regarding councils is corrected.
15. Do you agree or disagree with the proposal to change the name from Petroleum Licensing Authority (PLA) to Petroleum Enforcement Authority (PEA)?
There were 61 responses: 54 (89%) Agreed 7 (11%) Disagreed
The vast majority of respondents agreed with this proposal, many stating that the name is more appropriate as it better reflects their role and the intentions of the draft regulations. Two of the respondents who disagreed quoted possible cost implications in effecting the change. There is no evidence to support this and the intention is to use the new terminology once the regulations are implemented.
16. The draft regulations include a provision for saving existing byelaws – do you agree there is a need to preserve the effect of existing byelaws?
There were 55 responses: 36 (65%) Agreed 19 (35%) Disagreed
The majority of respondents agreed that existing byelaws should be preserved but it appears that some respondents may have been confused in how the question was phrased. For example, although agreeing with the proposal their comments disagree with the retention of the byelaws. Although the majority of people agreed with the proposal those who registered disagreement had stronger comments, a number citing inconsistency if byelaws are retained.
The consultation responses did not provide any detail regarding existing byelaws although such information was not specifically requested. The provision to retain existing byelaws will be maintained within the draft regulations.
17 Do you agree or disagree that HSWA section 20 and 25 powers provide sufficient powers for enforcement purposes?
There were 61 responses: 43 (70%) Agreed 18 (30%) Disagreed
The majority of respondents agreed with this proposal but there were a number of contradictory comments, particularly from the range of PLAs that responded. Some of them disagreed and expressed concerns regarding their powers of entry into domestic premises whilst some others agreed and stated that HSWA powers are sufficient and appropriate for all their enforcement purposes. One respondent pointed out that these powers are subject to the review of the impact of the Protection of Freedoms Act 2012 (which may subsequently have an impact on section 20 powers). [See Q18 for how HSE proposes to take this forward.]
18. Do you agree or disagree that all of the powers provided by Section 18 of the Petroleum (Consolidation) Act 1928 need not be retained?
There were 61 responses: 40 (66%) Agreed 21 (34%) Disagreed
This question is very closely linked with question 17 and therefore resulted in a similar outcome as the majority of respondents agreed with the proposal. A number of respondents from PLAs stated that the section 18 power enabling entry into domestic premises, even though rarely (if ever) used, should be maintained in the new regulations. However, as with Q17 above, this is contradicted by some other PLAs who state that powers provided under HSWA are sufficient and appropriate.
HSE intends to retain the provisions as laid out in the draft regulations, particularly in relation to the scrutiny of powers as part of the review of the impact of the Protection of Freedoms Act 2012. It would prove very difficult to include specific provisions within petroleum regulations where powers already exist in other relevant legislation, i.e. HSWA.
19. Do you have any comments on the proposal to continue with the current appeals procedure?
There were 52 responses.
More than half of the responses (27) stated they had no comments and a further three were not relevant to the question asked. The other responses supported the continuation of an appeals procedure as part of the new regulations and these provisions will be maintained.
20. Do you agree or disagree with retaining petroleum licensing for storage at domestic and other relevant premises?
There were 63 responses: 49 (78%) Agreed
14 (22%) Disagreed
The majority of respondents agreed with this proposal. In the main those who disagreed did not appear to do so in principle as their comments were relevant to the amounts that can be stored rather than the concept of licensing (these comments are incorporated within Q22 below). Although some respondents disagreed this was not in line with their supporting comments which stated that a control mechanism for domestic storage must be retained.
Overall, there was a high degree of support to retain licensing at these premises and this will be maintained within the draft regulations.
21. Do you agree or disagree that licences for storage at domestic and other relevant premises should not be transferable?
There were 60 responses: 54 (90%) Agreed
6 (10%) Disagreed
The vast majority of respondents agreed with this proposal, some pointing out that any change of ownership of non-workplace premises, at which a licence to store petrol is in existence, needs to be subject to some formal arrangement to ensure that the new owner knows their responsibilities.
Two of the respondents who disagreed did so as they disagreed with the principle of licensing. Two had missed a definition contained within the regulations and another appeared to misunderstand the question asked. One person commented that there should be a provision in relation to when someone dies so was not actually disagreeing with the question asked.
There was no strong opposition to this proposal and this provision will be maintained in the regulations.
22. Do you agree or disagree with the proposed storage amounts at domestic and other relevant premises?
There were 63 responses: 37 (59%) Agreed 26 (41%) Disagreed
A proportion of those who disagreed appear to misunderstand the current position on storage at such premises, believing that the regulations were introducing new controls whereas they essentially reflect the current situation. One respondent raised concerns over the proposal to increase the size of plastic/metal containers that could be used to store petrol.
The consultation resulted in some excellent feedback on this issue including notable information from one particular respondent representing the interests of boat owners, regarding the position of storage on boats. HSE proposes to reflect these comments in the draft regulations to help ensure that boat owners, and others with similar requirements are not disadvantaged by the introduction of the new regulations.
We received some very helpful comments regarding the amounts of petrol that can be stored without notifying the enforcing authority. The draft regulations proposed that no more than 20 litres can be stored in suitable portable containers (or no more than 30 litres in a demountable fuel tank). In response to consultation comments, HSE proposes to revise the draft regulations to reflect that for either type of storage the limit is no more than 30 litres (or for a combination of the two types no more than 30 litres in total).
23. Do you agree or disagree with the proposals to maintain basic safety features for the design and manufacture of petrol containers within the new regulations?
There were 64 responses: 58 (91%) Agreed 6 (9%) Disagreed
The vast majority of respondents agreed with this proposal. A number of those who agreed stated that it would be preferable if all containers were manufactured to a BS EN Standard and have UN approval for transportation. A number of respondents believe that the regulations simplify the information regarding containers and also allows for future development of suitable containers.
It was pointed out that the onus should be on the individual using and filling such containers to ensure that they are appropriate although site operators have a duty to provide adequate information through signage or reference guidance.
There were mixed views on what sizes of containers should be allowed to be used with some respondents keen to retain a maximum of 5 litres for plastic whilst others stated this should be raised to 20 litres (and another respondent suggested only metal cans should be allowed). Others stated that the proposed container sizes are helpful as it is better aligned with containers available throughout the EU.
HSE proposes to retain the basic safety features and also intends to take forward the limit of 10 litres for the size of plastic petrol containers as proposed in the draft regulations. As mentioned above, HSE has set up a stakeholder working group to develop guidance on petrol containers to ensure that there is guidance on the quality expected.
24. Do you agree or disagree with the proposal to withdraw, without replacement, the ACOP on plastic petrol containers?
There were 63 responses: 56 (89%) Agreed 7 (11%) Disagreed
The vast majority of respondents agreed with this proposal and there were many similar comments to those for Q23 in relation to a possible BS EN Standard (and UN Approved). Some of those who agreed stated the ACOP is outdated often conflicts with other European standards, creating an additional burden on UK manufacturers and retailers.
Those who felt most strongly against this proposal were two companies who manufacture petrol containers stating that the withdrawal of the ACOP will lead to the development of low quality containers, particularly those made of plastic.
As previously mentioned, HSE proposes to retain the basic safety features as set out in the draft regulations and has set up a stakeholder working group to work together to develop guidance on petrol containers.
25. What is the impact on you, if any, of withdrawing COP6?
There were 55 responses.
Of the 55 responses received to this question, 36 said there was no impact or stated no comment. Many of the comments referred directly to responses given to Q24. A number of respondents requested that clear guidance should be produced and others believe it to be a good idea as it allows other appropriate containers to be used.
HSE proposes to withdraw the ACOP as part of the consolidation exercise and will work closely with the working group to develop guidance on petrol containers.
26. Do you agree that LNG is not currently stored and is unlikely to be stored in the future at non-workplace premises?
There were 55 responses: 49 (89%) Agreed 6 (11%) Disagreed
The vast majority of respondents agreed with this proposal. The comments of five of those who disagreed related to potential future use of LNG, for example, in heating systems but none made a strong case that storage is likely to take place.
See Q27 below.
27. Do you agree or disagree with the proposal to revoke The Petroleum (Liquid Methane) Order 1957?
There were 54 responses: 53 (98%) Agreed 1 (2%) Disagreed
With the exception of one respondent to this question there was unanimous support for revocation of The Petroleum (Liquid Methane) Order 1957. The respondent who
disagreed did so as they were uncertain of the purpose for the revocation. There were plenty of comments in support of its revocation with the key themes being:
* Applicability of DSEAR (at workplaces);
* The regulations deal specifically with petrol.
* No longer relevant;
The responses to Q26 and Q27 support the revocation of The Petroleum (Liquid Methane) Order 1957 as part of the consolidation work.
28. Do you agree or disagree that the exceptions included in The Dangerous Substances (Notification and Naming of Sites) Regulations 19900 (NAMOS) should continue with the proposed certification scheme?
There were 44 responses: 42 (95%) Agreed
2 (5%) Disagreed
There was almost unanimous agreement with this proposal. Of the two respondents that disagreed, one offered no reason and the other seemed to misunderstand the purpose of the NAMOS Regulations. Therefore, the exceptions in the NAMOS Regulations will continue to apply to petrol filling stations as defined in the draft regulations.
29. Do you agree or disagree with the proposal to revoke The Petroleum (Mixtures) Order 1929?
There were 53 responses: 51 (96%) Agreed 2 (4%) Disagreed
All but two respondents agreed with this proposal. There was a lot of support for the proposed revocation and the main supportive comment was that the updated proposed definition within the draft regulations makes the Petroleum (Mixtures) Order redundant. The two that disagreed offered no reason for doing so. Therefore, the Petroleum (Mixtures) Order will be revoked, as proposed, as part of the consolidation exercise.
30. Do you agree or disagree with the analysis in the impact assessment?
There were 45 responses: 23 (51%) Agreed 22 (49%) Disagreed
Responses on this were evenly split with one more respondent agreeing rather than disagreeing. A key reason for seven of the respondents disagreeing was to clarify data regarding the current breakdown of petrol filling station operators. Three of those who disagreed did so in relation to potential costs for operators providing drawings (and three alluded to PEAs potentially increased printing costs) once the new regulations are implemented. There were also some generic comments such as "too many assumptions", "too early to judge".
There was a small degree of challenge to some of the assumptions made and therefore some of the figures (not including the site operator data mentioned above) in the impact assessment. However, no new information to better inform the impact assessment was provided in the responses received.
HSE updated the Impact Assessment in line with the clarifications received.
31. Is there anything you particularly like or dislike about this consultation?
There were 48 responses.
The most common dislike was from seven (7) respondents, in particular industry representatives, who stated that the consultation period of 8 weeks was too short, particularly as it encompassed the Christmas holiday period.
Most of the other comments picked up on issues relating to a rage of other questions asked as part of the consultation and these have been taken into account in the analysis
of the relevant question(s).
32. Do you have any other comments on the proposals that have not been covered by this questionnaire?
There were 60 responses to question 32 many of which re-iterated or related to comments that have been captured above. Some key themes of the responses to this question were:
* comments on various aspects of the content of the consultation document;
* ability to grant temporary licences;
* querying why the regulations ceased to have effect after 7 years;
* limiting the number of containers that can be filled (by the public) at petrol stations.
* under age sale/supply of petrol;
* specific points regarding various provisions in the regulations;
* links between payment of fee and 'period(s)' of certification;
* record keeping responsibilities of site operators;
* requirement to notify a range of incidents to the PEA;
* exemption for testing of dispensers for accuracy or during repairs;
* future legislation of petrol and links with 'new' fuels, e.g. hydrogen.
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IN THE UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF TEXAS TYLER DIVISION
ORDER DENYING MOTION TO DISMISS
Now before the Court is Defendant last.fm Ltd.'s motion to dismiss for lack of personal jurisdiction and improper venue (Doc. No. 520). 1 Having considered the parties' briefing and the applicable law, the Court DENIES the motion.
I. BACKGROUND
This action involves dozens of cases against unrelated Defendants for infringement of four patents: U.S. Patent Nos. 7,346,472 (the '472 Patent), 7,660,700 (the '700 Patent), 7,949,494 (the '494 Patent), and 8,214,175 (the '175 Patent). The four related patents in suit describe a method and device for monitoring and analyzing signals. The inventor describes the patented technology as "signal abstracting" prevalent in the field of digital security, with examples such as "digital fingerprinting." Plaintiff accuses last.fm's Scrobbler technology, a music recommendation service and social music platform, of directly and indirectly infringing each of the patents in suit.
The Court consolidated the cases into the above styled action. The consolidation was for pretrial purposes, including claim construction and discovery. After the consolidation, Defendant last.fm moved to dismiss Plaintiff's complaint for lack of personal jurisdiction and improper venue. By agreement of the parties, Plaintiff conducted jurisdictional discovery.
1 Defendant CBS Corporation originally joined in the motion, but Plaintiff has since dismissed its claims against CBS Corporation.
II. MOTION TO DISMISS
a. Legal Standard
In patent cases, personal jurisdiction intimately relates to patent law, and Federal Circuit law governs the issue. Silent Drive, Inc. v. Strong Indus., Inc., 326 F.3d 1194, 1201 (Fed. Cir. 2003). If the parties have not conducted jurisdictional discovery, a plaintiff need only make a prima facie showing that the defendant is subject to personal jurisdiction, and the pleadings and affidavits are to be construed in the light most favorable to the plaintiff. Id. Without an evidentiary hearing, the burden of establishing a prima facie showing of jurisdiction is on plaintiff. Elecs. for Imaging, Inc. v. Coyle, 340 F.3d 1344, 1349 (Fed. Cir. 2003).
Absent a controlling federal statute, a plaintiff may establish (1) personal jurisdiction under Texas's long-arm statute and (2) that the exercise of personal jurisdiction comports with due process. 3D Sys., Inc. v. Aarotech Labs., Inc., 160 F.3d 1373, 1376–77 (Fed. Cir. 1998). The Texas long-arm statute authorizes the exercise of jurisdiction over non-residents "doing business" in Texas. Gundle Lining Constr. Corp. v. Adams Cnty. Asphalt, Inc., 85 F.3d 201, 204 (5th Cir. 1996) (citing Tex. Civ. Prac. & Rem. Code § 17.042). The Texas Supreme Court has interpreted the "doing business" requirement broadly, allowing the long-arm statute to reach as far as the federal Constitution permits. Id. (citing Schlobohm v. Schapiro, 784 S.W.2d 355, 357 (Tex. 1990)). Thus, the two-step inquiry is actually one federal due process analysis. Johnston v. Multidata Sys. Int'l Corp., 523 F.3d 602, 609 (5th Cir. 2008).
A court's exercise of personal jurisdiction over a non-resident defendant comports with constitutional due process requirements when (1) the defendant "purposefully availed" itself of the benefits and protections of the forum state by establishing "minimum contacts" with that state, and (2) the exercise of personal jurisdiction does not offend traditional notions of "fair play and substantial justice." Moncrief Oil Int'l, Inc. v. OAO Gazprom, 481 F.3d 309, 311 (5th Cir. 2007) (citing Int'l Shoe Co. v. Washington, 326 U.S. 310, 316 (1945)). Both prongs must be satisfied for a court to exercise personal jurisdiction over the defendant. Johnston, 523 F.3d at 609.
The "minimum contacts" prong is further subdivided into contacts that confer "specific jurisdiction" and those that confer "general jurisdiction." General jurisdiction exists "when a non-resident defendant's contacts with the forum state are substantial, continuous, and systematic." Johnston, 532 F.3d at 609 (citing Helicopteros Nacionales de Colombia, S.A. v. Hall, 466 U.S. 408, 414–19 (1984)). The defendant's contacts with the forum state are evaluated "over a reasonable number of years, up to the date the lawsuit was filed." Id. at 610 (quoting Access Telecomm, Inc. v. MCI Telecomms. Corp., 197 F.3d 694, 717 (5th Cir. 1999)). These contacts must be considered together, rather than in isolation from one another. Id. When general jurisdiction exists, the forum state may exercise jurisdiction over the defendant on any matter, even if the matter is unrelated to the defendant's contacts with the forum. See id. at 613.
When a plaintiff asserts specific jurisdiction over a non-resident defendant, the Court must determine "(1) whether the defendant purposefully directs activities at the forum's residents; (2) whether the claim arises out of or relates to those activities; and (3) whether assertion of personal jurisdiction is reasonable and fair." AFTG-TG, LLC v. Nuvoton Tech. Corp., 689 F.3d 1358, 1361 (Fed. Cir. 2012). Suffering harm in Texas is insufficient to establish specific jurisdiction. Revell v. Lidov, 317 F.3d 467, 473 n. 41 (5th Cir. 2002). Rather, the focus of the specific jurisdiction inquiry is on "the relationship between the defendant, the forum, and the litigation." Freudensprung, 379 F.3d at 343 (quoting Burger King Corp. v. Rudzewicz, 471
U.S. 462, 474 (1985)). "Random, fortuitous, or attenuated contacts" do not satisfy the minimum contacts requirement. Moncrief, 481 F.3d at 312.
If the plaintiff makes a prima facie showing of minimum contacts, then the burden shifts to the defendant to show that the Court's exercise of jurisdiction would not comply with "fair play" and "substantial justice." Freudensprung, 379 F.3d at 343. The Court's fundamental fairness analysis must consider (1) the burden on the defendant; (2) the forum state's interests; (3) the plaintiff's interest in convenient and effective relief; (4) the judicial system's interest in efficient resolution of controversies; and (5) the several states' shared interest in furthering fundamental social policies. Stroman Realty, Inc. v. Wercinski, 513 F.3d 476, 487 (5th Cir. 2008).
b. Analysis
i. Personal Jurisdiction
The following facts are undisputed: last.fm is a U.K. corporation with its principal place of business in London. Defendant last.fm has no physical presence in Texas. Defendant last.fm's website is available worldwide. More than 1 million Texas residents are registered users of last.fm's products, having registered through last.fm's website. Texas users comprise less than 2% of last.fm's customers.
Plaintiff largely hangs its jurisdictional argument on the presence of last.fm's Texas customer base, which represents customers who have subscribed for last.fm's services over the Defendant's website. Plaintiff also notes that last.fm has participated in the annual South by Southwest festival in Austin, Texas. 2
2 The parties dispute the extent of last.fm's participation in the South by Southwest festival. This issue is not relevant to the Court's analysis, and thus the Court does not address the parties' dispute.
Defendant claims that its website is merely passive, and that the presence of more than 1 million Texas subscribers is merely the result of the subscribers' unilateral action, which cannot support jurisdiction. See Garnet Digital, LLC v. Apple, Inc., No. 6:11-CV-647, 2012 WL 4465260, at *2 (E.D. Tex. Sept. 27, 2012) ("The test for minimum contacts focuses on defendant's actions with the forum state and not a third party's independent actions."). But contrary to Defendant's argument, the Court finds a distinction between customers who directly subscribe for last.fm's service through its website, and other downstream customers.
The critical issue, then, in this jurisdictional dispute, is whether last.fm's website is sufficiently interactive to support the Court's exercise of jurisdiction. The Court uses a sliding scale approach to assess whether a company's website is a purposeful contact. Revell v. Lidov, 317 F.3d 467, 2002 WL 31890992, at *2 (5th Cir. Dec. 31, 2002). At one end of the sliding-scale analysis are passive websites "that does nothing more than advertise on the internet." Mink v. AAAA Dev. LLC, 190 F.3d 333, 336 (5th Cir.1999). A passive website does not establish a purposeful contact that can support the Court's exercise of jurisdiction. Id. At the other extreme are websites through which a company does business over the Internet. Id. In the middle, are websites that allows for some exchange of information between the user and the website host. Id. As to the websites falling in this middle range, the Court considers the level of interactivity and commercial nature of the website. Id.
In this case, the parties agree that more than 1 million Texas residents have subscribed to last.fm's services via its website. Furthermore, users are prompted to enter their location, which has at least some effect on the services then provided to the user. Under these circumstances, the Court finds that last.fm has purposefully directed its contacts to Texas. Furthermore, Plaintiff has established that its claims arise out of these contacts, i.e., use of the accused services by Texas subscribers.
Defendant also argues that the Court's exercise of jurisdiction offends traditional notions of fair play and substantial justice in violation of the constitutional Due Process requirement. Under this prong of the specific jurisdictional analysis, Defendant bears the burden to demonstrate that the relevant factors favor declining jurisdiction. Freudensprung, 379 F.3d at 343. Having considered the relevant factors, the Court does not agree that the exercise of jurisdiction in Texas offends the constitutionally mandated considerations. The Court notes that last.fm operates internationally and has more than 1 million subscribers in Texas. Thus, the Court finds that its exercise of jurisdiction comports with the traditional notions of fair play and substantial justice.
ii. Venue
In its motion, Defendant argues that venue is improper under 28 U.S.C. § 1400(b). But as Plaintiff notes, Defendant's argument is upended by the Supreme Court's holding in Brunette Machine Works Ltd. V. Kockum Indus., Inc. that § 1400(b) does not apply to foreign defendants, like Last.fm. 406 U.S. 706, 713–14 (1972). Instead, venue against a foreign defendant is determined in accordance with the general venue statute, 28 U.S.C. § 1391(c)(3), which permits venue to lie against a foreign defendant in "any judicial district." Accord In re Princeton Digital Image Corp., 496 F. App'x 73, 74-75 (Fed. Cir. 2012).
III. CONCLUSION
For the reasons discussed more fully above, the Court DENIES Defendant last.fm Ltd.'s motion to dismiss for lack of personal jurisdiction and improper venue (Doc. No. 520)
It is SO ORDERED.
SIGNED this 31st day of March, 2014.
____________________________________
MICHAEL H. SCHNEIDER UNITED STATES DISTRICT JUDGE
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SPORT FOR THE FORMATION OF THE PERSON: "SPORT AS AN EDUCATIONAL TOOL, TRAINING OF ADULTS AND CHILDREN: A RESOURCE FOR SCHOOL AND STRATEGY FOR THE JOB"
Francesco Perrotta and Angelo Pannelli
Department of Education, University of Macerata, Italy
Review paper
Abstract
The Sport is synonymous with competition, conflict, rivalry, self-promotion and challenge to the last breath with the dominance of its competitive, crucial to enhance their values more related more to the fight and the contrast between the contenders that all ' meeting, by comparison and the discovery of self and other . Meet, debate and discovery that underlie the growth and formation of the person, a pedagogy capable of driving the subject for the construction and sharing of basic rules for its social life, to discover and experience the values of tolerance, loyalty, solidarity, fraternity and belonging .A purpose and an educational, two concepts that travel in harmony with each other, lead us to understand how body - movement -sport promotes awareness of self, environment and possibilities of movement and also contribute to the formation of personality pupil through knowledge and awareness of one's bodily identity.
Key words: sports, educa tional, healthy competition, comparison and performance, solidarity, school
Introduction
The Sport is synonymous with competition, conflict, rivalry, self-promotion and challenge to the last breath with the dominance of its competitive, crucial to enhance their values more related more to the fight and the contrast between the contenders that all ' meeting, by comparison and the discovery of self and other . Meet, debate and discovery that underlie the growth and formation of the person, a pedagogy capable of driving the subject for the construction and sharing of basic rules for its social life, to discover and experience the values of tolerance, loyalty, solidarity, fraternity and belonging A purpose and an educational, two concepts that travel in harmony with each other, lead us to understand how body - movement -sport promotes awareness of self, environment and possibilities of movement and also contribute to the formation of personality pupil through knowledge and awareness of one's bodily identity.
Investigation data collection
In the common meaning today we intend to sport a physical activity that is carried out on at least three different levels of emotional investment : for competition, for fun, as a healthful activity . These levels are anthropologically and psychologically acceptable if they occur together and integrated with one another, without the prevalence of a design on the other .In particular, we intend to do for the speech, a redefinition is necessary just because we want marcarne the meanings of education and training, being men, that sport still can express even though, in my opinion these meanings are covered and masked modified by many influences pollutants. The sport, for us, is as a vehicle for growth. The use of sports metaphors for the svuluppo of a team and of the person. The sport as a metaphor of shared challenge and tension to success. The shared objective, the importance of the role, the respect and the ability 'to manage the skills that are here now alongside the training of a sports team and a team that make it unique. Success is not only given dale technical skills, but the ability to use such competenzde for his own good and his own team, such as: Sense of belonging to a group; Discovery of values; Development of problem solving skills and proactivity; Acceptance of the challenges and the opportunity to learn from mistakes; Management of emotion (fear, shyness, aggressiveness) and expansion of self-esteem. Sporting activity well as conduct training in childhood can get some results. Starting from the basic concept that sport is an activity specifically psychomotor activity, that is, that necessarily combines physical condition, psychological skills with cognitive and emotional elements that do bind to experiences that are then conditioning on subsequent behaviors.
Model construction set
The purpose of a sport training in childhood can be summarized as follows: build a harmonious development of the individual through the expression of personal skills both physical and mental, through compensatory mechanisms of deficiencies and hardships; establish a habit to finalize a healthy competitiveness in a complementary relationship with the cooperation and sharing; increase self-esteem as a basic element of personal safety starting from the concrete bodily ego involved and built in attachment dynamics contain, finalize in a constructive way relational aggression both physiological and reactive; enable the ability to ask, understand and respect the rules of the game. All this can be achieved through an educational relationship that tends not only to train both the body and the mind in that specific
discipline, but also to facilitate an awareness of what you do and what happens, but also of bodily sensations and emotions. This element of awareness is essential for the formation because it is the essential basis to develop that sense of limits and possibilities that builds the critical sense which is the more correct expression of a mature and balanced. Critical to conclude this speech is to try to define what is meant by the educational relationship, given that a report of this kind is needed to bring and return the formative significance of sport in children. The concept of education has had in the history of thought, different and diverse definitions, always in tune with the ideologies historically and culturally determined. With the rise of psychology and pedagogy that although human sciences, have agreed to also be based on an epistemological status of science, things have changed in the sense that the measure of the method and often also of the content of education are no longer ideologically arbitrary. This ultimately means that a good education should take into account the developmental level of the student and the quality of the relationship between educator and educating. And ' now clear that children, and those in children in general show a sensitivity and a chance to learn different depending on age, in close relationship to the level of cognitive and emotional maturation and in relation to meaningful relationships on which they depend in much of the motivation to learn. In the school teachers should educate children and teenagers to the sport. I personally think that educating means helping each other to come out, to manifest, to be realized according to its potential. Children need to play, as a top priority in their lives. through the game to learn how to live . the other is not required, they are not adults. it is important to give to the children's experiences of movement, tied to the gameplay fun. In addition, today's children live in the house paradoxically, where you created a fake reality that makes up the real one, they move, for example, in front of a tool called wii fit that simulates reality. The boy thinks of walking, because the video before he throws a tree-lined avenue, a meadow, clouds, obstacles, but in reality it has not moved really, did not breathe the air outside, has not run out, nor has come really a way. It is therefore necessary to return to the street game, but where this is not possible, the experience of the sport played out, as a group, makes up beautifully to it, I remember from our childhood. The European Union and the World Health Organization have identified promotion of education " LIFE SKILLS " one of the priority objectives of educational policies and actions to promote among the younger generations and adults, such as: Problem Solving, address and solve everyday problems in a constructive way, Critical Thinking and Creative Thinking, analyze the situation in an analytical way, exploring alternatives and finding original solutions, Effective communication, express yourself in a manner appropriate to the situation and the interlocutor, both verbal and non-verbally Empathy, recognize, discriminate, share the emotions of others Emotional management and stress management, recognize and regulate their emotions and states of tension Personal effectiveness, to effectively organize a series of actions needed to cope with new situations, tests and challenges Collective efficacy, system of values and beliefs shared by a group about the ability to achieve common goals.
Considerations
For us, educate, it means, basically, propose a target and accompany him to his pursuit, train, educate, fatigue, perspiration. With regard to propose a target and accompany him to his pursuit, we must help young people to appreciate their diversity to overcome the fear of becoming, to have courage, to conceive the game as inner wellbeing besides physical, to stand well in a group, appreciating the contribution of everyone, without exception, to not give up when faced difficulties. With regard to the objective dell'allenare, you must train the children to be able to face the difficulties, so that they can solve them, because you can risk in life and you can go ahead: fall because of them, get up and get going again . The error must not be seen in a negative way, but positive, as it is the cornerstone of all progress and all improvements, therefore, wrong means progress, life such as sports, proceeds to problems and errors, and only at the end, passing through the mistakes, you can improve its performance. Train children and adolescents to overcome the errors mean strengthen them inwardly, so as to give them always a good motivation to deal with the inevitable difficult situations that arise in their lives. Goal of any sound education is to ensure that children acquire the inner strength to get back into play, not to give in to despair. With regard to the education effort and sweat, we must educate and modulate the experiences that require waiting, the realization of its objectives, in order to bring the kids to build their own becoming, or rather, to grow and not be afraid because children and adolescents the capture and adapt accordingly. Our task will be to help the children to form their own future, in order to raise teenagers ready to compete in adult society.
References
Agostinetto, L. (2006). Sport, Identity and Integration. Milano: Panathlon International. Aledda, A., Fabbris, L., & Spallino, A. (2006). Multiculturalism and Sport. Milano: Franco Angeli. Ambrosini M., & Molina S, (2004). Second generations, Turin: Giovanni Agnelli Foundation. Azzarito, L., & Solomon, M.A, (2005). A reconceptualization of pshysical education : the intersection of gender/race/social class. Sport Education and Society.
Berry, J.W., Phinney, J.S., Sam, D.L., & Vedder, P. (2006). Immigrant Youth: Acculturation, Identity and Adaptation. Applied Psychology.
Moro, M.R. (2000). The principles of transcultural clinic. The first and second generation. seminar to Transcultural Clinic, Opedali S. Charles S. Paolo in Milan.
Green, M. (2006). 'From sports to all' to not about 'sport at all'. European Sport Management Quarterly.
Introductory
Portera, A., & Dusi, P. (eds.) (2005). Conflict Management and intercultural mediation. Milano: Franco Angeli.
Pretceille-Abdallah, M. (2006). Interculturalism as a paradigm for thinking about diversity, Intercultural Education, 17(5).
Sam, M.P., & Jackson, S.J. (2004). Sport Policy Development in New Zealand. Paradoxe of an Integrative Paradigm, International Review for the Sociology of Sport.
Snape, R. (2005). Steeps to Health: an evaluation of a project to promote exercise and physical activity amongst Asian women in a post-industrial town in England, Managing Leisure. Walseth, K. (2006). Young Muslim Women and Sport: the impact of identity work. Leisure Studies.
SPORT ZA OBLIKOVANJE OSOBE: "SPORT KAO EDUKACIJSKI ALAT, TRENING ZA ODRASLE I DJECU: ŠKOLSKI RESURS I POSLOVNA STRATEGIJA"
Sažetak
Sport znači i poezuje se sa natjecanjem, sukobom, suparništvom, samo-izražavanjem i izazovom do poslijednjeg daha s prevlasti njegove konkurentnosti, kako bi se ključno poboljšale vrijednosti pojedinaca povezane s više ogleda i naglasile razlike između pristupnika. To vrijedi na svim susretima u smislu otkrivanja sebe i drugih. Treba upoznati, raspraviti i otkriti da je temelj za rast i formiranje osobe u pedagogiji sposobnost za razvoj i izgradnju osobe, kao i za dijeljenje temeljnih pravila društvenog života i otkrivanje vrijednosti doživljaja tolerancije, odanosti, solidarnosti, bratstva i pripadnosti. Svrha i obrazovanje, dva su pojma koja putuju u harmoniji jedan s drugim, vode nas razumijevanju, tijela i pokreta. Sport promiče svijest o sebi, okolišu i mogućnostima gibanja, te doprinosi oblikovanju osobnosti učenika kroz znanje i svijest o nečijem tjelesnom identitetu.
Ključne riječi: sport, obrazovanje, competition, usporedba i izvedba, solidarnost, škola
Received: April 25, 2013
Accepted: December 20, 2014
Correspondence to:
Assoc.Prof.Francesco Perrotta, PhD.
University of Macerata
Department of Education,
Piaggia della Torre, 8 MC, Italy
P.I - C.F. 00177050432
Phone: +39 0733 6040
E-mail: firstname.lastname@example.org
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REPORT
Colloquium on
"The Future of the OSCE"
A Joint Project of
the OSCE Parliamentary Assembly and
the Swiss Institute for World Affairs
This report has been agreed by President of the OSCE PA, Congressman Alcee L. Hastings and the Swiss Foundation Chairman, Ambassador Edouard Brunner. It has been drafted by Ambassador Gérard Stoudmann, Director of the Geneva Centre for Security Policy and Spencer Oliver, Secretary General of the OSCE PA who served as co-Rapporteurs during the Colloquium. They were assisted by Nicolas Kaczorowski, Deputy to Ambassador Stoudmann and Tina Schøn from the International Secretariat of the OSCE PA. The Report is a synopsis of views expressed at the Colloquium as seen by the Rapporteurs, and it also takes into consideration opinions expressed in the written contributions which were submitted to the project. The Report has been reviewed by the participants at the Colloquium who agree with the content. The written contributions are attached to the Report.
EXECUTIVE SUMMARY
The OSCE is facing serious difficulties as well as challenges to its purpose and political relevancy. Participants and contributors to the Colloquium unanimously agreed that the OSCE is still a valuable and relevant international organization that should continue to play a critical role in promoting stability and security in Europe. The political commitments made in the Helsinki Final Act and the Charter of Paris as well as in other CSCE/OSCE documents are of great value. They should be preserved and upheld by the Participating States.
It was also agreed that the crisis of the OSCE is first and foremost political. The structural reform in and by itself will not solve the political problems that only participating States can address. The governments of the 55 OSCE states should reconfirm their commitment to a useful, credible and professional OSCE that serves the interest of all. They should also commit themselves, at the highest political levels, to the full implementation of all of their OSCE commitments and to future improvements in the structures and procedures of the Organization.
It was also agreed that:
1. The strengthening of OSCE activities in the field of security, economy and environment should not be done at the expense of the human dimension or to the detriment of basic OSCE values and principles. The security dimension should be expanded by further elaborating the Code of Conduct on politico-military aspects of security and increasing the role of the Forum for Security Cooperation.
2. Election observation is one of the most politically relevant and visible aspects of the Organization. The independence of these missions must be protected and efforts should focus on expanding electoral standards without weakening existing commitments. It is recommended that ODIHR and the OSCE PA increase their cooperation in order to maintain and ensure the independence of the OSCE election observation that has been recently eroded. Finally,
election assessments could be expanded further in Western democracies. Double standards in electoral observations should be avoided.
3. The role of the OSCE Secretary General should be strengthened in the political, budgetary and administrative spheres. The Secretary General, as well as and in consultation with the Chairman-in-Office, should be able to speak for the Organization and to make policy pronouncements as well as appropriate criticisms when OSCE commitments are not observed.
4. The OSCE should improve its ability to make timely decisions through adjusting its decision-making procedure. The consensus rules could be modified for decisions related to personnel, budget and administration.
5. Transparency and accountability can be improved by requiring that a country which blocks or holds up consensus must do so openly and be prepared to defend such position publicly.
6. The OSCE Parliamentary Assembly could approve the budget and confirm the Secretary General once nominated, by an absolute or weighted majority vote and after appropriate consultations.
7. The budget must be adopted in a timely fashion and be commensurate to OSCE political objectives. A multi-year financial plan should be established in order to pursue longer term strategies.
8. Structural reform is needed to improve the functioning of the Organization: 1) Enhancing the analytical capabilities of the Secretariat by the creation of an Analysis and Prospective Unit; 2) Building permanent lessons learned capabilities by setting up a best Practices Unit; and 3) developing a truly operational civilian rapid reaction capability to intervene at time of crisis.
9. Professional standards should be raised in all OSCE structures. In order to attract and retain performing staff, fixed term limits on duration of service should be eliminated. At the same time, reliance on seconded personnel should be reduced. However, when seconded personnel are assigned, Governments should ensure that such assignment is for a substantial period of time -- at least one or two years.
10. The OSCE needs to increase its network capabilities and reinforce its strategic co-operation with the EU, NATO, and the UN by opening liaison offices in Brussels and New York City.
11. The OSCE could export its comprehensive security concept, expertise such as election observation and assistance and share its values and experience beyond the OSCE area.
ADDRESSING THE POLITICAL CHALLENGES FIRST
At a time when the OSCE's purposefulness and political relevance are challenged and put into question, the participants in the colloquium unanimously agreed that with its unique composition and comprehensive security concept as well as its crisis prevention and management capacities, the OSCE still has the potential and has a relevant role to play in a Europe facing new security challenges. In recent years, the OSCE has encountered serious problems and has entered into a critical situation that requires high-level attention by the participating States.
The problems are first and foremost of a political nature and should find political responses at the outset. Structural reforms are certainly needed, but the essential problem lies elsewhere. Putting the emphasis on these can only blur the issue and confuse the priorities. Only then does it make sense to proceed with structural reforms. If participating States decide to support the OSCE in its objectives, they need to commit resilience, will and resources in politically revitalizing the Organization before they undertake the structural reform. The OSCE's ability to reform will ultimately depend on how much Participating States are committed to and interested in the Organization's potential.
The OSCE today is in a complex situation. With successive EU and NATO enlargements, there is a tendency at the political level to devote less attention to the OSCE which has increasingly disappeared from public view. In many countries, the OSCE is rarely placed high on political agendas in Capitals. The fact that the OSCE Ministerial Council Meetings are attended at an increasingly lower political level is a sign of this diminishing political interest. These elements all point to the reduced political relevance of the OSCE. Political issues relevant to its mandate and geographical areas are barely addressed seriously any more at the Permanent Council.
The culture of informal discussions and consultations, which once was necessary to build up consensus and formal decisions has been eroded. Broad consultations should be carried out on current political issues. The EU countries in the OSCE arduously negotiate issues among themselves before they disclose their common position to non-EU countries. Once a compromise in the EU has been found, there is very little scope for negotiations, which contributes to the shrinking importance of the OSCE as a political platform. Therefore, rebalancing the decision making process and making it more transparent and inclusive is a necessity.
Rebalance the OSCE Multidimensional Approach
The three dimensions of the OSCE have constituted the early and innovative recognition of the inseparable link between security, development and democracy that ensures stability. The OSCE comprehensive security concept is still current and very relevant for addressing the challenges of the XXI century. The expansion of security related activities should not be done to the detriment of the importance of the human dimension. Within the security dimension, actions should be taken increase the role of the Forum for Security and Co-operation, to involve the OSCE in security sector governance, by inter alia elaborating the code of conduct on politico-military aspects of security.
Maintain the OSCE Lead on Electoral Activities
Election observation is recognized as the remaining most politically relevant and visible activity of the OSCE. This must remain so and the OSCE should not relinquish its leading comparative advantage in this field. The involvement of the Parliamentary Assembly is critical to maintain the visibility and independence of OSCE election observation. Agreement was found on the need to complement the existing election standards and to continue to improve election observation, which should in no way result in a watered-down version of existing standards.
As previously indicated, it is recommended that ODIHR and the OSCE PA increase their co-operation in order to maintain and ensure the independence of the OSCE election observation that has been recently eroded. Finally, election assessments could be expanded further in Western democracies. Double standards in electoral observations should be avoided.
DEMOCRATIZATION OF THE OSCE
Strengthening the role of the OSCE Secretary General
It has been agreed that the present status quo is not sustainable and it would be in the interest of the organization and the Chairman-in-Office itself to benefit from a strengthened role of the Secretary General. There is no contradiction or conflict of interest between a reinforced role for the Secretary General and the overall responsibilities of the Chairmanship. A Chairman-in-Office rotating annually means ever changing directions, lack of political continuity and difficulty to define a long-term, coherent and sustainable priorities. The aims and role of the OSCE Secretary General should:
1- Ensure better political continuity from one chairmanship to another;
2- Define long term priorities, thus improving the OSCE credibility;
3- Serve as the focal point for the Organization;
4- Increasing his/her decision making power in personnel and administrative issues;
5- Speak for the Organization and making political pronouncements;
6- Take political initiatives;
7- Propose priorities for resource allocation (financial, human and administrative) and other activities in particular present a multiyear financial plan; and
8- Ensure that budget is adopted in a timely fashion and human and financial means be commensurate to the political objectives of the Organization. A slight increase in the OSCE budget will greatly boost its effectiveness.
Permanent Council Procedures: Transparency and Accountability in the Decision-making
Achieving consensus within the OSCE has become increasingly difficult. Protracted negotiations on relatively minor issues have hampered the effectiveness of the Organization and have, at times, led to paralysis. It is recognized that the consensus rule for decisions related to budget, personnel appointments and general administrative issues should be modified.
Furthermore, the decision making process has to become more transparent. A country should only be able to block the consensus openly and publicly. Debates should be more open and transparent and not limited to issues where a consensus exists but should extend to contentious matters where consensus is lacking. Informal consultations and generally better information sharing are critical to improve accountability, transparency and visibility of the Organization.
Strengthened Role of the OSCE PA
The OSCE Parliamentary Assembly remains an essential player because it is by essence more independent and can take political initiative. The PA should be more closely associated to the OSCE decision shaping and making processes as is the case for the Parliamentary Assembly of the Council of Europe. The OSCE PA should approve the budget of the OSCE and confirm the OSCE Secretary General after the nomination. This would ensure the independence and legitimacy of the OSCE Secretary General, and reinforce his/her position.
Furthermore, in the field of conflict prevention and crisis management, the OSCE PA should take more political initiative such as organizing "fact finding missions", facilitating negotiations. These initiatives could be public or confidential assimilated to silent diplomacy and carried out alone or in co-operation with other parliamentary actors (European Parliament, Parliamentary Assembly of the Council of Europe). Such initiatives would substantially increase the political credibility and visibility of the Organization.
INSTITUTIONAL REFORM
Structural adjustments
To regain political credibility, the OSCE has to act as an effective crisis management and conflict prevention/resolution body. The OSCE needs effective early warning and an ability to carry out swift follow-up action.
To this end, three concrete measures are recommended:
1- Enhancing the analytical capabilities in the Secretariat by the creation of an Analysis and Prospective Unit. It will process and analyze the wealth of information that the OSCE collects in the field and through its network of institutions and missions. This instrument would be essential to set up credible early warning and conflict prevention mechanisms.
2- Establishing a Best Practices Unit in the Secretariat will provide the OSCE with a permanent lessons learned capability. This unit will inter alia formulate recommendations aiming at improving the functioning, effectiveness and work of field missions. It will also analyze working methods of other organizations and will seek to adapt and apply them to the OSCE, when and where appropriate. And,
3- Developing a civilian rapid reaction capability that could be deployed in time of crisis to supplement the work of field missions.
These teams would provide the OSCE with the opportunity to react swiftly to an unfolding crisis, assess the situation and the needs, and make policy recommendations to the OSCE executive bodies for future actions. These civilian experts could be recruited on an adhoc basis.
Increased co-operation with other international organizations
The OSCE should further develop its network capabilities which are currently too dependent on personal individual contacts. Permanent channels of communications must be opened and strategic co-operation with the EU, NATO and the UN must be established through the creation of liaison offices in Brussels and New York City. Carefully selected liaison personnel would have a multiplier effect on networking, working contacts, and on guaranteeing prime access to strategic thinking and planned operations from other organizations. This would improve the OSCE's ability to respond adequately and swiftly.
OSCE Field Presences
The OSCE field presences offer significant comparative advantages. However, current weaknesses and grievances from the field, institutions and participating States indicate:
1) deficient recruitment procedures;
2) in some cases, insufficient professionalism;
3) a lack of adequate human and financial resources; and
4) a too often lack of clear political guidance and of coherent priorities.
Consequently, it is recommended that:
i) clear political guidance be regularly updated and reviewed;
ii) interaction and support from the Chairmanship, the Secretariat and field missions be revisited with the aim of improving the political and administrative functioning of missions;
iii) Micromanagement from Vienna be avoided; and
iv) Geographic and substantive priorities established for field missions be periodically reviewed.
Professionalism
The OSCE counts good professionals. The problem is that the Organization is not able to retain them or attracted experienced senior staff due to restrictive staff rules that limit the maximum duration of employment to seven years. These rules have become counter productive. The OSCE loses not only experience and know-how, but it also lacks the continuity needed for the successful implementation of programs on the ground. The OSCE competes directly with other career-based international organizations e.g. the European Commission, the UN, NATO and Council of Europe, for experienced trained staff. Addressing this problem is essential to improve the quality and credibility of the work of OSCE. The OSCE needs to keep efficient employees for as long as desirable in order not to lose experience, institutional memory and valuable networks. To that effect, the OSCE employment rules should be revised. This can be done by eliminating maximum time limits while maintaining fixed term contracts subject to periodical, in-depth review of performance. Such system would allow full flexibility as well as preserve the best OSCE professional staff.
Despite its financial advantages, the secondment system has shown its inherent weaknesses, such as the uneven quality of the recruited staff and the lack of transparency in the recruitment process. The Organization has little control over who is recruited through this system, and the quality control is less effective than for contracted personnel. Secondment is a factor that contributes to diminished effectiveness and credibility of the Organization. However, secondment in its current form and under specific circumstances is still useful since it confers flexibility to quickly deploy large scale and temporary missions such as military observers, but it should not be used to fill the Organization's core positions that require continuity. It is recommended to review the OSCE secondment system, using for instance the UN system, whereby employees have a contractual relationship with the Organization.
Additional recommendations include: 1) reducing reliance on seconded personnel in core positions in the field; 2) requesting participating States to second personnel for no less than one year at a time; 3) empowering regional experts, and 4) pursuing efforts on training. There is an urgent need to reform the OSCE recruitment policy in order to enhance the level of continuity among the staff in the field and within institutions, and to guarantee highest possible professional standards.
Expanding Out-of-Area Activities
On the one hand, the OSCE specific expertise such as election observation and assistance could be used out-of-area directly or indirectly where it can contribute positively to the stabilization of an area. On the other hand, the OSCE should consider exporting its model of comprehensive and cooperative security to partner countries and beyond (Middle East, Africa, etc). There is a growing interest in the Organization from areas outside the OSCE. This opportunity should be seized to share OSCE values and experience. The OSCE should stand ready to provide assistance with regard to crisis in other areas. This "out-of-area" policy could be endorsed at the next Ministerial Council. If approved, appropriate resources should be allocated to credibly implement this policy.
Increased visibility
The OSCE is not attractive for the media and will never be , unless it regains political credibility and is perceived as a relevant security actor. Therefore the issue of visibility is very much limited to the further political role of the Organization and cannot be fixed technically.
It is recommended to improve co-ordination and cross fertilization between the various media units in the Organization, in particular between the Chairmanship and the Secretariat.
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Smart Specialisation - JRC Policy Insights
M ay 2020
CHALLENGES IN GOVERNANCE OF SMART SPECIALISATION IN SOUTH EAST EUROPE
NIKOLA RADOVANOVIC AND ELISA GERUSSI
S3-based innovation policies highlight the relevant role of both governance – including its structures and mechanisms – and stakeholders' engagement among the enabling factors of wellfunctioning R&I ecosystems [1]. In particular, the principle of carrying out a thorough stakeholders' dialogue on "new domains of technological and market opportunities" for decision-making processes demonstrates the importance of the bottom-up method as at the basis of S3 [2].
When it comes to the analysis of S3 in SEE, the effects of the recent years of economic transformation and lock-in situations encourage analysis of the way non-flexible institutional infrastructures can significantly harm local innovation capacity development. This creates a context where networking becomes largely uneven and the communication between different players hampers further progress.
1. What this report is about
This policy brief investigates how the governance of the S3 process has been broken down in SEE, in particular in Bulgaria, Croatia and Serbia. We selected these countries because of the context similarities and the centralized management of S3 process on one side, as well as due to their differences in approaching the S3 design and implementation phase on the other. This approach allows comparing main challenges, enabling conditions and efforts in terms of policy instruments and strategies that SEE is facing when adopting the S3 framework. The study started from a stocktaking analysis of each regional situation and has been complemented by interviews with national experts, national authorities and relevant stakeholders involved in the build-up of the S3 system in the selected countries.
2. Policy context
S3 provides a framework for investing into the most promising sectors through an evidence-based
Whereas Bulgaria and Croatia are already implementing their S3 strategies, Serbia is about to start the implementation phase in 2020. Given their centralized management of the S3 strategies, the cases are particularly suitable for a comparative analysis on governance.
We observe that some of the main challenges for S3 governance in SEE in the upcoming period are: enhancing the political commitment of national authorities as well as the collective awareness of S3; implementing an efficient policy mix that integrates S3 with other national policies on innovation; attracting relevant stakeholders to participate in the decisionmaking process; and boosting the role of cooperation and competitiveness at the macroregional level.
approach with strong involvement of a wide range of regional and/or national stakeholders [1,2]. For this purpose, governance of the S3 should aim at facilitating the establishment of both vertical and horizontal linkages between institutional and noninstitutional development players. It is important that all the resulting layers intersect within a common framework of tasks and activities and promote the support to the continuous stakeholder dialogue within the Entrepreneurial Discovery Process (EDP), which paves the way to identify local priorities and growth strategies [3].
The top-down approach that has been characterising innovation policies in SEE so far needs a deep shift in both design and implementation phases, in order to make the most of the S3 concept. This also means identifying links between all relevant strategic documents and, complementary instruments, as well as aligning objectives and measures and finding the place for the S3 in the mosaic of all existing strategic innovation and competitiveness policies [4]. This effort has already started in the region as S3 implementation significantly changed the perception
of innovation policies as such, and revolutionised the modus operandi of stakeholders' engagement while raising the importance of identifying ambassadors of innovation within the quadruple helix framework.
Furthermore, research and innovation ecosystems have to deal with different levels of systemic distortions deriving from the period of economic transition when both structural and institutional reforms substantively influenced the development paths of economic growth on the one side, and innovation capacity on the other side [5]. A further element of complexity is given by the fact that S3 policies in SEE are mostly centralized and managed at a national level with a regional NUTS2 perspective, as regions were generated recently for statistical purposes rather than being proper administrative and political entities. For this reason, deploying appropriate tools and setting up mechanisms in line with the S3 approach may also help these countries to reach and maintain good governance levels and in turn better functioning R&I ecosystems.
3. Main insights
Governance model in Bulgaria
The S3 of Bulgaria could be seen as the first comprehensive national innovation strategy in the country, beyond previous less comprehensive policies. In regard to its governance, the main challenges arose with the necessity to include the bottom-up perspective. This has been seen as a new and complex feature due to the general disentanglement of the innovation systems and its components, as well as the internal territorial disparity in terms of capacity and resource availability. However, stakeholders' dialogue has been promoted since the beginning by national authorities and, finally, it played a relevant role during both the design and implementation phase, although much effort has yet to be done in terms of continuous EDP. Besides the enhancement of the quadruple helix's role, a major challenge was the need to further empower the S3 leadership structure as well as the functioning of the technical body, by defining specific roles and a coordinated activity among institutional bodies. Furthermore, the place-based aspect, as one of the most important features of S3, has been insufficiently enhanced, thus leading to an unbalanced development between regions, mainly in relation to local governance capacity of managing the implementation of the strategy and related processes (i.e. EDP) and access to funds. In general, S3 enabled the access to new funds, which, however, implied new difficulties in reaching decisions on the allocation of funds on both regional and national levels.
Governance model in Croatia
The S3 governance model in Croatia includes a strategic level run by the National Innovation Council, based on a rotational presidency, comprising representatives from different ministries and business organisations. At the implementation level, its activity is supported by an inter-ministerial group and a technical secretariat, as well as by five thematic innovation councils in regard to the EDP. This setup reflects basic requirements of the S3 concept by focusing on better communication between different governmental bodies involved, as well as on stronger participation of relevant stakeholders from public administration, business and research sectors through a continuous dialogue. The overall attention to stakeholders has increased over time, which was supported by the efforts of the technical secretariat. However, the authorities stress that EDP should be further sustained also by improving the evidence-based reporting activity. Likewise, although the rotational presidency mechanisms actively endorse dialogue and inclusiveness, they also pose an additional barrier in decision-making due to the time constraints taken to reach a decision.
Governance model in Serbia
Being a non-EU country, Serbia had to a follow different path towards a Smart Specialisation strategy set by the EC S3 Framework for the EU Enlargement and Neighbourhood Countries [3]. In accordance with this framework, the country needed to establish a proper governance model for the strategy design, which enabled it to identify crucial stakeholders for the process at the beginning. The process has been led by an inter-ministerial working group that further coordinated the work of two teams: (a) an analytical team in charge of carrying out work on relevant research and analyses, and (b) an operational team that oversaw the process in organisational and administrative terms. During the evidence-based analysis and in preparation of the stakeholder dialogue, the inter-ministerial working group nominated ambassadors of identified S3 priority areas, in order to better facilitate the discussion in the EDP. At that stage, the visibility of the S3 process and its link to the development of the country's industrial policy raised the importance of Smart Specialisation in the country, which effectively
became governed by the Office of the Prime Minister of Serbia. As a non-EU member, Serbia could not rely on EU structural funds for S3 implementation when designing its S3 strategy and, therefore, had to think on how to create an appropriate funding scheme for S3 implementation. This ultimately influenced the establishment of the Science Fund and led to revision of the possibilities of using existing national funding options (e.g. Innovation Fund). It is planned that the implementation of the strategy will be governed by the Smart Specialisation Coordination Body that will consist of the representatives of the Ministry of Education, Science and Technological Development, Public Policy Secretariat, Ministry of Economy, Serbian Chamber of Commerce and the external expert team.
Reflection on the key elements of S3 process
In terms of the governance of the entire S3 process and the importance of diverse elements to it, the analysed countries showed multiple similarities. As expected, political commitment has been increasing since the beginning of the S3 process in all three countries. It is likely that the S3 visibility increased after its initiation due to its overlap or interconnection with existing or upcoming innovation policies of high relevance in the government agenda. It should be noted that in the case of Serbia the importance of S3 was reinforced due to the role of S3 in country's negotiations for EU accession linked to the development of both innovation and industrial policies. However, the analysis showed that the full integration of S3 with other relevant policies in the domain of innovation capacity enhancement is yet to be achieved and this calls for a better policy mix implementation. It implies that the innovation apparatus should be further improved, as the countries need to better understand the necessity of positioning smart specialisation within the innovation system for increasing its efficiency.
The collective vision seems to be evolving during S3 implementation, due to the evidence that the overarching idea of S3 can benefit the whole region or country. However, there is a need to strengthen the place-based component, especially through continuous EDP. In fact, the level of local authorities' participation in the S3 decision-making on both national and local level is still low. Potential reasons are related to the lack of capacities and funding possibilities at the local level. At the macro-regional level (SEE), the aspect of value chains seems to be neglected or it do not seem to be considered enough in the S3 approach. Countries keep focusing too much on S3 potential within their own borders without paying much attention to the value added from being part of the wider region and to potential benefits to competitiveness stemming from a stronger collaboration. The lack of regional perspectives of the process and incapacity of the countries to focus on joining forces for producing value added and increasing exports possibilities are among the identified reasons for that.
Importance of the EDP was recognised as high in all three governance models. All three countries stated that the involvement and motivation of stakeholders in the governance of the S3 process has significantly increased during the design phase. Nonetheless, the EDP phase seems to be moderately affecting the S3 decision-making process. This could be a result of the rigidity of governmental institutions, lack of trust from the side of businesses, no direct visible channels for their participation in decision-making, lack of time for participation, among others. Likewise, it was not easy to secure the continuity of the stakeholder dialogue within the EDP after the completion of the design phase. This hinders the efficient execution of the bottom-up approach and emphasises the necessity of having a specialised technical body to coordinate meetings and discussions of relevant stakeholders for the entire S3 process. The role of such technical body for coordinating the work on the operational level is essential and can be considered as a regional innovation itself
4. Final remarks
The The goal of achieving continuity of the stakeholder dialogue within the EDP is gaining a high position on the agenda in SEE. It comprises an essential part of the S3 implementation phase. However, additional efforts need to be put into maintaining the bottom-up perspective of the process. Relevant stakeholders, especially the ones from the business sector, should be more involved in the decision-making to be sure that their needs are constantly in focus. The S3 structure should be aligned in such a way as to streamline the communication from the stakeholder level to the main governance body while avoiding information stickiness and noise.
Involvement of stakeholders in a continuous EDP depends on the levels of political commitment. As this seems to vary throughout the S3 design and implementation stages, it is important to create a
CHALLENGES IN GOVERNANCE OF SMART SPECIALISATION IN SOUTH EAST EUROPE
management structure that can efficiently govern S3 implementation, where governmental bodies involved and scientific/academic and business institutions can work together and align their goals. With such system in place, stakeholders would have a strongenough incentive to participate in the process.
[5] Kleibrink, A., Larédo, P. and Philipp, S. (2017), Promoting Innovation in Transition Countries: A Trajectory for Smart Specialisation, Publications Office of the European Union, Luxembourg.
In terms of the scope, a stronger focus should be put on both addressing the local needs and a wider regional perspective in S3, especially in relation to value chains and collaboration opportunities. S3 needs to be better applied locally and address local needs, which have been identified during the EDP. Likewise, local stakeholders should be able to communicate their needs to the governing S3 body. Also, as countries in SEE are economically lagging behind the countries from Western or Central Europe, they should apply a more holistic approach in developing competitiveness with the view to enhancing strengths of their region by identifying its potentials in the global value chains.
Read more
[1] Kyriakou, D., Palazuelos Martínez, M., PeriáñezForte, I. and Rainoldi, A. (eds) (2016), Governing Smart Specialisation, Routledge, UK, ISBN9781315617374.
[2] Gianelle, C., Kyriakou, D., Cohen, C. and Przeor, M. (eds) (2016), Implementing Smart Specialisation: A Handbook, Brussels: European Commission, EUR 28053 EN, doi:10.2791/53569.
[3] Matusiak M. and Kleibrink A. (eds.) (2018), Supporting an Innovation Agenda for the Western Balkans: Tools and Methodologies, Publications Office of the European Union, Luxembourg, ISBN 978-9279-81870-7, doi:10.2760/48162, JRC111430.
[4] Radovanovic, N. and Benner, M. (2019), Smart Specialisation and the Wider Innovation Policy Context in the Western Balkans, EUR 29918 EN, Publications Office of the European Union, Luxembourg, 2019, ISBN 978-92-76-12550-1, doi:10.2760/380898, JRC118199.
Contact information
Nikola Radovanovic (JRC - Enlargement and Integration Actions (A3)) and Elisa Gerussi (JRC - Territorial Development Unit (B3))
firstname.lastname@example.org
How to cite
Radovanovic, N. and Gerussi E. (2020), "Challenges in Governance of Smart Specialisation in South East Europe", Smart Specialisation – JRC Policy Insights, JRC120642, May 2020.
Web: webpage of publication
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_____________________________________________________________________________________
OAG INTEGRATED ANNUAL REPORT
FOR
FISCAL YEARS ENDING 31 MARCH 2022 & 2023
OFFICE OF THE AUDITOR GENERAL MONTSERRAT
APRIL 2023
OAG INTEGRATED ANNUAL REPORT 2022 & 2023
This is a Report by the Auditor General on the activities of her office during the period 1 April 2021 – 31 March 2023. The work of the office was conducted pursuant to Section 103 of the Montserrat Constitution Order 2010
Marsha V. E. Meade Auditor-General (Ag) Office of the Auditor General April 6, 2023
Preamble
Vision Statement
The Office of the Auditor General (OAG) plays a crucial role in ensuring that public monies are spent wisely. Our vision is therefore:
Mission Statement
"The OAG is the national authority on public sector auditing issues and is focused on assessing performance and promoting accountability, transparency and improved stewardship in managing public resources by conducting independent and objective reviews of the accounts and operations of central government and statutory agencies; providing advice; and submitting timely Reports to Accounting Officers and the Legislative Assembly".
The Goal
Our goal is "to promote staff development, enhance productivity, and maintain a high standard of auditing and accounting in the public sector, thereby contributing to the general efficiency and effectiveness of public finance management".
Abbreviations Used
CAROSAI - Caribbean Organisation of Supreme Audit Institutions
CPA UK -
Commonwealth Parliamentary Association United Kingdom
DFID
-
Department for International Development
DITES - Department for Information Technology and E-Government Services
FCDO - Foreign & Commonwealth Development Office
GOM -
Government of Montserrat
HRMU
-
Human Resources Management Unit
IFAC -
International Federation of Accountants
INTOSAI
International Organisation of Supreme Audit Institutions
IPSAS
-
International Public Sector Accounting Standards
ISA
-
International Standards of Auditing
ISSAI -
International Standards for Supreme Audit Institutions
IT -
Information Technology
MNAO - Montserrat National Audit Office
OAG -
Office of the Auditor General
PAC
-
Public Accounts Committee
PFMAA - Public Finance (Management and Accountability) Act 2008
SAI -
Supreme Audit Institutions
UK NAO - United Kingdom National Audit Office
UKOT - United Kingdom Overseas Territories
Table of Contents
Introduction
Overview of the Organisation
1. The Office of the Auditor General (OAG) performs external audit duties for the Government of Montserrat. In this regard, it assesses the performance of the central Government's entities (Ministries and Departments) and some statutory agencies by looking into compliance with regulatory authorities and departmental policy directives; the stewardship over resources; and obtaining value for the monies expended. By reporting on the activities of the Government, as determined by our audits, we seek to promote accountability, transparency and good governance in the management of public finances.
Functions of the Auditor General
2. The functions of the Auditor General are enshrined in Section 103 of the Montserrat Constitution Order 2010. It states in part that the Auditor General shall audit and report on the public accounts of Montserrat and of all public offices, including the Courts, the central and local government administrations, universities and higher education institutions, and any public corporations or other bodies established by an Act of Parliament. In conducting these audits, the Auditor General is responsible for determining whether accounts are prepared in accordance with applicable financial reporting frameworks and in compliance with financial management policies and guidelines.
3. The Constitution also allows the Auditor General to conduct value-for-money audits to assess the economy, the efficiency, and the effectiveness of governmental systems, operations, projects, programmes, and transactions. Performance audits also examine the quality of service to the public and the Government's progress towards the United Nations' Sustainable Development Goals and the global 2030 Agenda.
4. We also operate in accordance with the Public Finance (Management and Accountability) Act, (PFMAA) 2008, and other laws and regulations that affect our work.
Governance Arrangements
5. Preliminary work plans are shared with our key stakeholders and mainly the Public Accounts Committee (PAC) and its input is sought for other areas that could be included.
For audit work, I report directly to the Legislative Assembly; for administrative matters only, I report to the Governor. Internally, the Audit Managers assisted the AuditorGeneral (Ag) in managing the office during the reporting periods.
Risk Assessment and Management
6. The OAG manages risks to the achievement of both financial and operational objectives. The senior management team ensures that our risk register is kept under review and that there are appropriate management practices in place to mitigate the risks identified. We have identified our main risks and have grouped these under challenges. These risks are listed in the OAG's fiscal risk register. We endeavour to review the register semi-annually and amend it where necessary. It is important for risk assessment to be undertaken to assist us in achieving our objectives.
Objectives of this Report
7. The OAG aims to add value to the lives of citizens by undertaking assignments that will hold the Government and Accounting Officers to account for the use of taxpayer's and funding agents' monies. We aim to lead by example in promoting transparency and accountability through credible reporting of their behaviour. Thus, in compliance with ISSAI 20 – Principles of Transparency and Accountability, and with Section 9(5) of the Public Finance (Management and Accountability) Act (PFMAA) 2008, we provide you with an overview of our operations and performance over the fiscal periods April 2021 – March 2023.
8. We will draw your attention to progress on our strategic objectives, the challenges that we faced, the OAG's financial performance, size and composition of workforce, capital development, succession planning, organisational performance, reports reviewed by the PAC, social impact of our work, and then provide a synopsis of our plans for the 2021 – 2023 financial years.
Our Strategy
9. The OAG's Key Strategies for the financial years 2022 and 2023 include the following:
* Establishing the Montserrat National Audit Office (MNAO) to ensure an independent audit office that facilitates accountability and transparency.
* Delivering value to citizens through improved recommendations to Accounting Officers; improvement in the staff's capability and skills; and development of
policies, procedures and guidelines that facilitate quality work and meet international audit standards/guidelines.
* Conducting a review to assess compliance with international audit standards and overall effectiveness of our operations.
* Performing requisite audits and report on the public accounts of Montserrat and of all public offices in accordance with the Montserrat Constitution 2010 and the Public Finance Act.
* Facilitating a Supreme Audit Institution Performance Measurement Framework Review to assess our internal compliance with international audit standards and overall effectiveness of our operations.
* Development opportunities optimised for our staff.
* Relocation of the Audit Office to new accommodation at the Financial Services Commission's new Building.
* Effective advocacy and stakeholder engagement.
10. The core activities of the OAG will continue to be the financial audits of the Government and its agencies; and performance audits reporting to the Legislative Assembly on the economy, the efficiency and the effectiveness of public spending. Holding the Government to account for its spending and for providing value for money in public services endures as our fundamental area of focus. During the reporting periods, the MNAO as an independent entity did not come to fruition as expected. Nevertheless, the National Audit Office Bill made its way to the Legislative Assembly, but it was withdrawn on two occasions.
11. Our aim is to be an audit service that provides better value to citizens. To that end, we seek to provide Reports that contain information that can be used to hold the Executive arm of the Government and all Accounting Officers to account. In an effort to improve the quality of the audit service, we focus on improving our audit skills by engaging in various capacity-building initiatives. These are further expanded upon under the section on Human Resources Management and Development.
12. We are also committed to providing evidence that our audit recommendations were being followed up to determine auditees' and stakeholders' progress made towards their implementation. Several Audit Recommendation Follow-Up Reports were completed and submitted to the Clerk of the Legislature for onward submission to the Public Accounts Committee. These reports are captured in the published Auditor General's Report on the Public Accounts and can be found on our website http://oag.gov.ms under Publications.
13. We will continue to strive to deliver a quality service to the Parliament and the entities that we audit where these key stakeholders can see the value that our work brings to improving financial management and the delivery of public services. Overall, we have had mixed results in accomplishing our strategic goals for the year.
Challenges faced during the reporting years
Shortage of Staff
14. During the years under review, 4 long-serving auditors demitted office, and, after extended periods of recruitment; 3 new auditors were appointed. We take this opportunity to say thank you to those who demitted office for their positive contributions and years of service to the Office and to welcome our new employees. The OAG has also been operating without a substantive Auditor General since May, 2021.
Untimely Feedback from Auditees
15. We are dependent on our clients to provide us with information, documentation and responses to our queries to ensure that we provide a true and accurate opinion. We continue to experience delays or non-submission by some clients, which then deferred the finalisation of audit work undertaken. We have adopted several strategies to address these challenges, including giving additional time for our requests to be actioned, and making further written and verbal requests. In some instances, we have opted to finalise the respective reports, inserting where relevant that we have taken the necessary steps to seek the required feedback from management, but, in some cases, received no comments.
Accommodation Issues
16. For the years under review, we have faced a number of accommodation challenges to include long delays in effecting repairs to stop minor flooding and continued maintenance of air conditioners. We look forward to occupying the 3rd floor of the new Financial Services Commission Building located in Little Bay that is nearing completion.
COVID-19 Related Work Interruptions
17. During the periods under review, we continued to operate as well as we could despite further lockdowns and some instance that members of our staff contracted the coronavirus or were otherwise required by public-health policies to quarantine. As the COVID-19 pandemic is still ongoing, there is a risk that it will spread to Montserrat, thus
forcing the OAG's staff to work from home again. We wish to thank the Ministry of Finance for providing the relevant tools and equipment that has enabled some staff to work from home to ensure completion of assignments.
OAG's Financial Performance - fiscal years ending 31 March 2022 & 2023
18. The table below is an overview of the Audit Office's planned spending versus actual spending for the prior three fiscal years.
19. Material expenditures continue to be compensation of employees and acquisition of goods and services utilizing 81% and 18% of the budget in 2021-22 and 78% and 20% in 2022-23, respectively.
20. When actual expenditure is compared with that allocated by the Legislative Assembly for fiscal years 2021-2022 and 2022-2023, we note an under-spend of $32,001 and 37,342 respectively. This arose primarily because of key vacancies throughout the reporting period.
21. With respect to revenue collection, $40,100 payment was received from clients who were billed for audit work over the past two years. In other cases, very slow responses to queries and requested adjustments presented to our clients, and non-submission of accounts for review prevented us from achieving more revenue.
22. Appendix 1 provides full details of our financial performance for the fiscal years ending 31 March 2022 and 2023. Human Resource Management and Development
| | FY 2020/ 2021 audited | FY 2021/ 2022 audited | FY 2022/ 2023 unaudited |
|---|---|---|---|
| Vote 11: OAG | EC$ | EC$ | EC$ |
| Approve Estimate | 1,284,700 | 1,223,000 | 1,129,400 |
| Actual Expenditure | 1,197,712 | 1,190,999 | 1,092,058 |
| Overspent / (Underspent) | (86,988) | (32,001) | (37,342) |
Size & Composition of Workforce
23. The OAG has an approved and funded staff complement of 16 post; 13 auditors and 3 administrative and support employees. In addition to the posts of Auditor General (vacant for two years) and Deputy Auditor General, there are posts for two Compliance Auditors, one IT Auditor, two Performance Auditors, and six Financial Auditors.
24. Our full staff complement can be viewed at Appendix 2.
Capacity Development
25. There are continuous changes in our audit environment; thus, we need to develop strategies to deal with this if we are to perform effectively and to provide value for citizens. One of our ongoing strategies is always to be a learning organisation where skills and abilities of individuals, and the organization as a whole, are constantly upgraded. In keeping with this strategy, we continue to broaden our knowledge and update our skills and audit techniques through the use of internet and participated in the following capacity development initiatives. When conducting these activities, we cross-train our staff; for example, auditors of a particular team undertake training in other audit disciplines. During the year, two auditors from the IT audit team completed the PESA Compliance Audit Course.
Professional Development
26. During the reporting years, seven auditors were in pursuit of various professional development initiatives with financial support being provided by the Government of Montserrat. In 2022-2023, with special thanks to the INTOSAI and the INTOSAI Development Initiative (I.D.I.), six auditors were in the process of completing the world's first Professional Education for Supreme Audit Institution Auditors Pilot Programme (PESA-P) within the three offered streams: compliance audits, financial audits, and performance audits.
GoM In-service Training
27. During the reporting period, 3 staff members attended various GoM in-service training activities to develop their knowledge and skills in SmartStream, asset management software, financial management and teamwork. We continue to actively participate in the GoM in-service training initiatives to gain a better appreciation of the various functions in the public service.
In-house Training
28. We continue with our programme of on-the-job training, coaching and mentoring of the staff. As these programmes are conducted by in-house staff as part of their routine job functions, no significant funding is required. We therefore view them as being very beneficial to expanding/upgrading staff knowledge, skills and output of the Audit Office.
29. Creating a Dynamic Audit Organization Workshop. The intention of this workshop was to enhance the interpersonal skills in creating a dynamic audit function thus creating a culture that empowers and supports a professional class of superior Auditors. Throughout the training, peer evaluation was done, along with group presentations, role-playing, and feedback provided by the facilitator on whether the groups
demonstrated an understanding of key elements of interpersonal skills and organisational culture.
30. All employees at the OAG participated in this training initiative which was delivered by Mrs. Delmaude Ryan of Cassidy Strategic Business Services over two-half day sessions on November 24 & 25, 2021.
Attendance at Regional /International Conferences/Meetings/Workshops
31. During both reporting years, auditors attended a number of virtual seminars.
* May 14, 2021 – Joint Meeting of Auditors-General, Budget Directors and Accountants General, Eastern Caribbean Central Bank
* December 15, 2021 – IDI's Global Summit on Enhancing SAI Audit Quality, INTOSAI Development Initiative
* February 2, 2022 – ICAEW Professional Scepticism and Obtaining Assurance, UKOTs Project & UKNAO
* March 16, 2022 – Statistical Sampling, UKOTs Project & UKNAO
* June 16, 2022 – Promoting Independent External Audits on Credibility of Government Budgets: How SAIs Assess and Address Budget Credibility Confirmation, International Budget Partnership
* July 22, 2022 – Audit of the Future, CAROSAI & IDI
* August 31, 2022 – Working on Digital Financial Audit, UKOTs Project & UKNAO
32. Canadian Audit and Accountability Foundation's Course on Root Cause Analysis. In 2021, two Senior Auditors, Mrs Tracy Layne and Miss Kimmora Ward attended this virtual workshop over a 3-day period; this was sponsored by the Caribbean Organisation for Supreme Audit Institutions (CAROSAI). The aims of the training were (a) to share why auditors should undertake root-cause analysis and the value of this analysis in all phases of public sector performance auditing, (b) to identify the main categories of root causes (c) to be aware of, and how to mitigate, cognitive biases when analysing root causes, and (d) to apply several techniques to determine root causes, and (e) to formulate good audit recommendations that address root causes. This analysis is a systematic process for identifying root causes of problems or events and an approach for responding to them. RCA is based on the basic idea that effective management requires more than merely "putting out fires" for problems that develop, but finding a way to prevent them.
33. SAI and Public Financial Management – A Foresight Exercise Workshop. Miss Marsha Meade, Acting Auditor-General, joined other participants from across the World at the first SAI Leadership Masterclass at the captioned workshop, which was facilitated by INTOSAI Development Initiative from September 26-28, 2022, in Rabat, Morocco.
34. The goal of the foresight exercise workshop was to scan future trends concerning public financial management, to enable SAI leaders to prepare their institutions to confront the emerging risks, and to identify the opportunities to secure relevance and impact. Public Financial Management (PFM) is changing rapidly: the nature and size of public expenditure, the service-delivery methods, the accounting and control system, the
reporting channels, among others, are all in reform and transformation. Following INTOSAI -P 12, the SAIs, being major stakeholders in PFM, shall be aware of this transformation, look ahead and anticipate future trends. SAIs shall design proactive steps to address the future risks and to take advantage of emerging opportunities.
35. ECCB Joint Meeting of Auditors-General, Budget Directors and Accountants General. On October 6, 2022, Miss Marsha Meade also attended this virtual meeting, and was specially invited to deliver a presentation on the "Collaboration Between the Audit Offices and the Public Accounts Committee." Two other presenters delivered on the topics: "Overview of Economic Developments" and "Automation: How it affects the Functioning of Government in Relation to Budgeting, the Accountant General, and Auditors General Offices." From Montserrat, Mrs. Judith Baker, the Clerk of the Legislative Assembly, and the Honourable Claude Hogan, MP, representing the Public Accounts Committee shared their experiences in the work of the Public Accounts Committee.
36. The intention was to provide support to SAIs in understanding and developing their work with the Public Accounts Committee. Montserrat was the only Member State with an active PAC for a number of years until recently when Dominica revitalised its Public Accounts Committee.
37. Public Health Systems Report Review Meeting. During November 15-17, 2022, Mrs. Urica Cassell and Mr. Brent Shuffler, Audit Managers within the OAG represented Montserrat at the review meeting in Tunisia, joining colleagues from many countries.
38. The IDI has provided professional education, social learning opportunities and audit support to the SAI teams conducting this important audit. Participating regions include
the Caribbean, Latin America, Central Asia, Northern Africa, Pacific, and the Middle East. The goal of this global meeting was to share experiences and insights obtained on the 2year journey of training for, and then performing, audits of national implementation of Sustainable Development Goals, and, in particular, to offer support to our SAI in reviewing our draft audit-report on Auditing of Strong and Resilient National Public Health Systems.
39. UK Overseas Territories Project Forum. CPA UK, in partnership with the UK National Audit Office (NAO), and the UK Government Internal Audit Agency (GIAA), continues to provide support to the UK Overseas Territories in strengthening the oversight of
public finances. Representing Montserrat, Miss Marsha Meade, Acting Auditor-General attended the fifth Multilateral Forum from November 29 to December 1, 2022, along with the Chairman and another Member of the Public Accounts Committee, the Clerk of the Legislative Assembly, and the Chief Internal Auditor.
40. The Forum explored how the Overseas Territories can continue to develop and to strengthen their ability to scrutinise public finances, and enhance good governance practices. The Acting Auditor General was invited to participate in a Panel Discussion at the above captioned Forum in London.
The session explored how legislatures and the public can hold governments to account, using financial statements. The first case examined how the UK NAO carried out and reported its audit of the financial statements of the Department of Health and Social Care for the fiscal year 2020-2021. The audit-opinion on this entity's accounts was heavily qualified, partly because there were very substantial impairments. The second case-study drew on insights from Montserrat, where the Government'[s statements of the Public Accounts were also given a qualified audit-opinion. Miss Meade made a 10minute presentation on "Using Accounts for Financial Scrutiny – the Montserrat Experience."
Succession Planning
41. Succession planning normally looks at filling vacancies with internal employees should the need arise. At the OAG, we look at continuous capacity development as the first step in the process to ensure continuity.
Performance Management
42. We continue to follow ISSAI 1220, which requires that we monitor the work of our staff and provide feedback on an assignment basis. In addition, we provide formal feedback annually in keeping with the GOM's performance-management practices. Our performance-assessments are generally completed on time and are sent to the HRMU for its necessary action.
Teambuilding Efforts
43. Team building activities have many benefits, which provide a way to motivate the staff, to enhance communication among employees and to improve their morale and productivity. Members of the OAG's staff participated in various activities such as a staff retreat and in-house training sessions.
44. Our Annual Christmas Dinner was held at the Olveston House on December 15, 2022. As part of this event, a secret gift-exchange was done, and one member of the staff shared her talent in Poetry. The acting Auditor-General thanked all employees for their contribution throughout the productive year at the office of the Auditor General.
Workforce Performance
Tabled Reports for 2022 & 2023
45. As mandated by the Montserrat Constitution 2010, the Auditor General shall audit and report to the Legislative Assembly on the performance of public offices, governmental administrations and public corporations or other bodies or organisations established by an Act of the Legislature. During the reporting period, the following reviews were completed and tabled in the Legislative Assembly during the fiscal years ending March 31, as at 2022 and 2023.
Exhibit 1 – Reports tabled as at 31 March 2022
| Montserrat Philatelic Bureau for the Financial Years Ended December 31, 2009 & March 31, 2011, 2012, and 2013 | 2009 – 2013 |
|---|---|
| Montserrat Land Development Authority – Government of Montserrat Housing Stock for the Financial Year Ended March 31, 2017 | 2016 – 2018 |
| Report of the Auditor General on the Audit of the Public Accounts of Montserrat, and Other Selected Activities for the Fiscal Year Ended March 31, 2020 | 2019 – 2020 |
| Montserrat Arts Council’s Financial Statements for the Years Ended December 31, 2015, 2016 | 2015 – 2016 |
| Montserrat Land Development Authority – Corporate Accounts for the Financial Year Ended March 31, 2017, 2018 | 2016 – 2018 |
| Montserrat Community College Financial Statements for the Year Ended March 31, 2013, 2014, 2015 | 2012 – 2015 |
Exhibit 2 – Reports tabled as at 31 March 2023
| The Cuban Medical Brigade: Lessons-Learnt Report | The objective of this review was to provide a broad overview of the Government’s initial response to the pandemic in relation to activities undertaken, committed income and costs |
|---|---|
| The Government of Montserrat’s Fiscal Stimulus Packages – Business Support | This audit sought to examine the adequacy of the systems processes and procedures in relation to development and execution of the stimulus packages and the effectiveness of the management and evaluation controls that were implemented |
Financial Audits
46. Financial Audits are carried out with the objectives of determining (a) whether public monies are expended as authorised by Parliament and/or persons charged with governance directives; (b) that monies are properly accounted for; and (c) that the financial statements are fairly presented in accordance with GOM's regulatory regime and acceptable financial reporting frameworks.
Audit of the Public Accounts
47. I am happy to report that we completed the audit of the Public Accounts for fiscal year 2020-2021. Work on the Public Accounts was completed as follows:
Exhibit 3 - Prior and Current Year Audits: Public Accounts
| Fiscal year | Opinion Issued | Tabled in Legislative Assembly |
|---|---|---|
| 2019-2020 | Qualified | 27 July 2021 |
| 2020-2021 | Qualified | 26 July 2022 |
| 2021-2022 | - | Audit n progress |
48. The Public Accounts are made up of fourteen statements portraying different elements of the accounts as mandated by the Public (Finance Management and Accountability) Act, 2008 and two statements prepared under the IPSAS Cash basis of Accounting. These statements represent the accounts of forty-two central government Ministries and Departments.
Statutory Agencies
49. During the reporting period, work was conducted on the audits of statutory agencies' accounts as follows:
Exhibit 4 - Prior and Current Year Audits: Statutory Agencies
| Statutory Agency | Financial Year | Status |
|---|---|---|
| Montserrat Land Development Authority (Housing) | 2021 – 2022 | Audit in progress (outsourced) |
| Montserrat Land Development Authority (Corporate) | 2019 – 2020 | Audit in progress |
| Montserrat Volcano Observatory | 2014 – 2015 | Audit in progress |
| Montserrat Info- Communications Authority | 2019 – 2020 | Audit completed |
Private Financial Audits
50. These audits relate to entities that, though they are not strictly a part of the public sector, have specifically requested us to audit their accounts. At the end of the fiscal year, the status of these audits are as follows:
Exhibit 5 – Prior and Current Year Audits: Other Financial Audits
| Agency | Financial Year |
|---|---|
| Montserrat Civil Service Association | 2015 – 2016 |
| Montserrat Guides Association | 2019 & 2020 |
Performance Audits
51. Performance auditing is a systematic and objective examination of public sector activities and organisations in order to assess the extent to which public sector entities utilise their resources in an economic, efficient and effective manner. Its primary objective is to provide Parliament with independent assurance about the economy,
efficiency and effectiveness of public sector related activities. Another objective is to assist audited entities in improving their performance and achieving greater value for money from the use of resources.
52. At the end of the fiscal year, the following audits were in progress as described in the table below.
Exhibit 6 - Performance Audits completed or in progress as at 31 March 2023
| Report Name | Summary |
|---|---|
| The Inland Revenue Department: Governance, Efficiency, Effectiveness & Quality of Service | The audit examines whether the IRD is being efficient in its operations and effective in meeting its mandates |
| The Government of Montserrat’s Implementation of the United Nations’ Sustainable Development Goal 3.D. Strong and Resilient Public Health Systems | This audit sought to examine the extent of the GOM’s strengthening of the national health system’s capacities to forecast, to prevent and to prepare for public health risks, building on emerging lessons learnt from recent public-health events. |
I.T. Audits
53. I.T. Audits encompass review and evaluation of automated information processing systems, related non-automated processes and the interfaces among them. The statuses of this audit type at the end of the fiscal year are highlighted below.
Exhibit 7 – I.T. Audits completed or in progress as at 31 March 2023
| Statistical Package for Social Sciences | This review sought to determine whether the implementation of the SPSS met the Montserrat Statistics Department’s work objectives and delivered the anticipated benefits. |
|---|---|
| OMNI Accounting and Cargo Management Software | This review sought to determine whether the implementation of the OMNI software met the Montserrat Port Authority’s work objectives and delivered the anticipated benefits. |
Compliance Audits
54. Compliance audits focus primarily on determining whether organisations are complying with relevant laws, and regulations with the and policies of the organisations. The results of these audits are communicated to audited entities' management so that steps could be taken to address any deficiencies. Synopses of these reports are usually included in the Report of the Auditor-General on the Audit of the Public Accounts. The Unit performed work in the following areas:
Exhibit 8 – Compliance Audits completed or in progress as at 31 March 2023
| Ministry/Department | Subject Area | Audit Conclusion |
|---|---|---|
| All Ministries & Departments | Revenue Collection (April 2021 – March 2022) | - |
| All Ministries & Departments | Arrears of Revenue (April 2021 – March 2022) | - |
| Ministry of Communication Works Labour and Energy | Remote Worker Stamp | - |
Environmental Audits
55. Environmental audits are reviews of the public sector operations and processes to determine whether they comply with the GOM's environmental laws and regulations and with agreed regional and international accords. During the period, no Environmental Audit was conducted.
Reports Reviewed by the Public Accounts Committee (PAC)
56. We are happy to report that the Public Accounts Committee (PAC) has been active for the reporting periods. The PAC's 3rd Public Inquiry session, focussing on the Social Security Fund, was held on July 14, 2021. it was well attended, engaged multiple stakeholders, and gained much public attention. The following year, the PAC's 4th Inquiry, which focussed on the Office of the Deputy Governor was held on July 28, 2022. At the end of the fiscal year, Reports of the Auditor General on the Public Accounts and a number of Tabled Audit Reports were awaiting review by the PAC. The Audit Report on the Public Accounts for the fiscal year 2020-2021 was tabled on July 26, 2022, in the Legislative Assembly.
Social Impact of Work
57. Accounting Officers are taking some of our recommendations in hand and are implementing them but, more often than not, there are significant delays before their implementation or providing responses to the OAG's request for information. However, despite delayed action, they lead to improvements in the services offered to the public.
58. Our audits' stakeholder-engagement strategy has been effective. We are encouraged by the discussions in the news and/or social media on our audit reports. These draw the issues into the public domain, thereby causing public servants to pay more attention to the services being offered to citizens and within the public service itself.
The OAG's Work Programme for fiscal year 2023-24
59. Our preliminary work plan is at Appendix 3. Strategically, we will continue to focus on achieving the following:
* Performing requisite audits and report on the public accounts of Montserrat and of all public offices.
* Establishing the independent Montserrat National Audit Office that facilitates greater accountability and transparency.
* Delivering value to citizens through (a) improved recommendations to Accounting Officers; (b) improvement in staff capability and skills; and (c) development of policies, procedures and guidelines that facilitate high-quality work and meet international audit standards/guidelines.
* Relocation of the Audit Office to new accommodation at the Financial Services Commission's newly constructed Office Building.
* Effective advocacy and stakeholder engagement.
60. Our strategies were linked to the Montserrat Constitution Order 2010. They are also linked to Montserrat's Sustainable Development Plan and the Cabinet's Policy Agenda.
61. To this end, we will continue to participate in training courses and workshops facilitated by various training agencies whether they be on island, regionally or internationally, once appropriate funding is available.
Overall Conclusion
62. We were not able to achieve our strategic objective of gaining independence of our offices during the fiscal years. The final leg of this objective is beyond our control as it falls within the ambit of other agencies. As both Montserrat's Constitution and international best practice requires an independent National Audit Office, we will continue to draw this to the attention of the relevant authorities.
63. We made significant strides toward strengthening the accountability and transparency of public-service delivery through capacity building and by conducting more special audits. Our capacity building efforts and attendance at regional and international virtual and face-to-face workshops provide a synopsis of the areas pursued during the fiscal year. We aim to participate in similar up-skilling activities throughout the 2023-2024 fiscal year.
Acknowledgements
64. I must express our thanks to the staff of the Treasury Department, all Accounting Officers and the staff of their Ministries/Departments, the staff of Statutory Agencies and other organizations, for any assistance given to my staff during the performance of the various audit assignments. We look forward to your continued support.
65. As we strive to improve the services we offer, capacity development and institutional strengthening are among our highest priorities. Special thanks are extended to the GOM, the FCDO, the UK NAO, the CPA UK, the INTOSAI, the IDI, and the CAROSAI for their contributions toward the expansion of our knowledge and our skills.
66. Finally, I applaud the members of the staff of the OAG for their hard work, commitment and invaluable contribution despite some challenges. As they are responsible for conducting these audits and for providing their assessments of the findings and making practicable recommendations, it would not be possible to provide this report without their continuous efforts. Thank you.
Marsha V. E. Meade Auditor-General (Ag) Office of the Auditor General April 6, 2023
Appendix 1
Annual Abstract of Recurrent Revenue and Expenditure 2021-2022
Annual Abstract of Recurrent Revenue and Expenditure 2022-2023 (unaudited)
| Revenue | | | | | | | |
|---|---|---|---|---|---|---|---|
| Head | Details | Approved Estimates | Virement Warrants | Supplementary Estimates | Revised Estimate | Actual Revenue | Variance |
| 13005 | Audit Fees | 60,000 | | | 60,000 | 11,400 | 48,600 |
| Expenditures | | | | | | | |
| Head | Details | Approved Estimate | Virement Warrants | Supplementary Estimates | Revised Estimate | Actual Expenditure | Variance |
| 210 | Personal Emoluments | 773,200 | (12,500) | (63,000) | 697,700 | 681,798 | 15,902 |
| 212 | Wages | 18,000 | | | 18,000 | 18,000 | 0 |
| 216 | Allowances | 122,700 | (5,000) | (11,000) | 106,700 | 103,923 | 2,777 |
| Total Compensation to Employees | | 913,900 | (17,500) | | 822,400 | 803,721 | 18,679 |
| 218 | Pension & Gratuities | 43,700 | 11,500 | | 55,200 | 54,250 | 950 |
| Total Social Benefits | | 43,700 | 11,500 | | 55,200 | 54,250 | 950 |
| 220 | Local Travel | 6,000 | | | 6,000 | 5,592 | 408 |
| 222 | International Travel and Subsistence | 4,200 | 500 | | 4,700 | 648 | 4,052 |
| 224 | Utilities | 27,600 | 6,000 | | 33,600 | 31,589 | 2,011 |
| 226 | Communication Expenses | 7,500 | | | 7,500 | 6,743 | 757 |
| 228 | Supplies & Materials | 7,000 | | | 7,000 | 6,997 | 3 |
| 229 | Purchase of Equipment | 10,000 | | | 10,000 | 6,323 | 3,677 |
| 232 | Maintenance Services | 4,700 | | | 4,700 | 3,838 | 862 |
| 234 | Rental of Assets | 80,400 | | | 80,400 | 80,040 | 360 |
| 236 | Professional Services & Fees | 70,600 | | | 70,600 | 65,989 | 4,611 |
| 242 | Training | 20,000 | (500) | | 19,500 | 19,498 | 2 |
| Total Goods & Services | | 238,000 | 6,000 | | 244,000 | 227,257 | 74,136 |
| 260 | Grants & Contributions | 4,800 | | | 4,800 | 4,182 | 618 |
| Total Grants & Contributions | | 4,800 | | | 4,800 | 4,182 | 618 |
| 275 | Sundry Expenses | 3,000 | | | 3,000 | 2,648 | 352 |
| Total Sundry Expenses | | 3,000 | | | 3,000 | 2,648 | 352 |
| Total Recurrent Expenses | | 1,203,400 | 0 | (74,000) | 1,129,400 | 1,092,058 | 37,342 |
Appendix 2
OAG Organisational Structure
-
AUDITOR GENERAL
AUDIT
MANAGER
(Compliance &
Departmental)
AUDIT MANAGER
(Financial Audits)
DEPUTY
AUDITOR GENERAL
SENIOR
AUDITOR
SENIOR
AUDITOR
SENIOR
AUDITOR
SENIOR
AUDITOR
AUDIT MANAGER
(Performance &
Special Audits)
SENIOR
AUDITOR
AUDIT MANAGER
(Information
Technology Audits)
AUDITOR
SENIOR CLERICAL
OFFICER
AUDITOR
CLEANER
OFFICE
ATTENDANT
Appendix 3
OFFICE OF THE AUDITOR GENERAL
ANNUAL AUDIT WORK PLAN FOR 1 APRIL 2023 – 31 MARCH 2024
1. Audit of Public Accounts
As per Section 17(2) of the Public Finance (Management and Administration) Act 2008 we are mandated to audit the following fourteen (14) Statements.
(a) a statement of assets and liabilities;
(b) an annual abstract of revenue and expenditure by heads; This is for fourteen (14) entities with forty-two (42) sub-departments.
(c) a comparative statement of actual and estimated revenue by sub-heads;
(d) a comparative statement of actual and estimated expenditure by sub-heads;
(e) a statement of balances on advance accounts analysed under the various categories set out in section 30;
(f) a statement of balances on deposit accounts;
(g) a statement of outstanding loans made from the Consolidated Fund, by annual and aggregate receipts and payments;
(h) a statement of public debt;
(i) a statement of contingent liabilities;
(j) a statement of investments showing the funds on behalf of which the investments were made;
(k) a statement of arrears of revenue by sub-heads;
(l) a statement of losses of cash and stores and of abandoned claims;
(m) a statement of the Contingencies Fund Account;
(n) other statements as the Legislative Council may from time to time require.
2. Other Financial Audits
Statutory Agencies (6)
- Montserrat Land Development Authority (Corporate & Housing Management)
- Montserrat Volcano Observatory
- Montserrat Community College
- Montserrat Arts Council
- Montserrat Info-Communication Authority
- Montserrat Philatelic Bureau
Private (4)
- Montserrat Civil Service Association
- Montserrat Guides Association
- St Augustine Primary School
- Basic Needs Trust Fund (BNTF).
3. Performance/Value for Money Audits
- Montserrat Government U.K. Office
- Montserrat Utilities Limited: Financial Stability & Transition to Green Energy
- Government of Montserrat Pensions
- E-Government: The Shift to Online Services
4. Information Technology Audits
- MCWLE - Air Traffic Control
- MUL – Integrated Utilities Management
- Disposal of ICT Equipment
5. Compliance Audits
- Review of Ministries/Departments – Arrears of Revenue
- Review of three (3) Revenue Collection Points
- MOHSS - Solid Waste Management
- MOEYAS - Youth Program
- MOHSS - Management of Non-Communicable Diseases
- MCWLE - Traffic Division
|
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In The Supreme Court of the United States
--------------------------------- ♦---------------------------------
MEADWESTVACO CORPORATION, SUCCESSOR IN INTEREST TO THE MEAD CORPORATION,
Petitioner, v.
ILLINOIS DEPARTMENT OF REVENUE, DIRECTOR OF THE ILLINOIS DEPARTMENT OF REVENUE, AND TREASURER OF THE STATE OF ILLINOIS,
Respondents.
--------------------------------- ♦---------------------------------
On Writ Of Certiorari To The Appellate Court Of Illinois
--------------------------------- ♦---------------------------------
REPLY BRIEF OF PETITIONER
--------------------------------- ♦---------------------------------
BETH S. BRINKMANN BRIAN R. MATSUI NICOLE D. DEVERO MORRISON & FOERSTER LLP 2000 Pennsylvania Ave., N.W. Washington, DC 20006 (202) 887-1544
PAUL H. FRANKEL Counsel of Record CRAIG B. FIELDS ROBERTA MOSELEY NERO MORRISON & FOERSTER LLP 1290 Avenue of the Americas New York, NY 10104 (212) 468-8000
Counsel for Petitioner
DECEMBER 28, 2007
================================================================
TABLE OF CONTENTS
TABLE OF CONTENTS – Continued
TABLE OF AUTHORITIES
TABLE OF AUTHORITIES – Continued
REPLY BRIEF OF PETITIONER
Mead paid taxes to Illinois, as a nondomiciliary corporation, based on the amount of Mead's income that was apportioned to its business conducted in Illinois. That taxation was based on the well-established proposition that a State can tax a corporation on its income attributable to business conducted within the taxing State. But respondents also required Mead to pay taxes based on a capital gain that was not apportionable to Illinois.
Respondents urge this Court to expand the reach of Illinois's tax authority and allow Illinois to include in Mead's apportionable tax base the capital gain derived by Mead from its out-of-state sale of its Lexis/Nexis investment. That capital gain, however, was earned by Mead in the course of activities unrelated to Mead's business conducted in Illinois. It was extraterritorial income not fairly attributed to the activities of the taxpayer Mead within the State. It was not income in the regular course of Mead's unitary business in Illinois, nor did it serve an operational function for that business.
This Court's precedents make clear that respondents cannot expand the reach of Illinois's taxing authority, consistent with the Due Process and Commerce Clauses, in such circumstances to allow the State to tax a nondomiciliary investor for a portion of a capital gain derived from the sale of a nonunitary investment.
I. RESPONDENTS' DEFENSE OF THE STATE COURT'S OPERATIONAL FUNCTION TEST IS MERITLESS
The sole justification of the state courts below for allowing Illinois to include in Mead's apportionable tax base the capital gain earned by Mead on the sale of Lexis/Nexis was that Mead's investment in Lexis/Nexis somehow served an operational function for Mead's paper and office supply business. But respondents devote only a small fraction of their brief to an attempt to defend that ruling. They rely on the single fact that Mead owned Lexis/Nexis and expected a return on that investment. That rationale does not meet the constitutional standard for operational function under Allied-Signal, Inc. v. Director, Division of Taxation, 504 U.S. 768 (1992).
A. Respondents' Argument Is Contrary To Allied-Signal
Respondents are wrong that the state apportionment method of taxation is constitutional whenever the taxpayer corporation exerts some control over a nonunitary asset that produces out-of-state income or gain. Resp. Br. 40-45.
This Court has held that, unless there is a unitary business relationship between a taxpayer corporation and an asset in an out-of-state capital transaction, a State may tax an apportionment of the gain derived from the asset only if that "capital transaction serve[s] an operational rather than an investment function" for the taxpayer's business conducted in the State. Allied-Signal, 504 U.S. at 787. In other words, the operational function test allows Illinois to tax an apportionment of Mead's capital gain on its sale of its Lexis/Nexis electronic data retrieval investment only if Lexis/Nexis was somehow used by Mead to serve an operational function for Mead's paper and office supply business conducted in Illinois. In the absence of such an operational relationship, the constitutionally required minimum connections between the State and the taxpayer's gain are not satisfied.
It is not enough that Mead's ownership of Lexis/Nexis affected Mead's balance sheet. Allied-Signal specifically cautioned that "the mere fact that an intangible asset was acquired pursuant to a long-term corporate strategy of acquisitions and dispositions does not convert an otherwise passive investment into an integral operational one." Ibid. And, a nonunitary asset does not become integral to the operations of a unitary business merely because that asset is " 'acquired, managed or disposed of for purposes relating or contributing to the taxpayer's business.' " Id. at 789 (quoting ASARCO Inc. v. Idaho State Tax Comm'n, 458 U.S. 307, 326 (1982)).
The Allied-Signal Court emphasized why this is so: "The business of a corporation requires that it earn money to continue operations and to provide a return on its invested capital. Consequently all of its operations, including any investment made, in some sense can be said to be 'for purposes related to or contributing to the [corporation's] business.'" Ibid. The Court unequivocally rejected that unlimited concept as satisfying the constitutional standard. Ibid.
B. Respondents Cannot Prevail Based On The Standard Of Review Because The State Court Applied The Wrong Legal Standard For Operational Function
1. Respondents argue that the judgment below should be affirmed because the standard of review that this Court applies requires deference to state courts. Resp. Br. 40. 1
No deference to a state court ruling is appropriate, however, where, as here, the court applied the wrong legal standard. This Court has made clear that first its "task must be to determine
1 Certain of respondents' amici also suggest that Mead's arguments before this Court shift the burden of proof to Illinois to prove its tax is constitutional. Br. of California et al. as Amici Curiae Supporting Respondents 28-30. Mead makes no such argument. Under the applicable standard, Mead has the burden of proof to demonstrate that the state tax was unconstitutional. But, as discussed in Mead's opening brief and in this reply, Mead fully met this burden through undisputed evidence. J.A. 10-13. It thus is incumbent upon respondents to rebut Mead's proffer or have its tax found unconstitutional.
whether the state court applied the correct standards to the case," and then, only if the state court did so, it must determine whether the state court's "judgment 'was within the realm of permissible judgment.' " Container Corp. of Am. v. Franchise Tax Bd., 463 U.S. 159, 176 (1983) (quoting Norton Co. v. Department of Revenue, 340 U.S. 534, 538 (1951)). Thus, absent application of the correct legal standard by the court below, this Court does not owe deference to the state court judgment.
That is so here. The Illinois appellate court's judgment on operational function does not merit deference because that court applied the wrong legal standard. The court employed an ad hoc approach that cited some connections between the two businesses and some benefits they shared. The court rested its operational function ruling simply on Mead's ownership of Lexis/Nexis, Mead's occasional "involvement with Lexis/Nexis," and basic indicia of ownership. Pet. App. 12a-13a.
But the correct legal standard for operational function under Allied-Signal does not rest on such facts. Allied-Signal requires that a court look to whether Lexis/Nexis provided integral support to the operations of Mead's paper and office supply business conducted in Illinois. 504 U.S. at 789. And, as Mead's opening brief explains, the facts regarding the relationship between Mead's paper and office supply business and its Lexis/Nexis investment do not satisfy that test. Pet. Br. 30-41.
2. Respondents attempt to distinguish Allied-Signal on the ground that the taxpayer in that case "owned only 20.6% of its investee's stock and had no way to control the investee." Resp. Br. 44. But that fact was not relevant to the operational function inquiry in Allied-Signal. Rather, the Court cited the fact to support its conclusion that the taxpayer's minority stake in the investment meant that there was no possibility of "an integrated division of a single unitary business." Allied-Signal, 504 U.S. at 788. And even in the context of a unitary business relationship, this Court made clear that "potential control is not sufficient." Ibid. (citing F.W. Woolworth Co. v. Taxation & Revenue Dep't, 458 U.S. 354, 362 (1982)). 2
3. Respondents also contend that the extent of its taxation of Mead can be justified because, they claim, "Mead regularly manipulated Lexis/Nexis's corporate form" to gain tax benefits. Resp. Br. 41. That post hoc justification based on corporate form is wrong for three reasons.
First, respondents' statement is belied by the facts to which respondents agreed through stipulation.
2 In Woolworth, for example, this Court invalidated an application of a state tax apportionment scheme even though three of the four subsidiaries the State sought to tax were 100% owned by the taxpaying parent. Woolworth, 458 U.S. at 356-357. Accordingly, not only does petitioner's 100% ownership have no relevance to the operational function test, it also is of limited probative value to the unitary business determination.
The stipulated record establishes that, in the twenty-six years during which Mead owned Lexis/Nexis, such a change occurred on only three occasions. J.A. 14. Far from demonstrating any "regular[ ] " manipulation of corporate form, those infrequent occurrences do not indicate that Lexis/Nexis somehow operationally supported Mead's paper and office supply business. 3
Second, respondents' argument that the change in the corporate form of Lexis/Nexis was not "arm's length" (Resp. Br. 41) is nonsensical. Mead owned a 100% interest in Lexis/Nexis both before and after the change in corporate form. Moreover, the record does not support respondents' implication that there was a sale of Lexis/Nexis for $350,000; rather the record indicates that was the cost of effecting the corporate change. J.A. 147. The change in corporate form had no substantive effect on the operations at Lexis/Nexis vis-à-vis Mead. J.A. 165, 176-177.
Third, this Court has never placed significance on the corporate form of an asset but, instead, has focused on the activity of the asset to determine whether it served an operational function for the
3 Respondents' reliance on this fact also is undermined by their own insistence, starting in 1988, that Mead and Lexis/Nexis file consolidated tax returns in Illinois as a unitary business, which Mead did under protest. J.A. 13. Accordingly, the 1993 change in corporate form had no effect on Mead's taxes in Illinois, because Mead already was filing in that manner at the insistence of Illinois.
entity being taxed. Cf. Mobil Oil Corp. v. Commissioner of Taxes of Vermont, 445 U.S. 425, 440 (1980) ("the underlying activity, not * * * the form of investment * * * determine[s] the propriety of apportionability"). Respondents elsewhere concede as much. See Resp. Br. 43 ("Apportionment has nothing to do with the form a business organization takes.").
Respondents' amici make a somewhat similar argument, contending that Illinois can apportion to itself for taxing purposes part of the gain Mead received from the sale of Lexis/Nexis because the change in the form of Lexis/Nexis had "the purpose of setting off against the gains of one part of the business the losses incurred by another part." Br. of California et al. as Amici Curiae Supporting Respondents 31. 4 Their argument would eviscerate the operational function test. It would mean, as a practical matter, that a State would be entitled to increase its tax on a nondomiciliary corporation conducting a business in the State to include a variety of transactions involving the corporation's investments located in other States. That would be so whenever the corporation realized a tax benefit from its ownership of such out-of-state subsidiaries and
4 Neither Illinois nor its amici cite any case to support their extraordinary proposition that tax benefits that affect only a multistate corporation's balance sheet can serve an operational function. Our research has located only one case addressing that issue and it did so in the context of state law. See Kewanee Indus., Inc. v. New Mexico, 845 P.2d 1238 (N.M. 1993).
divisions even though those investments were not otherwise related to the corporation's unitary business conducted in the State. The practical and unsettling effect of such a result is explained in detail by amicus curiae in support of Mead's opening brief. See Br. of The Walt Disney Company as Amicus Curiae Supporting Petitioner 22-26; see also Pet. Br. 43-50.
C. Respondents Improperly Conflate The Operational Function Test And The Unitary Business Test
Respondents and their amici States confuse this Court's precedents when they claim that the operational function test is not distinct from the unitary business test, and is a mere component of the latter test. Resp. Br. 43-44; Br. of California et al. as Amici Curiae Supporting Respondents 14-21.
Significantly, this is a distinction without a difference, because such mislabeling cannot alter the fact that the state tax here fails under either approach. See pages 13-21 infra (unitary business); Pet. Br. 21-28 (same); see pages 4-9 supra (operational function); Pet. Br. 28-41 (same).
In any event, respondents' effort to blur the distinction between the two tests is misleading because, irrespective of whether the two tests are independent of one another or are components of a larger analysis, they each are distinct in that they measure in different ways the relationship between the taxpayer and the asset or investment that the
State seeks to tax. The unitary business test examines whether an asset is an integrated part of the taxpayer's business. The operational function test examines whether an asset that is not integrated with the taxpayer's business nonetheless provides integral operational support to the business.
By conflating the two tests, respondents seek to satisfy the operational function test based on evidence that shows no more than some economic connection between two businesses under common ownership. That evidence does not, as demonstrated above, meet the operational function test and, although it is probative it is not sufficient under the unitary business test. 5 Respondents appear to imply (Resp. Br. 44) that because, in their view, the two tests are not mutually exclusive, evidence of partial satisfaction of both tests can satisfy the constitutional standard, but that is clearly contrary to Allied-Signal.
Other than the court below, state courts have universally recognized that the operational function test is not satisfied merely because a nonunitary
5 We do not suggest that evidence probative of a unitary business relationship could not also be probative of an operational function. For example, it might be probative to both inquiries if the record demonstrated that the two businesses were in the same line of business. But what respondents ignore is that such evidence would be probative to both tests for different reasons, because of the different analyses each test employs.
asset contributes to a taxpayer's "financial strength overall," because to do so "would swallow the distinction between operational and investment income." Alaska Dep't of Revenue v. OSG Bulk Ships, Inc., 961 P.2d 399, 411, 414 (Alaska 1998). State court decisions sustaining state apportionment under the operational function test share no similarities to the instant case. Pennzoil Co. v. Department of Revenue, 33 P.3d 314, 318 (Or. 2001), cert. denied, 535 U.S. 927 (2002) (agreement guaranteeing strategic petroleum resources for taxpayer petroleum business constitutes an operational function); Hoechst Celanese Corp. v. Franchise Tax Bd., 22 P.3d 324, 345 (Cal.), cert. denied, 534 U.S. 1040 (2001) (trust and pension plan served an operational function because it was designed "to induce [the taxpayer's] current employees to stay and to attract new employees"). 6 Taxation of the nonunitary asset's income or gain is justified in those cases because the income or value derived therefrom is used in an ongoing, integral operational capacity by the taxpayer's unitary business conducted in the taxing state.
6 Allied-Signal and state courts applying the operational function test also rebut respondents' claim (Resp. Br. 44) that the "flow of benefits" from Mead to Lexis/Nexis is relevant to the test. None of those cases describe a circumstance in which the operational function test would be satisfied due to a taxpayer's support of its nonunitary asset. Thus, it is respondents' argument that "finds no support in the caselaw." Ibid.
Respondents are wrong to challenge the fact that the operational function test is a narrow exception to the unitary business principle's limit on State taxation of out-of-state income. Resp. Br. 41-42. The narrow scope of the operational function test is demonstrated by the very limited circumstances in which it can sustain a state tax apportionment scheme. As Illinois concedes, this Court in Allied-Signal proffered just two examples: "interest on short-term deposits in out-of-state banks, where the interest is used as working capital"; and an investment "which ensured a supply of a producer's key ingredient." Resp. Br. 42. 7
7 It was not until 1992, in Allied-Signal, that the Court applied, for its first and only time, the operational function test. The Court in Container Corporation of America v. Franchise Tax Board had articulated, but had not applied, the operational function test by citing an example where it might be satisfied based upon a case arising "in another context." 463 U.S. 159, 180 n.19 (1983). Other cases from that era challenging state tax apportionment methods were all resolved based on whether a unitary business relationship existed. See ASARCO, 458 U.S. 307; Exxon Corp. v. Wisconsin Dep't of Revenue, 447 U.S. 207 (1980); Woolworth, 458 U.S. 354.
By contrast, this Court first set forth the unitary business test more than one hundred years ago. The Court allowed States to treat railroads that traversed several jurisdictions "as a unit" for tax purposes and then to apportion the value of that multistate "unit" to individual States. State R.R. Tax Cases v. Kidder, 92 U.S. 575, 608 (1875). This was so because the various components of the railroad present in each jurisdiction did not, in isolation, possess significant value. It was only by allowing States to consider the components in the various jurisdictions in the aggregate that the true value of the railroad as a whole (Continued on following page)
II. RESPONDENTS' CHALLENGE TO THE TRIAL COURT'S UNITARY BUSINESS RULING FAILS
A. The Trial Court Correctly Concluded That There Was No Unitary Business Relationship Between Mead And Lexis/Nexis
Respondents argue that the trial court erred when it ruled that there was no unitary relationship between Mead and Lexis/Nexis. Resp. Br. 34-40. Although the Illinois appellate court declined to reach the issue, Pet. App. 11a, the trial court thoroughly examined the question and unequivocally and correctly resolved it in Mead's favor, Pet. App. 39a. 8
As already noted above, and as Illinois acknowledges (Resp. Br. 40), this Court "will, if
could be discerned and a State could tax a fairly apportioned part of it. Ibid.; Adams Express Co. v. Ohio State Auditor, 165 U.S. 194 (1897); see also Underwood Typewriter Co. v. Chamberlain, 254 U.S. 113, 120 (1920) (upholding against constitutional challenge state apportionment method because "the profits of the corporation were largely earned by a series of transactions beginning with manufacture in Connecticut and ending with sales in other states"); Bass, Ratcliff & Gretton, Ltd. v. State Tax Comm'n, 266 U.S. 271, 282 (1924) (same).
8 This issue is not a necessary predicate to resolution of the question presented because the operational function test is resolved separately from the unitary business test. Allied-Signal, 504 U.S. at 787. Illinois, however, asks this Court to address the issue, Resp. Br. 34-40, and noticed the issue in their brief in opposition, see Br. in Opp. 7, 9 n.3 (discussing test and relying on its cases), and before the Illinois trial and appellate courts, so the record allows review of the issue.
reasonably possible, defer to the judgment of state courts in deciding whether a particular set of activities constitutes a 'unitary business.' " Container Corp., 463 U.S. at 175. Thus, if the state trial court applied the correct legal standard, the Court will grant deference to its conclusion if that conclusion "was within the realm of permissible judgment." Id. at 176 (quoting Norton Co., 340 U.S. at 538).
The trial court here applied the correct legal standard to determine whether a unitary business relationship existed between Mead and Lexis/Nexis. Pet. App. 39a. The court examined whether Mead and Lexis/Nexis were "functionally integrated," shared "centralization of management," or evidenced "significant economies of scale between the two businesses." This substantive standard is identical to the one repeatedly applied by this Court. Allied-Signal, 504 U.S. at 789 (noting that the "hallmarks" of the unitary business test are "functional integration, centralization of management, and economies of scale"); Container Corp., 463 U.S. at 179; ASARCO, 458 U.S. at 317; Mobil Oil, 445 U.S. at 438.
The trial court found that none of these three critical indicia of a unitary business existed in the instant case. Pet. App. 39a. That determination fell well "within the realm of permissible judgment"; indeed, the ruling is overwhelmingly supported by the record.
The trial court's ruling that Mead and Lexis/Nexis "were not functionally integrated" was demonstrated by the fact that the two lines of business maintained separate departments and facilities. Pet. App. 35a. This was supported by the facts to which respondents stipulated that established that Mead and Lexis/Nexis maintained separate legal departments, financial staff, accounting departments, audit departments, credit and collection departments, human resources departments, marketing departments, computer systems, bank accounts, and personnel. J.A. 10-13. In light of this overwhelming evidence, the trial court concluded that Mead's "involvement for extraordinary purchases requiring capital investment and the interest rate advantage gained by Mead through the nightly sweep of bank accounts is not sufficient evidence that the two were functionally integrated." Pet. App. 35a.
Similarly, based upon those stipulated facts, the state trial court determined that "Mead and Lexis/Nexis did not share a centralized management." Pet. App. 36a. The trial court ruled that that evidence was not rebutted by Mead's approval of certain "extraordinary purchases" and Mead's consideration of Lexis/Nexis in its "strategic planning." Ibid.
Finally, the trial court held that "[t]here were no economies of scale realized by Mead and Lexis/Nexis" because the two businesses "had separate purchasing departments and no joint purchasing activities." Ibid. Neither business even offered the other any discount on the products or services of the other. Ibid. In fact, "Lexis/Nexis often bought paper from other vendors." Ibid. As such, the only plausible economy of scale the two businesses realized was the "increased interest rate" due to nightly cash sweeps, ibid., which paled in comparison to the stipulated facts demonstrating the lack of a unitary relationship. Pet. App. 35a-36a; J.A. 10-13.
Respondents now attempt to overturn these rulings by ignoring the stipulated facts to which they agreed in the trial court, but those facts are dispositive of the unitary business test. They unequivocally establish that "Mead was, and is, in the business of producing and selling forest products" and that "Lexis/Nexis provided online information services for legal, news and financial information in the electronic publishing market." J.A. 9-10. Although Mead owned Lexis/Nexis, "Lexis/Nexis had its own full-time management to control its day-to-day operations." J.A. 13. The two divergent businesses had separate departments for every function, and the two businesses did not share personnel or any financial staff. J.A. 10, 13. The two businesses maintained separate and distinct training programs, computer systems and bank accounts. J.A. 11-12.
B. Respondents Misconstrue The Container Corporation Ruling
1. Respondents invoke Container Corporation in an attempt to turn the Mead paper and office supply business and the Lexis/Nexis online information service into one unitary business. Resp. Br. 34.
Respondents' reliance on Container Corporation is misplaced because this Court in Allied-Signal explained that in Container Corporation, the hallmarks of the unitary business relationship remained functional integration, centralization of management, and economies of scale. Allied-Signal, 504 U.S. at 789. Container Corporation demonstrated that these essentials could be shown through "transactions not undertaken at arm's length; a management role by the parent that is grounded in its own operational expertise and operational strategy; and the fact that the corporations are engaged in the same line of business." Ibid. (citing Container Corp., 463 U.S. at 178, 180 n.19). None of those factors are present in the instant case. See J.A. 10-13.
Indeed, respondents begrudgingly recognize one of these significant distinctions between the instant case and Container Corporation, i.e., "the taxpayer in [Container Corporation] was engaged in the same basic line of business as its subsidiaries." Resp. Br. 37. Although respondents try to discount that distinction as "immaterial," ibid., that fact was critical to the Court's holding. The Court indicated that it was reasonable to presume that two related corporations engaged in the same line of business are unitary. The Court explained that, where "a corporation invests in a subsidiary that engages in the same line of work as itself," "it becomes much more likely that one function of the investment is to make better use—either through economies of scale or through operational integration or sharing of expertise—of the parent's existing business-related resources." Ibid. The Court contrasted that with the situation where, as here, there is an "[i]nvestment in a business enterprise truly 'distinct' from a corporation's main line of business," which "often serves the primary function of diversifying the corporate portfolio and reducing the risks inherent in being tied to one industry's business cycle." Container Corp., 463 U.S. at 178.
Container Corporation demonstrates the practical implications of this reasoning because the technical assistance and equipment that the parent in that case shared with its subsidiary were unquestionably of significant value due to the fact that the parent and its subsidiary were in the same line of business. Id. at 172 (noting that "groups of foreign employees occasionally visited the United States for 2-6 week periods to familiarize themselves with [the taxpayer's] methods of operation" and that five executives of the taxpayer were charged "with the task of overseeing the operations of the subsidiaries"); 9 id. at 173
9 Exchanges of personnel, training programs, or day-to-day executive oversight did not occur between Mead and Lexis/Nexis. J.A. 10-13. Respondents identify three executives who worked for both businesses at some point. Resp. Br. 7. In fact, the record indicates that only a half dozen of 4000 Lexis/Nexis employees ever worked at Mead. J.A. 173. There is no evidence that even these were strategic transfers of personnel by Mead. Rather, the evidence supports the opposite conclusion because one of the three executives testified that he moved to Mead simply because he wanted to leave Lexis/Nexis for "personal" reasons. Ibid.
(explaining that parent could "provide[ ] advice and consultation regarding manufacturing techniques, engineering, design, architecture, insurance, and cost accounting" to its subsidiaries); id. at 179 (relying on the " 'substantial' technical assistance provided by [the parent] to the subsidiaries"); see also Exxon Corp., 447 U.S. 207 (subsidiaries in the same line of business as parent); Mobil Oil, 445 U.S. 425 (same).
2. Mead's infrequent approval of major capital expenditures by Lexis/Nexis, J.A. 15-16, bears no similarity to the manner in which the taxpayer in Container Corporation assisted its subsidiaries. Resp. Br. 35. Unlike the acquisition of computer equipment in the instant case, the assistance provided by the parent in Container Corporation was extensive because the parent "assisted its subsidiaries in their procurement of equipment, either by selling them used equipment of its own or by employing its own purchasing department to act as an agent for the subsidiaries." Container Corp., 463 U.S. at 173. Thus, in contrast to Container Corporation¸ Mead's conduct here was the "type of occasional oversight—with respect to capital structure, major debt, and dividends—that any parent gives to an investment in a subsidiary," without creating a unitary business. Woolworth, 458 U.S. at 369. 10
10 Respondents argue that Mead was run "in a decentralized fashion" (Resp. Br. 6), implying that Mead's hands-off approach toward Lexis/Nexis supports a unitary business relationship between the two. The record demonstrates, however, that (Continued on following page)
Tellingly, respondents repeatedly assert that there was control of Lexis/Nexis by Mead, but they do not have accurate record support. Respondents argue that Mead "reviewed" the business plan of Lexis/Nexis, Resp. Br. 27, but the testimony they cite demonstrates only that once a year Lexis/Nexis would "explain [its] business plan and that was pretty much it." J.A. 163. Moreover, respondents contend that "Mead, not Lexis/Nexis, decided how to invest Lexis/Nexis's excess cash." Resp. Br. 27. The trial testimony cited by respondents, however, demonstrates that Lexis/Nexis "could have set up the banking relationships * * * but chose not to." J.A. 181 (emphasis added). 11
Respondents' claim that Mead and Lexis/Nexis must be considered a unitary business because Mead submitted a consolidated tax return to Illinois is meritless. Resp. Br. 4-5, 9, 38. As Illinois conceded by stipulation, and the trial court recognized, the consolidated tax return came about because Illinois required Mead to file such a return and Mead did so only to settle that dispute. J.A. 13; Pet. App. 39a
Lexis/Nexis "was much more independent than other divisions of * * * Mead." Ill. C.A. Rec. Vol. 9 at 112. Unlike Lexis/Nexis, which "always had their own," Mead's other divisions "shared services, procurement, HR, computer systems, things of that nature." Ibid.
11 Respondents also cite to Mead's approval of compensation and bonuses for certain Lexis/Nexis executives. Resp. Br. 27 (citing J.A. 146). But the record demonstrates that Mead did so for only a handful of the thousands of Lexis/Nexis employees. J.A. 13.
(noting the filing was "at the direction of" respondents and not probative). 12 Respondents' current position would require all nonunitary divisions of a multistate corporation that are included in a consolidated return to be per se taxable as part of the taxpayer's unitary business, in conflict with the decisions of this Court. Mobil Oil, 445 U.S. at 440. 13
III. RESPONDENTS WAIVED THEIR MERITLESS ARGUMENT THAT THE RELATIONSHIP BETWEEN LEXIS/NEXIS AND ILLINOIS ALLOWS RESPONDENTS TO TAX MEAD'S CAPITAL GAIN
Respondents contend that the Constitution permits a State to tax an out-of-state investor's capital gain based solely on ties between the investment and the taxing State. Resp. Br. 18-31, 46-49; see also Br. of Multistate Tax Commission as Amicus Curiae Supporting Respondents 17-19 (MTC Br.). Under this argument, a State could impose a capital-gains tax on an investor even if the investment is not part of the
12 Because States employ different standards as to when a corporation and its subsidiaries must file a consolidated versus a separate return, what state law requires cannot dictate what the Constitution permits or else the limits of the Due Process and Commerce Clauses would be meaningless.
13 Respondents argue that Mead had "leeway as to how it characterizes its business" in its reports and filings. Resp. Br. 30. But such "leeway" would not have permitted Mead to not report ownership of Lexis/Nexis as an electronic publishing business. Moreover, this Court places little significance on such reports. Woolworth, 458 U.S. at 369 n.22.
investor's unitary business and did not serve an operational function.
A. Respondents Failed To Preserve This Argument In The State Appellate Court
Respondents repeatedly argue in their brief to this Court that the relationship between Lexis/Nexis and Illinois alone justifies Illinois's tax on Mead's capital gain. Resp. Br. 18-31, 46-49. But respondents did not raise this argument in the state appellate court (and the court did not raise the issue sua sponte). Rather, respondents argued that there were "two circumstances" where the Constitution permitted the State to apportion to itself for taxation a part of Mead's capital gain from its Lexis/Nexis sale: (1) if Mead and Lexis/Nexis had a unitary business relationship and (2) if Mead's investment in Lexis/Nexis served an operational function. C.A. Br. of Illinois 24-25.
Respondents thus waived under state law the argument they now press that a connection between the investment and the State sustains the Illinois tax. A party that fails to raise an argument in the Illinois appellate court waives that argument by operation of state law. See Ill. S. Ct. R. 341(h)(7), (i) (points not argued by the appellee are waived); Elementary Sch. Dist. 159 v. Schiller, 849 N.E.2d 349, 358 n.2 (Ill. 2006) (appellee must raise all arguments it wishes to preserve in its brief).
That waiver in state court bars respondents from bringing the issue to this Court, because an alternative ground for affirmance is waived in this Court if it was not raised in, nor passed upon by, the appellate court below. See, e.g., Glover v. United States, 531 U.S. 198, 205 (2001) (refusing to consider alternative arguments for affirmance that were not raised in court of appeals); Heckler v. Campbell, 461 U.S. 458, 468 n.12 (1983) (same); McGoldrick v. Compagnie Generale Transatlantique, 309 U.S. 430, 434 (1940) (same with respect to state courts). 14
B. This Argument Raises Issues That Could Affect Other States Who Were Not On Notice Of The Argument From The Certiorari-Stage Briefing
Respondents' argument based on Lexis/Nexis's connection to the State as a justification for Illinois's taxation of Mead's capital gain also should not be addressed by this Court because it asks this Court to reach out and decide a constitutional question that has limited relevance to the ordinary operation of the Illinois taxation scheme, and one that could directly
14 As respondents point out, Resp. Br. 23 n.7, they may urge affirmance on any ground supported by the record. But an argument that was not preserved in the appellate court is waived. Lorillard Tobacco Co. v. Reilly, 533 U.S. 525, 578 (2001) (Thomas, J., concurring in part and concurring in the judgment) (The Court does "not consider arguments for affirmance that were not presented below.").
affect other statutory schemes that are not before this Court. Illinois v. Gates, 462 U.S. 213, 221, 224 (1983); Roberts v. Galen of Virginia, Inc., 525 U.S. 249 (1999) (per curiam).
With respect to the taxation of capital gains from intangible investments (such as from the sale of Lexis/Nexis), Illinois's taxation scheme does not turn on whether the investment has ties to Illinois. Rather, under Illinois law, apportionability of such a gain depends upon the relationship between the investment and the taxpayer. See 35 Ill. Comp. Stat. Ann. 5/303(a), (b)(3), 5/304(a) (West 1994); Pet. App. 15a. In the absence of a sufficient connection between the investment and the taxpayer under state law, Illinois does not tax the capital gain, regardless of whether or not ties exist between the investment and the State. Jerome R. Hellerstein & Walter Hellerstein, State Taxation § 9.11[2][a] (3d ed. 2007).
By contrast, States such as New York calculate their tax based on the relationship between the investment and the State. See, e.g., N.Y. Tax Law § 210(3)(b) (Consol. 2007); In re Allied-Signal, Inc. (Allied-Signal II), 645 N.Y.S.2d 895, 898 (N.Y. App. Div.), appeal dismissed, 675 N.E.2d 1234 (N.Y. 1996); Hellerstein, supra, at § 9.11[2][a]. Such States have a much greater interest in this waived argument, because the constitutional permissibility of such taxation schemes rises and falls upon respondents' argument.
The States that could be greatly affected by resolution of this argument were not on notice to participate as amicus on this issue and, for example, New York did not do so. 15 Respondents did not raise this argument in their brief in opposition, which alone should preclude this Court's consideration, S. Ct. R. 15.2. 16
C. Reliance On An Investment's Relationship With The Taxing State To Tax An Investor Cannot Be Squared With This Court's Precedents
Respondents' argument that Illinois may tax Mead for its capital gain based solely on a connection between Lexis/Nexis and Illinois is without merit.
Respondents cannot prevail on this argument based merely on their repeated citation (and that of their amici) to general principles of constitutional law with which petitioner has no disagreement—that a State can tax a taxpayer with which it has minimal
15 After this Court decided Allied-Signal, the constitutionality of New York's scheme of taxing investors based on the relationship between the investment and the State was challenged. See Allied-Signal II, 645 N.Y.S.2d at 898-899. An intermediate state appellate court rejected that challenge, ibid., and the New York Court of Appeals declined review, 675 N.E.2d 1234. No certiorari petition was filed.
16 Indeed, respondents even rephrased the question presented in their brief in opposition, but neglected to raise the argument that they now press and which they had waived in the state appellate court.
connections and to which it provides opportunities, protections, and benefits, Resp. Br. 18, 23, and that "an out-of-state company is subject to tax in any State in which it conducts business," id. at 46. In fact, such taxes were paid here on an apportioned share of Lexis/Nexis's income earned in Illinois, as well as on an apportioned share of Mead's income earned in Illinois. Respondents, however, would expand the State's taxing authority far beyond that. 17
1. Respondents' position is foreclosed by Allied-Signal, where this Court addressed circumstances virtually identical to the instant case— i.e., a State's taxation of a nondomiciliary company's capital gain resulting from the sale of an investment that also did business in the taxing State. Specifically, in Allied-Signal a nondomiciliary taxpayer challenged New Jersey's tax on its capital gain arising from the sale of an investment (stock). 504 U.S. at 773-774. Just as in the instant case, the investment did business in New Jersey (and, in fact, was a New Jersey corporation). Ibid.
The connection between the investment and the taxing State did not preclude this Court from invalidating the tax on the nondomiciliary investor
17 The suggestion of amicus MTC that the goodwill taxed here had a taxable business situs in Illinois (MTC Br. 21-23) is wrong. The cases cited by MTC involve intangible property of the taxpayer's unitary business. Adams Express, 165 U.S. at 219. Passive investments are not subject to the business situs principle. Id. at 222.
as unconstitutional under both the unitary business and operational function tests. As the amici States concede (Br. of California et al. as Amici Curiae Supporting Respondents 12), the relevant constitutional inquiry under Allied-Signal "focuses on the objective characteristics of the asset's use and its relation to the taxpayer and [the taxpayer's] activities within the taxing State," 504 U.S. at 785, not on the relationship between the asset and the taxing State.
2. The authorities that respondents cite do not hold otherwise. Respondents rely heavily on International Harvester Co. v. Wisconsin Department of Taxation, 322 U.S. 435 (1944), and Wisconsin v. J.C. Penney Co., 311 U.S. 435 (1940), as purportedly justifying their argument that Lexis/Nexis's connection to Illinois is enough to tax Mead for the capital gain on its sale of Lexis/Nexis. But neither of those cases supports respondents. Those cases stand for the unremarkable proposition that a State has the power to tax a business for its share of income that the business earned within its borders.
Both cases arose because of a Wisconsin law that required corporations doing business in that State to pay a tax on dividends distributed to shareholders. Int'l Harvester, 322 U.S. at 437; J.C. Penney, 311 U.S. at 439-440. This Court upheld in both instances a Wisconsin tax on an apportioned share of the dividend, because the business was being conducted in the taxing State. Int'l Harvester, 322 U.S. at 438, 442; J.C. Penney, 311 U.S. at 440 n.1, 444-445. The Court reached this result because the tax in these cases was a deferred income tax imposed on the corporation that did business within the State, and not on an out-of-state investor shareholder that received dividends. Int'l Harvester, 322 U.S. at 441 ("The power to tax the corporation's earnings includes the power to postpone the tax until distribution of those earnings * * * ."); id. at 447 (Jackson, J. dissenting) (explaining that the majority can sustain the tax because it is "an income tax on the corporation, deferred until the income was distributed," even though the dissent views that it "is not an income tax * * * but is a tax on the stockholder"); J.C. Penney, 311 U.S. at 442 ("The practical operation of this legislation is to impose an additional tax on corporate earning within Wisconsin but to postpone the liability for this tax until earnings are paid out in dividends."). In the instant case, by contrast, Illinois is taxing the out-of-state investor, Mead, rather than its investment, Lexis/Nexis.
These precedents are consistent with this Court's unitary business and operational function precedents. In Allied-Signal and its predecessor decisions, just like International Harvester and J.C. Penney, this Court permitted a State to tax a company on the apportioned share of the income (or dividends) that are directly attributable to the company's unitary business in the State. But this Court's precedents do not support the proposition that a State can tax a company on an apportioned share of a capital gain that is unrelated to the company's unitary business conducted in that State, merely because the investment associated with the gain has a connection to the taxing State.
Indeed, under respondents' theory, every out-of-state investor could have to pay taxes on the capital gain from a passive investment in every State where the investment does business. The Constitution certainly does not permit such a result.
IV. A RULING IN RESPONDENTS' FAVOR WOULD UPSET SETTLED EXPECTATIONS AND CREATE A RISK OF DUPLICATIVE TAXATION
A. Respondents propose an unconstrained rule so that a State may apportion "any gain realized from the sale of a subsidiary[ ] over which the taxpayer had considerable control and with which it dealt regularly." Resp. Br. 57. This rule would transform every wholly-owned subsidiary into an operational asset of the parent, and create chaos because States and corporations have relied upon this Court's well-settled principles to the contrary.
As this Court has recognized, state legislatures have relied on this Court's distinction between assets that serve an operational function and those that serve an investment function—the very distinction that Illinois seeks to eviscerate. Allied-Signal, 504 U.S. at 785 ("State legislatures have relied upon our precedents by enacting tax codes which allocate intangible nonbusiness income to the domiciliary State * * * ."). Multistate corporations likewise have relied on Allied-Signal in structuring transactions with a degree of tax certainty. See Br. of The Walt Disney Company, as Amicus Curiae Supporting Petitioner 25-26.
The reliance placed upon this Court's precedent is demonstrated by the consistently narrow interpretation of the operational function test by state courts in the fifteen years since Allied-Signal. OSG Bulk Ships, 961 P.2d at 414. Other than the decision below, state courts have repeatedly held that an investment does not serve an operational function where it was used neither as a source of working capital nor as a hedge against a fluctuating supply of a key commodity. See Hercules Inc. v. Commissioner of Revenue, 575 N.W.2d 111, 117 (Minn. 1998); Hercules Inc. v. Comptroller of Treasury, 716 A.2d 276, 281-284 (Md. 1998) (observing that this Court "has not encompassed strategic, long-range decisions of a company within operational functions"). 18 The drastic modification of the operational function test suggested by respondents "would disrupt * * * an area of the law in which the demands of the national
18 Respondents inexplicably suggest that the Hercules courts' determination of no-operational function was based on the fact that the taxpayer exercised no control over the asset. Resp. Br. 56-57. The issue of control was one factor (of many) in these courts' unitary-relationship analyses, 575 N.W.2d at 116; 716 A.2d at 280-281, but there was no discussion of exercise of control in the courts' application of the operational function test, 575 N.W.2d at 116-117; 716 A.2d at 281-284. Illinois's reliance (Resp. Br. 55) on the California Supreme Court Hoechst Celanese decision is also misplaced, as noted above, see page 11.
economy require stability." Allied-Signal, 504 U.S. at 786.
B. This case is not just about Illinois's attempt to tax an apportionment of Mead's capital gain. Resp. Br. 50. Under respondents' rule, every State where a corporation does business could tax an apportionment of the capital gain earned by that corporation from intangibles. Such taxing authority by nondomiciliary States would be in addition to the constitutional authority of the domiciliary State to tax the entirety of such a gain. Mobil Oil, 445 U.S. at 444 ("Taxation by apportionment and taxation by allocation to a single situs are theoretically incommensurate * * * .").
Such potential for double taxation is the final defeat for respondents. Contrary to their claim (Resp. Br. 50-51), this Court has never required evidence of duplicative taxation in a particular case to invalidate an unconstitutional taxing scheme that would allow such duplication. Indeed, the potential for double taxation was an express concern of the Court in Allied-Signal. See 504 U.S. at 785 ("Were we to adopt New Jersey's theory, we would be required" to "authorize what would be certain double taxation."). 19
19 Respondents are wrong that Kemppel v. Zaino, 746 N.E.2d 1073 (Ohio 2001) dictates that Ohio would have apportioned the capital gain. That case concludes that, under Ohio law, capital gains from a business's total liquidation are allocated to the taxpayer's domicile. Id. at 1076-1077.
CONCLUSION
For the reasons set forth above and in petitioner's opening brief, the Court should reverse the judgment below.
Respectfully submitted,
BETH S. BRINKMANN BRIAN R. MATSUI NICOLE D. DEVERO MORRISON & FOERSTER LLP 2000 Pennsylvania Ave., N.W. Washington, DC 20006 (202) 887-1544
DECEMBER
28, 2007
PAUL H. FRANKEL Counsel of Record CRAIG B. FIELDS ROBERTA MOSELEY NERO MORRISON & FOERSTER LLP 1290 Avenue of the Americas New York, NY 10104 (212) 468-8000
Counsel for Petitioner
|
Searching and Mapping among Indistinguishable Convex Obstacles
Benjamin Tovar and Steven M. LaValle
Abstract— We present exploration and mapping strategies for a mobile robot moving among a finite collection of convex obstacles in the plane. The obstacles are unknown to the robot, which does not have access to coordinates and cannot measure distances or angles. The robot has a unique sensor, called the gap sensor, that tracks the direction of the depth discontinuities in the robot's visibility region. Furthermore, the robot can only move towards depth discontinuities. As the robot moves, the depth discontinuities split and merge, and these changes are encoded in a Gap Navigation Tree. We present a strategy for this robot that is guaranteed to explore the whole environment, but that cannot decide whether the exploration has been completed. If in addition it is assumed that the robot has access to a pebble, which is an identifiable point that the robot can manipulate, then we prove that the robot can decide (in polynomial time in the number of obstacles) whether the environment has been completely explored. For this, the robot is able to distinguish every obstacle using only the gap sensor and a single pebble. These results are a continuation of our previous work on gap sensing for multiply connected environments [24], in which we reduce the sensing requirements for the robot by constraining the shape of the obstacles.
sensor [7] that reports the order of depth discontinuities in the robot's visibility region. These depth discontinuities are characterized by the obstacle they start at from the robot perspective, and by the side to which they hide the environment to the robot. Two discontinuities with the same origin and side are considered equivalent, and the equivalence classes are called gaps. To characterize its environment, the robot builds a dynamic data structure, called the Gap Navigation Tree (GNT), entirely from online sensor measurements. Once constructed, it encodes paths from the current position of the robot to any place in the environment [24].
I. INTRODUCTION
These paper focuses on developing systematic exploration strategies for robots moving in unknown environments [4], [9], [10]. This is inspired from the lost-cow problem, in which a cow moves along a fence trying to find a gate to access a pasture. The cow does not know where the entrance is, or how far it could be. A solution to the lost cow problem is a strategy for the cow that guarantees it will find the gate. This problem is usually modeled by considering the fence as the integer line, with the cow starting at the origin, and the gate positioned at some number d, unknown to the cow. Consider the strategy in which at each stage i, the cow walks 2 i steps in one direction, comes back to the origin, walks 2 i steps in the opposite direction, and finally comes back to the origin. In the worst case, the cow takes 9d steps, and this in fact minimizes the worst case distance traveled by the cow [1]. Note that the cow cannot determine the absence of a gate in the fence. In such a case, no cow strategy terminates, as the search for the gate continues forever.
In our case, the "cow" is a robot moving in the plane, the "fence" is a finite collection of indistinguishable convex obstacles, and the "gate" becomes a treasure, which is an identifiable point in the environment, recognized as soon as it enters the robot's omnidirectional and unbounded field of view. Here we assume that the robot has an abstract
B. Tovar is with the Department of Mechanical Engineering, Northwestern University, 2145 Sheridan Road, Evanston, IL 60208, USA. email@example.com
S. M. LaValle is with the Department of Computer Science, University of Illinois, Urbana, IL 45435, USA. firstname.lastname@example.org
Can convex obstacles be distinguished with only gap sensing? In Section III we present a strategy that systematically explore the environment reachable by the robot, using uniquely a gap sensor. Even though this strategy guarantees that all of the environment is eventually explored, it does not terminate. In Section IV, we further assume that the robot has access to one pebble, which is a special point that can be detected and moved by the robot. We prove that with the pebble, the robot can decide, in polynomial time, whether the environment has been completely explored. This is done by distinguishing obstacles using only the gap sensor and a single pebble.
This work is a continuation of our study of minimal robot models by sensing gaps. In [24] we presented an exploration strategy for multiply connected environments assuming the robot could distinguish among the obstacles. In this paper we remove this assumption, but constrain the obstacles to be convex. This constrain is only necessary for deciding whether the environment has been completely explored, since a systematic search of the environment is still possible among non-convex obstacles. Our work is inspired by minimal sensing for mobile robots from works such as bug algorithms [11], [12], [13], [16], [17], in which a robot that combines global knowledge with local information is able to navigate among boundary components and reach a known goal. In the case of bug algorithms, the robot navigation capabilities are simple (movement towards boundary components and wall-following), no representation of the environment is maintained, and the global information consists only of the position of the goal. These characteristics allow the use of bug algorithms in robots that have very limited sensing capabilities and unreliable motion control. More importantly, the memory required for the algorithms is constant. Such online exploration strategies make simple motion models and attempt to reduce the amount of memory or total distance traveled [3], [5], [6], [8], [9], [14], [15], [18], [19], [23].
II. BASIC DEFINITIONS
Let O be a nonempty finite collection of pairwise-disjoint sets in the plane R 2 , called the obstacles. Each O ∈ O is compact (i.e., closed and bounded), and convex, meaning that the closed line segment joining any two points in O does not intersect R 2 \O. Furthermore, it is assumed that the boundary ∂O of each O ∈ O is piecewise-analytic. Let F , the free space, be the closure of R 2 \ O (i.e., the plane minus the interior of the obstacles). We model the robot's configurations as the set X = F × S 1 ⊆ SE(2). Observe that F includes the boundary of the obstacles, therefore, the robot can execute compliant motions (i.e., in contact) with the obstacles.
For q ∈ F , let V (q) be the visibility region of q, in which p ∈ V (q) if and only if the closed line segment joining p and q does not intersect R 2 \ O. The visibility region consists of three kinds of segments:
1) Curve segments completely contained in ∂F .
3) Half-lines collinear with q, which intersect ∂F only at their unique endpoint.
2) Compact line segments collinear with q, and which intersect ∂F only at their endpoints, both of which belong to ∂F .
Segments of the second and third kind are called depth discontinuities. If a depth discontinuity d is a half-line, define the origin of d, o(d), as the obstacle O ∈ O that contains the endpoint of d in its boundary. Otherwise, if a depth discontinuity d has two endpoints, define o(d) as the obstacle O ∈ O that contains the endpoint of d closer to q in its boundary. Each depth discontinuity d is directed, and starts from the point in o(d). Every depth discontinuity d receives a label s(d) of left or right, depending on which side of d F \V (q) is, as seen from q. If depth discontinuities are reported counterclockwise from a visibility region, then the left label corresponds to a transition from far to near, and the right label corresponds to a transition from near to far [24]. This label also corresponds to the side of the depth discontinuities on which the obstacle appears, as seen from q.
Definition 1: Two depth discontinuities di and dj are said to be equivalent if o(di) = o(dj ) and s(di) = s(dj). The equivalence classes of depth discontinuities are called gaps.
Now we define gaps in terms of depth discontinuities:
We cannot use Definition 1 for gaps with non-convex obstacles. This is because with non-convex obstacles, distinct gaps may share the same origin, and have the same side label. Every obstacle O ∈ O is the origin of exactly two gaps, one labeled right, and the other labeled left. We say that these two gaps are associated with obstacle O. Let r(O) and l(O) be the gaps associated with O, with side label right and left respectively.
Sensor: We consider a robot which is not able to compute V (q), but that instead has a gap sensor, which is able to track the gaps in V (q) at all times, reports them in their counterclockwise cyclic order as they appear in V (q), and determines their side labels. Note that the gaps's size, angle, origin, and distance to the robot are not reported by the gap sensor.
Motion primitive: The robot moves by chasing gaps. To chase a gap, the robot orients its heading with the gap, and moves towards it.
A. The Gap Navigation Tree
Here we give a brief description of the Gap Navigation Tree data structure. For the complete description please refer to [24]. In a Gap Navigation Tree, the root represents the gap sensor, and each vertex represents a gap. Children of the root represent gaps currently detected, and are maintained in the cyclic order in which they appear in the gap sensor. As the robot moves in F , V (q) changes combinatorially. In particular, the number of gaps in ∂V (q) may decrease or increase through the following critical events:
* Gaps merge. For gaps gi and gj assume that q is closer to o(gi) than it is to o(gj). If gj becomes collinear with gi, so that gj is no longer contained in ∂V (q), then we say that gj merged into gi.
Note that since every O ∈ O is compact and convex, gaps may only split or merge, but they cannot appear or disappear. If a gap splits, then the corresponding child of the root is replaced with two children. When two gaps merge, the two corresponding children of the root become the children of a new vertex, and this new vertex becomes a child of the root. A sequence of vertices from the root to a leaf define a sequence of gaps, that if chased, follows a path in the shortest-path graph of F .
* Gaps split. Let gi and gj be two gaps, so that gj became part of ∂V (q) by first being collinear with gi. We say that gi split, or that gj split from gi.
III. SYSTEMATICALLY EXPLORING THE ENVIRONMENT
Now we develop a strategy with the guarantee that every point in F appears eventually in the visibility region of the robot. To present the strategy, we define a special point in F , called the treasure, and show that independently of which point of F is defined to be the treasure, the robot will eventually see it.
Strategy 1: Looking for a treasure among indistinguishable convex obstacles with a gap sensor
Description: We construct a GNT according to the updates in Section II-A. Additionally, the leaves of the tree are labeled according to a counter, i. We call this label the exploration label of the vertex. The exploration labels of the m vertices corresponding to the initial m gaps observed are set 1 trough m, and i is set to m + 1. The search for the treasure proceeds by systematically chasing the gap g corresponding to the leaf with the minimum exploration label. Gap g is chased until its descendants are not known (that is, until the corresponding leaf in the tree splits). In this case, two new vertices are added to the root of the GNT, one corresponding to g, and the other to the gap, g ′ , that split from g. These two new vertices are labeled i and i + 1, respectively, and i is set to i + 2 (see Figure 1). Note that when two gaps merge, the internal vertex created is never labeled for future exploration. If at any point the treasure becomes visible, then the strategy successfully terminates.
Theorem 1: If there is a treasure, Strategy 1 is guaranteed to find it.
Note that Strategy 1 is easily extended to non-convex obstacles. In such a case, gaps are chased until they split or disappear, and the leaves corresponding to gap appearances do not need to be labeled according to the counter.
Proof: Assume that from the initial position of the robot, the treasure is found by following the shortest sequence of gaps [g1, g2, . . . , gk]. Initially, for j = 1, gj is visible, and therefore its vertex is labeled for exploration. Recursively, when gj is chased, gj+1 will split from it, and the corresponding vertices are labeled for future exploration. Eventually, gk is chased and the treasure is found.
Strategy 1 is terribly inefficient. Gaps are chased over and over again, as exemplified in Figure 1. Suppose that from the initial position of the robot, the shortest sequence of chase(·) motion primitives that finds the treasure has length k. Strategy 1 is a breadth-first search, in which each node has a branching factor of 2 (when a gap splits, two more nodes are added to the search queue, which is implemented through the exploration labels). Therefore, if it performs k chase(·) motion primitives in the optimal case, Strategy 1 performs O(2 k ). Each vertex in the GNT corresponds to a bitangent complement [24] of F . Two vertices in the tree are said to be redundant if they correspond to the same bitangent complement. The issue here is that when a gap without known descendants splits, the newly created descendants may already be in some other branch of the tree. How can the robot detect redundant vertices?
IV. DISTINGUISHING OBSTACLES
We define a left loop over obstacle O as the process of the robot reaching some point of ∂O, and chasing l(O) until ∂O is transversed exactly once. Similarly, a right loop over obstacle O is defined by chasing r(O). Consider the sequence of gap critical events as the robot performs a left loop on some obstacle O, and compare it to the sequence of gap critical events should the robot perform a right loop on that same obstacle. We should expect these sequences to be similar. To make this apparent, we define four stacks of gaps, merge(l(O)), merge(r(O)), split(l(O)), and split(r(O)), which are initially empty. When the robot performs a left loop over O, gaps merging with r(O) are pushed into merge(r(O)), and gaps splitting from l(O) are pushed into split(l(O)). The stacks merge(l(O)) and split(r(O)) are used similarly for a right loop over O.
Proof: Let p ∈ ∂O be the point at which the left loop over O starts, and let G(p) = [r(O), g1, g2, g3, . . . , l(O)]
Lemma 2: For initially empty stacks merge(l(O)), merge(r(O)), split(r(O)), split(l(O)), after left and right loops, the sequence of gaps in merge(l(O) is the reversal up to a cyclic shift of the elements in merge(r(O)), and split(l(O)) is the reversal up to a cyclic shift of the elements in split(r(O)).
be the reading from the gap sensor at p. As the robot chases l(O), gaps that were not visible from p, g ′ 1 , g ′ 2 , g ′ 3 , etc., split from l(O); the same will eventually happen with g1, g2, g3, etc. When the robot reaches p, split(l(O)) = [. . . , g3, g2, g1, . . . , g ′ 3 , g ′ 2 , g ′ 1 ] . Similarly, while chasing l ( O ) , gaps g1, g2, g3, etc. merge (in that order) into r(O), as do the gaps not initially visible from p, g ′ 1 , g ′ 2 , g ′ 3 , etc. At the end of the left loop over O, merge(r(O)) = [. . . , g ′ 3 , g ′ 2 , g ′ 1 , . . . , g 3 , g 2 , g 1 ] . Observe that split ( l ( O )) and merge(r(O)) are the same sequence up to a cyclic shift. Since split(r(O)) is the reversal of merge(r(O)), and merge(l(O)) is the reversal of split(l(O)), the result follows.
Lemma 2 has important consequences for the structure of branches in a Gap Navigation Tree:
Proof: This is just an alternative wording of Lemma 2 in terms of the GNT structure. After a left loop over some obstacle, the length of merge(r(O)) determines the maximum number of merges of l(O) and r(O) without creating redundancies in the Gap Navigation Tree.
Corollary 3: For O ∈ O, in a GNT without redundant vertices, after left and right loops over O, the first descendant of l(O) is the last descendant of r(O), and vice-versa.
After a left loop over O ∈ O, consider the branch starting at the root's child associated with r(O). Observe that there is a sequence of m consecutive vertices which correspond to gaps merging into r(O). By Corollary 3, if more than m gaps merged into r(O), then the tree contains redundant vertices, and the branch can be pruned to the first m merges of r(O). Another consequence of Corollary 3 is that the branch for the root's children associated with l(O) can be constructed from the branch of r(O), and vice-versa. Note that in addition to reversing the order of the merges, if a gap g merges to the left (resp. right) of r(O), then it merges to the right (resp. left) of l(O). Therefore, the branches corresponding to l(O) and r(O) can be compared, and completed or pruned accordingly.
Lemma 4: Let G(p) = [g1, g2, . . . , gn] be the reading from the gap sensor from point p ∈ F . If s(gi) = left and s(g1+(i mod n)) = right, then o(gi) = o(g1+(i mod n)).
During the left and right loops over O, l(O) and r(O) appear consecutively in the sensor reading. With this observation, we can identify when two gaps have the same origin:
Proof: Remember that the gap sensor detects gaps in a counterclockwise order. By assumption, there are no gaps between gi and g1+(i mod n), which means either that the reading of the depth discontinuity sensor goes to infinity, or that the portion of ∂F detected does not have any discontinuities from the current point of view. The first case contradicts that the obstacle o(gi) lies to the left of gi, and that obstacle o(g1+(i mod n)) lies to the right of g1+(i mod n). The second case implies that there is a connected portion of ∂F between gi and g1+(i mod n). Therefore, o(gi) = o(g1+(i mod n)).
Corollary 3 describes the structure of two branches when the robot is at the boundary of some obstacle. To use this result, the robot needs to perform left loops over the obstacles. However, this is not possible in general, since the robot cannot determine when it performed a complete loop
around an obstacle. If we extend the robot model with a single pebble, which extra information can the robot determine? Can the robot distinguish the origin of all gaps using only the gap sensor and the pebble? Since the robot does not have a sensor that immediately identifies the obstacles, distinguishing obstacles means here that they are assigned arbitrary but consistent labels.
some obstacle O.
2) Labeling an obstacle. Since O was reached by chasing g, O is the origin of g, and g is one of l(O) or r(O). First, the exploration labels for the vertices of l(O) and r(O) are removed. Second, the origin in both vertices is set to Oj, and j is incremented.
With the addition of the pebble, the robot is provided with a new motion primitive, surround(O), which commands the robot to transverse completely the boundary of O ∈ O once. Consider the following strategy:
Strategy 2: Looking for a treasure among indistinguishable obstacles with a gap sensor and a pebble
Description: We keep two counters: counter i for the exploration labels, and counter j for naming obstacles. Both counters are initially set to 1. Observe that there are three cases for the information available regarding the origin of a gap g recorded in a vertex of the tree:
1) The origin of gap g is unknown.
3) The origin of gap g is some obstacle Ok, for 1 ≤ k < j.
2) The origin of gap g is unknown, but it can be determined it is the same origin as some other gap g ′ .
The robot may not determine immediately that some gaps are associated with the same obstacle. Therefore, some obstacle may be labeled more than once. To handle this, the label for the origin of a gap is kept in the corresponding vertex of the tree.
For exploration, the m gaps from the first observation are labeled 1 to m, and i is set to m + 1. Next, a GNT is constructed following the events in Section II-A, according to the following iteration:
1) Moving to an obstacle. Let g be the gap corresponding to the vertex in the GNT with minimum label for exploration. If no such gap exists, then the exploration is complete since F contains no treasure. Otherwise, the gap g is chased until the robot is in contact with
3) Left loop over the obstacle. The robot drops the pebble, and performs a left loop over obstacle O. Every time l(O) splits without known descendants, the vertex corresponding to the gap splitting from l(O) is labeled i, and i is incremented. If a gap besides l(O) splits without known descendants, then the events of these descendants are ignored. They will eventually be labeled in a future iteration.
4) Modifying branches. The branches of the root's children corresponding to l(O) and r(O) are compared and modified according to Corollary 3. The next iteration proceeds with step 1.
If the treasure becomes visible at any point of the iteration, then the strategy terminates with success. An example of this strategy is shown in Figures 2 and 3.
We discuss the correctness of Strategy 2:
Proof: Observe that the obstacles labels are a byproduct of Strategy 2, and do not determine the order in which gaps are explored. Suppose that Strategy 1 finds the treasure by chasing the sequence of gaps [g1, g2, . . . , gn]. The vertex corresponding to g1 receives an exploration label in the initial step before the iteration. Recursively, starting with i = 1, a left loop is performed over o(gi), from which gi+1 splits (Lemma 2), and its vertex is labeled for exploration. Eventually, a left loop is performed over o(gn), which makes the treasure visible.
Theorem 5: If there is a treasure, strategy 2 is guaranteed to find it.
We conjecture that the breadth-first search implemented by Strategy 2 labels each obstacle exactly once. Therefore, it would take at most O(| O |) iterations to find the treasure.
More importantly, if every obstacle is labeled exactly once, Strategy 2 always terminates, as it does for the example presented in Figures 2 and 3. At the time of writing we do not have a prove to support these claims. However, with a small modification, Strategy 2 is guaranteed to label each obstacle exactly once, deciding the presence of a treasure in O(| O | 3 ) time:
is not found by surround(Oi), Strategy 2 continues normally with step 4.
This backtracking may avoid some unnecessary work. The surround(·) motion primitive should be performed only on obstacles with the same (cyclic) sequence of gap critical events along their boundary as the sequence for ∂Oj.
Strategy 3: Looking for a treasure among indistinguishable obstacles with a gap sensor, a pebble, and backtracking Description: First, observe that once a left loop over some obstacle O ∈ O has been performed, a pebble is not needed anymore to implement the surround(O) motion primitive. By counting the number of gap critical events along ∂O, it can be guaranteed to be transversed exactly once.
Theorem 6: Strategy 3 decides in O(| O | 3 ) time whether there is a treasure.
Proof: An obstacle is only labeled with the current value of the counter if it is found not to be labeled before. Observe that for j > 1, surround(·) is performed j −1 times; if no obstacle is reached twice, then Strategy 3 terminates in Ω(| O | 2 ) time. Otherwise, assume that for every O ∈ O, l(O) splits O(n) times. In the worst case, O(n) gaps that split from l(O) direct the robot to obstacles labeled before. This means that Strategy 3 terminates in O(| O | 3 ) time.
V. CONCLUSIONS AND FUTURE WORK
In this paper we presented exploration strategies for a mobile robot with limited sensing, moving among an unknown collection of convex obstacles. We proved that a robot with a gap sensor can systematically search the whole environment,
We modify Strategy 2 as follows. Assume that the label given to O ∈ O is j. Once the left loop is completed in step 3, the robot drops the pebble at Oj. For i = j − 1 down to 1, the robot chases back a gap with origin Oi, and performs surround(Oi). If during surround(Oi) the pebble is found, then Oi = Oj, the branches of the tree are matched accordingly, the counter j is decremented, and the iteration proceeds with step 1 of Strategy 2. Otherwise, if the pebble but it cannot decide whether every point of the free space has been visible. With the addition of a pebble, the robot can decide whether the environment has been completely explored.
Assuming that the robot can distinguish among the collection of convex obstacles, the robot can recover the visibility type [20] of the collection of obstacles, which encodes all the information regarding critical changes in the visibility region of a moving point among the obstacles. The visibility type corresponds to cyclic sequences of bitangents along the boundary of the obstacles. The visibility type determines the tangent visibility graph [21], which is a generalization of the visibility graph for obstacles whose boundaries are not polygonal. In [20], based on the visibility type, pseudotriangulations are constructed. The sides of a pseudo-triangle are free bitangents and arcs on the boundary of the obstacles. Based on pseudo-triangulations, which are in fact oriented matroids of rank 3 ([2]), the visibility complex [22] can be constructed, allowing efficient visibility queries. Constructing the visibility complex from the information gathered by the robot described here seems feasible, and we consider it as future work.
Acknowledgments.: The authors thank Lawrence Erickson for insightful discussions. Our work was partially funded by the DARPA SToMP Program.
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SCHOOL BOARD OF BREVARD COUNTY OFFICE OF PURCHASING SERVICES 2700 JUDGE FRAN JAMIESON WAY VIERA, FL 32940-6601
NON-COMPETITIVE SALES AND SERVICES AGREEMENT
SSA #13-216-WH – Bright House Networks LLC
Vendor Name
Amount of Award
Required Products and Services
Bright House Networks LLC
$31,672.80
Business internet at four maintenance compounds for three years.
DISCUSSION:
The Office of Plant Operations and Maintenance has used Bright House Networks LLC to implement a closed network to connect three remote sites to the main operating facility in Rockledge. This was accomplished utilizing a network architecture designed by the Office of Educational Technology, Network Operations Manager and the Cisco Field Sales Engineer. During a recent account review by Bright House Networks LLC, due to our relocated north area office, we learned a modification was available to increase the network performance capacity at these three remote locations. This modification will also permit the permanent deactivation of three (3) legacy server computers for no additional cost to the district.
CONTRACT TERM:
The term of this agreement shall be from December 12, 2012 through December 11, 2015.
RECOMMENDATION:
It is the recommendation of Dane Theodore, Assistant Superintendent of Facilities Services, Dennis Bonny, Director of Plant Operations and Maintenance and staff, to approve the attached agreement with Bright House Networks LLC.
AUTHORITY FOR ACTION:
Florida Administrative Code - 6A-1.012 (14)
ACTION BY BOARD:
_____ Approved Recommendation(s) Above & Awarded
Meeting Date: December 11, 2012
_____ Other ___________________________________
Cheryl L. Olson, C.P.M., CPPO, FCCN, Director Office of Purchasing & Warehouse Services
Contract # __
13-216-WH______
Approval Date: _______________
__
The School Board of Brevard County, Florida Sales and Services Agreement
The School Board of Brevard County, Florida, 2700 Judge Fran Jamieson Way, Viera, Florida 329406601, ("School Board") does hereby retain the services of Bright House Networks LLC with an address of 720 Magnolia Avenue, Melbourne FL 32935 (hereinafter called "Contractor") to furnish the services in accordance with the following terms and conditions:
1. Description of Services. Contractor shall perform the following services: Business internet 50mb x 5mb access and 1 static IP each at 4 Maintenance off sites as outlined in section 2.
Said services shall be completed to the satisfaction of Mr. Dennis Bonny, Director Plant Operations and Maintenance.
Services shall be considered complete December 11, 2015.
The Contractor will independently perform all services specified above, except as provided otherwise herein. In the event Contractor requires the services of other Contractors, an amendment to this agreement listing the names, addresses and anticipated amounts to be paid to said additional Contractors will be required. All intellectual property, work product, outcomes, or processes specially developed for the delivery of services described above shall be the property of the School Board.
2.
Location of Services. Performance of services cited above will be conducted at:
School Board Maintenance Compound: 1254 S. Florida Ave. Bldg 1, Rockledge FL 32955
School Board Maintenance Compound: 2255 Meadowlane Ave., West Melbourne FL 32904
School Board Maintenance Compound: 2327 Harry T. Moore Ave., Mims FL 32754
School Board Maintenance Compound: 1948 Pineapple Ave. Bldg 4, Melbourne 32935
3. Term. The term of this agreement shall be from the date last signed by both parties until December 11, 2015 unless terminated as provided herein, or extended by supplement to this agreement.
4. Termination. The School Board, or designee, may terminate this agreement immediately, in its sole discretion. In the event of termination, the Contractor shall be paid for services performed and completed under this agreement up to the date of termination and an Early Termination Fee of $150 per location.
5. Compensation and Payment. Based on the completion of services described in paragraph 1 above, the Contractor shall receive payment as listed below. School Board's payment will be made pursuant to the provisions of the Local Government Prompt Payment Act after receipt of Contractor's invoice and completion of services. The Local Government Prompt Payment Act requires the School Board to pay a correct and undisputed invoice within 45 days of the School Board's Accounts Payable Department's receipt of said invoice. The School Board shall incur no obligation for payment until issuance of a purchase order to Contractor.
At the rate of $219.95 per Month up to a maximum of $31,672.80 as compensation for all work and services performed for the School Board.
Expenses are not authorized.
Expenses shall only be incurred as authorized by School Board and as provided for by section 112.061, Florida Statutes.
6. Independent Contractor. The Contractor certifies that it is an independent Contractor and shall not employ, contract with, or otherwise use the services of any officer or employee of the School Board. The Contractor certifies that its owner, officers, directors or agents, or members of their immediate family, do not have an employee relationship or other material interest with the School Board. The Contractor has completed and signed the attached Exhibit B, Vendor Conflict of Interest Disclosure Form.
7. Indemnification. During the term of this agreement, the Contractor shall indemnify, hold harmless, and defend the School Board of Brevard County, its officers, agents, servants, and employees from any and all costs and expenses, including, but not limited to attorney fees, investigative and discovery costs, court costs, settlements, court/jury awards, punitive damages, special damages, etc. until the termination of the claim or until the termination of litigation whichever comes first; and any and all other sums which the Board, its agents, servants, and employees may pay or become obligated to pay on account of any, all, and every claim or demand, or assertion of liability arising from, as the result of, or out of the products, goods, or services furnished to the School Board by the Contractor, its agents, servants or employees, or any of the Contractor's equipment in operation or equipment parked or stored on premises owned or controlled by the Board for the purpose of performing services, delivering products or goods, installing equipment, or otherwise transacting business, whether such claim or claims be for damages, injury to person or property, including the Board's property, intentional acts, or death of any person, group or organization, whether employed by the Contractor or the Board or otherwise. This agreement to indemnify and hold harmless includes an obligation to indemnify and hold the School Board of Brevard County harmless for liability for any negligence on the part of the School Board until both the Contractor and Board agree that the School Board was solely negligent. If the question of "solely negligent" should arise, a court agreeable to both parties may be engaged to settle this dispute.
8. Insurance. The Contractor will provide before commencement of work, and attach to this agreement, a certificate(s) evidencing such insurance coverage to the extent listed in 8.1 to 8.5 below. The School Board reserves the right to be named as an additional insured or to reject such coverage and terminate this agreement if coverage is determined to be inadequate or insufficient. The Contractor will carry and maintain as a minimum the following coverage from insurance carriers that maintain a rating of "A" or better and a financial size category of "VII" or higher according to the A. M. Best Company. Such certificates must contain a provision for notification to the Board thirty (30) days in advance of any material change in coverage or cancellation. This is applicable for the procurement and delivery of products, goods, or services furnished to or for the School Board of Brevard County and any of its ancillary schools, departments, or organizations.
Workers' Compensation Exemption forms will not be accepted. All entities or individuals are required to purchase a Workers' Compensation insurance policy.
8.5. Professional Liability Insurance (E&O, D&O etc.):
For services, goods or projects that will exceed $1,000,000 in values over a year.
Each Claim:
$1,000,000
Per Occurrence:
$2,000,000
For services, goods or projects that will not exceed $1,000,000 in values over a year.
Each Claim:
$ 250,000
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$ 500,000
9. Laws and Regulations. This agreement, and all extensions, supplements and modifications thereto, and all questions relating to its validity, interpretation, performance or enforcement shall be governed by and construed in accordance with the laws of the state of Florida. Any legal disputes, legal proceedings or actions arising out of or in connection with this agreement shall be brought in the state courts of Brevard County, Florida. The parties shall not violate the code of ethics for public officers and employees, chapter 112, Florida Statutes.
10. Background Check. The Contractor agrees to comply with all requirements of sections 1012.32 and 1012.465, Florida Statutes, and, except as provided in sections 1012.467 or 1012.468 and consistent with District policy, all of its personnel who (1) are to be permitted access to school grounds when students are present, (2) will have direct contact with students, or (3) have access or control of school funds, shall successfully complete the background screening required by the referenced statutes and meet the standards established by the statutes and the School Board. This background screening will be conducted by the School Board in advance of the Contractor or its personnel providing any services under the conditions described in the previous sentence. The Contractor shall bear the cost of acquiring the background screening required by section 1012.32, Florida Statutes, and any fee imposed by the Florida Department of Law Enforcement to maintain the fingerprints provided with respect to the Contractor and its personnel. The parties agree that the failure of the Contractor to perform any of the duties described in this section shall constitute a material breach of this agreement entitling the School Board to terminate immediately with no further responsibilities or duties to perform under this agreement. The Contractor agrees to indemnify and hold harmless the School Board, its officers and employees from any liability in the form of physical or mental injury, death or property damage resulting from Contractor's failure to comply with requirements of this section or with sections 1012.32 and 1012.465, Florida Statutes.
11. Assignability. This contract is for the personal services of the Contractor and may not be assigned by the Contractor in any fashion, whether by operation of law, or by conveyance of any type, including without limitation, transfer of stock in Contractor, without the prior written consent of the School Board which consent the School Board may withhold in its sole discretion.
12. Conduct While on School Property. The Contractor acknowledges that its employees and agents will behave in an appropriate manner while on the premises of any school facility and shall at all times conduct themselves in a manner consistent with School Board policies and within the discretion of the premises administrator (or designee). It is a breach of this agreement for any agent or employee of the Contractor to behave in a manner which is inconsistent with good conduct or decorum or to behave in any manner that will disrupt the educational program or constitute any level of threat to the safety, health, and well being of any student or employee of the School Board. The Contractor agrees to immediately remove any agent or employee if directed to do so by the premises administrator or designee.
13. No Taxes. The School Board is not obligated and does not agree to pay any federal, state, or local tax as a result of this agreement.
14. Public Records. This agreement is subject to and governed by the laws of the state of Florida, including without limitation Chapter 119, Florida Statutes, which generally make public all records or other writings made or received by the parties.
15. No Waiver. Nothing herein is intended to serve as a waiver of sovereign immunity by any agency or political subdivision to which sovereign immunity may be applicable.
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18. Access to and Retention of Documentation. The School Board, the United States Department of Education, the Comptroller General of the United States, the Florida Department of Education or any of their duly authorized representatives shall have access to any books, documents, papers, and records of the Contractor which are directly pertinent to work and services to be performed under this agreement for the purpose of audit, examination, excerpting and transcribing. The parties will retain all such required records, and records required under any state or federal rules, regulations or laws respecting audit, for a period of four years after the School Board has made final payment and all services have been performed under this agreement.
19. Debarment. By signing this Agreement, Contractor certifies, to the best of its knowledge and belief, that it and its principals:
a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by a federal department or agency.
(b) Have not, within the preceding five-year period, been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under public transaction; violation of federal or state antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements or receiving stolen property.
(c) Are not presently indicted or otherwise criminally charged by a governmental entity (federal, state or local) with commission of any of the offenses enumerated in the preceding paragraph (b).
(d) Have not within the preceding five-year period had one or more public transactions (federal, state or local) terminated for cause or default.
Contractor agrees to notify School Board within 30 days after the occurrence of any of the events, actions, debarments, proposals, declarations, exclusions, convictions, judgments, indictments, informations, or terminations as described in paragraphs 18(a) – (d) above, with respect to Contractor or its principals.
20. Confidential Student Information. Notwithstanding any provision to the contrary contained in this agreement, Contractor and its officers, employees, agents, representatives, contractors, and sub-contractors shall fully comply with the requirements of Section 1002.22 and Section 1002.221, Florida Statutes, or any other law or regulation, either federal or State of Florida, regarding confidentiality of student information and records, Further, Contractor for itself and its officers, employees, agents, representatives, contractors, or sub-contractors, shall fully indemnify and hold the School Board and its officers and employees harmless for any violation of this covenant, including but not limited to defending the School Board and its officers and employees against any complaint, administrative or judicial proceeding, payment of any penalty imposed upon the School Board or payment of any and all costs(s), damages (s), judgment(s), or loss(es) incurred by or imposed upon the School Board arising out of the breach of this covenant by the vendor, or an officer, employee, agent, representative, contractor, or subcontractor of the vendor to the extent and only to the extent that the vendor or an officer, employee, agent, representative, contractor, or sub-contractors of the vendor shall either intentionally or negligently violate the provisions of this covenant, or Sections 1002.22 or 1002.221, Florida Statutes.
This provision shall survive the termination of or completion of all performance or obligations under this agreement and shall be fully binding upon Contractor until such time as any proceeding brought on account of this covenant is barred by any applicable statute of limitations.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the date set forth below.
THE SCHOOL BOARD OF BREVARD COUNTY, FLORIDA:
CONTRACTOR:
By: __________________________________
By:
Barbara A. Murray, Ph.D., Chairman
Print Name:
Date Approved: ________________________
Title:
Date:
ATTEST (WITNESS):
By: _________________________________
Brian T. Binggeli, Ed.D., Superintendent
ATTEST (WITNESS):
By:
Print Name:
Title:
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Contractor Contact Name: Joseph Robinson
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firstname.lastname@example.org
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, Fax Number:
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Poetic Allusion in Plato's Timaeus and Phaedrus
by E.E. PENDER, Leeds
Plato's deft and playful artistry in composing allusions can be seen in two very different dialogues, Timaeus and Phaedrus. In these works Plato alludes to poetry and signals his use of allusion: to Hesiod in Timaeus and to Sappho and Anacreon in Phaedrus. Stephen Hinds begins Allusion and Intertext by quoting Christopher Ricks' perceptive insight on allusion: 'it is characteristic of art to find energy and delight in an enacting of that which it is saying'. 1 Hinds' important account of Roman poetry demonstrates how: 'alluding poets exert themselves to draw attention to the fact that they are alluding, and to reflect upon the nature of their allusive activity.' 2 Plato's art shares this 'energy and delight' as it offers teasing disclosure of its allusive activities. In Timaeus the epic poetry of Hesiod's Theogony becomes the model that Plato emulates in his own account of the creation of the universe. In Phaedrus the lyric poetry of Sappho and Anacreon provides important starting points for Plato's exploration of madness and self-control in the soul of the lover. The texts point to this creative engagement with poetry by presenting two pertinent images for allusion: in Timaeus poetic tradition is imaged as genealogy, while in Phaedrus poetic influence is imaged as flowing streams. 3 In each case the image for allusive activity, positioned in the early parts of the dialogue, not only reflects the content of the poetic genres referenced but also gives notice of material to follow in the main body of the work. In the prologue of Timaeus the transmission of stories about origins is directly linked with family history and genealogy (21a-d). The emphasis on lineage recalls the content of Hesiod's genealogy of the gods and anticipates the family line that will for Plato generate the birth of the universe. Similarly, in Phaedrus the streams of poetic influence early in the dialogue (235c) recall the flowing waters of eroticized meadows in lyric and anticipate the 'stream of beauty' that will in the later myth flow into the lover's soul. In this way Plato's echoes of his poetic predecessors become thematic within his own compositions.
1 Hinds (1998) 1 and Ricks (1976) 209.
3 While a number of other poets and writers are named and referenced in these dialogues, the respective namings of Hesiod, Sappho and Anacreon are particularly entwined with the chosen images for allusions. While studies of the allusions in Phaedrus to other poets (particularly Pindar) would prove fertile and would further understanding of Plato's techniques, the three selected poets provide ample evidence to support the case here.
2 Hinds (1998) 1.
The significance of the poetic allusions is further highlighted as dramatic context indicates that the dialogues are performing their particular allusions. First, the specific occasion of Children's Day at the festival of the Apaturia is used as the setting for one of the introductory conversations of Timaeus. This enactment of family tradition signals how Plato's story of the birth of the universe is claiming its own place in a family line of creation myths going back to Hesiod. Second, in Phaedrus the story of love is receiving its own streams of poetic influence from Sappho and Anacreon, a process dramatized by the flow of the Ilissus. The careful choice of dramatic setting means that Plato's allusions to poetry are both verbal and situational. 4 Commenting on the Aeneid Hinds speaks of how 'the landscape of ancient Italy serves to metaphorize a literary encounter' between Virgil and Ennius. 5 The same technique can be seen in Plato, where the occasion of a festival and a landscape 'serve to metaphorize' similar encounters between Plato and the epic and lyric traditions.
A final aspect of the allusions concerns their self-reflexive function. Since the images of procreation and streams are themselves familiar expressions for the creative process, each with strong connotations of vitality, they work to draw attention to both the author's inheritance of literary tradition and his originality in departing from it. These complex and subtle interlacings of allusion and content have not yet been explored. Overall, the technique that emerges provides a commentary on the author's own creativity and establishes an intriguing intertextuality with epic and lyric, posing a challenge to the wellestablished view of the philosopher as hostile to poetry. 6
Part 1: Genealogies and Creation Myths
Family Stories in the Prologue of Timaeus
The extended prologue of the Timaeus is dominated by a concern with the past, with telling stories about the past and with genealogies. Critias summarises a tale he heard as a boy from his grandfather (21a). The grandfather, also named
4 The terminology is from Hinds (1998) 136.
6 This paper has developed out of my two, more detailed, studies of the significance of the poetic motifs used in the narratives of these dialogues: first, 'Chaos corrected: the creation myths of Plato and Hesiod'; and second, 'Sappho and Anacreon in Plato's Phaedrus'. I am grateful for comments and suggestions arising from discussion of earlier versions of these papers in research seminars at the Universities of Durham, Lampeter, Birmingham, Bolton, Liverpool and the Institute of Classical Studies, University of London.
5 Hinds (1998, 13) on Aeneid 6.179-82.
Critias, had heard it from his own father, Dropides, to whom it was told by Solon, his 'relative and close friend' (Timaeus 20e1-4):
[SÒlvn] Σn m¢n oÔn ofike›ow ka‹ sfÒdra f¤low ≤m›n Drvp¤dou toË propãppou, … prÚw d¢ Krit¤an tÚn ≤m°teron pãppon e‰pen, …w épemnhmÒneuen aÔ prÚw ≤mçw ı g°rvn. 7
With the aged grandfather and great-grandfather Plato stresses that Critias is the third generation of his family to hear Solon's tale. Further, the tale itself tells how even earlier Greeks who told their most ancient stories (22a5, tå érxaiÒtata) were not aware of a pre-history dating back still further. Critias reports that Solon had travelled to the Egyptian city of Sais and conversed with the priests, the guardians of knowledge of the ancient past (21e-22a). Critias tells how the Egyptians made Solon aware of the relative youth of Greece (22a4-b8):
Once, wishing to lead them on to talk about ancient times (per‹ t«n érxa¤vn), he [Solon] set about telling them the most venerable of our legends (tå érxaiÒtata), about Phoroneus the reputed first man and Niobe, and the story (muyologe›n) of how Deucalion and Pyrrha survived the deluge. He traced the pedigree of their descendants (ka‹ toÁw §j aÈt«n genealoge›n), and tried, by reckoning the generations, to compute how many years had passed since those events.
"Ah, Solon, Solon," said one of the priests, a very old man (eÔ mãla palaiÒn), "you Greeks are always children (ée‹ pa›d°w); in Greece there is no such thing as an old man (g°rvn). . . . You are all young in your minds," said the priest, "which hold no store of old belief based on long tradition (di' érxa¤an ékoØn), no knowledge hoary with age (mãyhma xrÒnƒ poliÚn)." (tr. Cornford)
Attention is thus focused on the transmission of ancient stories through generations. Alongside explicit mentions of traditional genealogies (22b2, genealoge›n; 23b4, genealoghy°nta), the theme of family lines is also highlighted by the specific dramatic context of the telling of the Solon story. For Critias heard it from his grandfather as they were celebrating the festival of Apaturia. Even more particularly, the very day of the festival is named – 'Children's Day' (21a7-b4):
KR. 'Eg∆ frãsv, palaiÚn ékhko∆w lÒgon oÈ n°ou éndrÒw. Σn m¢n går dØ tÒte Krit¤aw, …w ¶fh, sxedÚn §ggÁw ≥dh t«n §nenÆkonta §t«n, §g∆ d° p˙ mãlista dek°thw: ≤ d¢ Koure«tiw ≤m›n oÔsa §tÊgxanen 'Apatour¤vn. tÚ dØ t∞w •ort∞w sÊnhyew •kãstote ka‹ tÒte sun°bh to›w pais¤n: îyla går ≤m›n ofl pat°rew ¶yesan =acƒd¤aw. poll«n m¢n oÔn dØ ka‹ pollå §l°xyh poiht«n poiÆmata.
7 Burnet, ed. 1902.
Critias (to Socrates): I will tell you the story I heard as an old tale from a man who was himself far from young. At that time, indeed, Critias, by his own account, was close upon ninety, and I was, perhaps, ten years old. We were keeping the Apaturia; it was the Children's Day. For us boys there were the usual ceremonies: our fathers offered us prizes for reciting. Many poems by different authors were repeated. (tr. Cornford)
The Apaturia was a festival based upon the Phratriai (or 'Brotherhoods') of Athenian society, the communities linked by birth, which stretched back to primitive Greece. 8 Parke notes a further feature of the Phratriai: 'in theory all male members were descended from a common male ancestor' (89). Thus the Apaturia was an event celebrating the extended family's shared line of descent. On the rites of Children's Day, Parke explains (89):
The third day (Koureotis), the Day of Youths . . ., was the official occasion when new members were introduced to the Phratria. This was done in the case of boys when they were still infants. The official state registration for secular purposes did not take place till the boy was approaching manhood. Then his registration with his Phratria as an infant could be cited as evidence of birth and paternity, if necessary.
The festival marked both paternity and common ancestry, and the importance of the fathers is shown in the Timaeus passage by the reference to ofl pat°rew as they participate in the official festivities with their sons. 9
In these ways the prologue points up very clearly the issues of tradition, family lines and paternity. Interwoven with this is the use of the family line as a means whereby knowledge of the distant past is transmitted to the present. Plato thus sets the scene for his own account of the beginnings of the universe created by a Demiurge who is its father and the common male ancestor of all humanity. Through this prologue Plato shows that he, as author, is keenly aware of his own myth's place in the Greek genealogy of creation stories.
Hesiod is introduced by name as Critias speaks of the potential superiority of Solon over the epic poets (21d1-3):
8 Parke (1977) 88-9.
9 For a further literary mention of the Apaturia, see Aristophanes' Acharnians 146-7: ≥ra fage›n éllçntaw §j ÉApatour¤vn, / ka‹ tÚn pat°r' ±ntebÒlei bohye›n tª pãtr&. I am grateful to Roger Brock for pointing me to these lines. In his commentary Olson (2002, 118) observes that 'the third day (Koure«tiw) [featured] the presentation of male children born within the last few years for registration in the phratry' and notes the pun between the festival's name and paternity: 'Note also the echo of the word in pat°r' and pãtr& in 147.' It is noticeable how Plato also uses the words 'Apatour¤vn and pat°rew in close proximity at 21b2-4. The patriarchal nature of the festival is evident.
katã ge §mØn dÒjan oÎte ÑHs¤odow oÎte ÜOmhrow oÎte êllow oÈde‹w poihtØw eÈdokim≈terow §g°neto ên pote aÈtoË.
The context for this comparison is Socrates' discussion of the limitations of poets at 19d. 10 These reflections on the poets and their stories draw attention to Plato's own credentials as story-teller. By choosing the form of a myth for his account of the birth of the universe, his text would compete with earlier Greek myths of creation. The references to the story-tellers of the ancient past therefore have a self-reflexive function: Plato creates a family tree for his own creation story and establishes Hesiod as one of the fathers of its line. 11 The particular epic text that will resonate in Timaeus is Theogony with its account of the birth of the gods. Plato will allude to Theogony as he creates an alternative genealogy for the divine universe. The vehicle of the allusion, family lines, prepares for the content of the myth, the genealogy of the cosmos, and indicates how the dialogue stands in relation to its epic predecessor. The Children's Day festivities, with their emphasis on paternity and their recitals of poetry, operate as a situational allusion for the references to Hesiod that will follow.
Plato's alternative creation myth
In revealing a universe built on principles of goodness, Plato has a new story to tell. Plato's myth of the birth of the universe challenges Hesiod and the poetic tradition by revealing radically different starting points and setting out its teleological vision in place of the strife and turmoil of the poetic theogony. Plato must correct Hesiod's Theogony since it gives a distorted picture of the gods as engaged in wrongdoing. He simply cannot accept stories of divine plotting, deception and acts of violence. Plato's criticism of ancient myths at Laws 886c applies directly to Theogony and Hesiod is named explicitly at Republic 377ff., as Plato explains why such tales of divine wrongdoing are unacceptable. At 377e Hesiod is singled out for specific criticism with his story of Cronos' castration (377e) and battles of Giants (378c), which are identified particularly as family strife. 12 The actual distortion is then spelled out at 379a: since god is definitively good, stories of wrong-doing do not offer a truthful ac-
10 Socrates' criticism of the poets at Tim. 19d-e as 'imitators' (mimhtikÚn, mimÆsetai, mime›syai parallels Phdr. 248e where poets are similarly associated with mere imitation.
)
11 The three poets mentioned at Tim. 21c-d, Solon, Hesiod and Homer, are also mentioned together at Symp. 209d in the context of the image of poetic creation as the fathering of spiritual children (pa›daw 209c8; ¶kgona 209d2; and g°nnhsin 209d7). Phaedrus is similarly hailed early in Symp. (177d5) as the 'father' of the discourse (patØr toË lÒgou).
12 Rep. 378c3-6: polloË de› gigantomax¤aw te muyologht°on aÈto›w ka‹ poikilt°on, ka‹ êllaw ¶xyraw pollåw ka‹ pantodapåw ye«n te ka‹ ≤r≈vn prÚw suggene›w te ka‹ ofike¤ouw aÈt«n (Burnet, ed. 1902).
count of the divine nature. As the Republic passage continues god is identified as the 'cause' (a‡tion) not of all things but only of good, since his good nature will not allow him to cause evil or harm (379b-c). The identification of the Demiurge as the cause (aition) of the universe at Timaeus 28c recalls and builds on this Republic passage: the aition of the universe is explicitly identified as good and working with entirely good motive (29d7-e2):
L°gvmen dØ di' ¥ntina afit¤an g°nesin ka‹ tÚ pçn tÒde ı suniståw sun°sthsen. égayÚw Σn, égay" d¢ oÈde‹w per‹ oÈdenÚw oÈd°pote §gg¤gnetai fyÒnow:
Let us, then, state for what reason becoming and this universe were framed by him who framed them. He was good; and in the good no jealousy in any matter can ever arise. (tr. Cornford)
The emphatic negatives and repetition of agathos stress god's goodness and at 29e4 this drive towards goodness is identified as the érxØn kurivtãthn, the supremely valid principle, of becoming and the whole cosmos (29e4). Unlike Hesiod's Ouranos, Kronos and Zeus, Plato's supreme god is not seeking to create a world-order that will allow him simply to gain and then hold on to power. Rather, the Demiurge and those he creates are themselves good and their aim is to create further goodness. Thus the dynastic strife and political power-play of Hesiod's myth must be firmly set aside. But nevertheless echoes of Hesiod can be heard within the text.
Hesiod in Timaeus: family stories
Giving a true account of the very beginnings of the gods and the universe clearly carries some hazards. It is not easy to gain access to the first actions of eternal beings. In Theogony Hesiod's stance is to claim that his account of the birth of the gods and the universe was told to him directly by the Muses on Mount Helikon. But even with this very bold move, the poet still feels it necessary to draw attention to the truth-status of the account they deliver. Thus in the prologue he has the Muses say to the poet as representative of human beings (26-8):
poim°new êgrauloi, kãk' §l°gxea, gast°rew o‰on, ‡dmen ceÊdea pollå l°gein §tÊmoisin ımo›a, ‡dmen d', eÔt' §y°lvmen, élhy°a ghrÊsasyai. 13
Shepherds of the field, base reproaches, mere bellies, we know how to speak many falsehoods that are like truths, and we know how to utter truths, when we wish to. 14
13 Solmsen, ed. 1970.
The Muses make clear their contempt for mankind and stress the gulf between their own knowledge and power and that of the poor shepherd, subject to all the usual human limitations. As a result of their caprice (line 28) a question mark remains: will they tell the truth this time? Similarly, in the Timaeus before the cosmogony begins, the issue of truth-status is flagged in the prologue. In the tale reported by Solon, the Egyptian priest tells how the Athenians were born 9,000 years previously, at the point when Athena 'took over the seed of your people from Earth and Hephaestus' (23e1-2, §k G∞w te ka‹ ÑHfa¤stou tÚ sp°rma paralaboËsa Ím«n). Despite this evident mythological reference, Socrates approves the tale as 'genuine history' (26e4-5): mØ plasy°nta mËyon éll' élhyinÚn lÒgon. Will Timaeus' account of creation also be genuine history? The challenge of revealing the beginnings of everything is implicit in Timaeus' invocation to the gods at the opening of his speech. Socrates bids him to call on the gods as custom (nomos) requires, and Timaeus replies (27c1-d1):
That, Socrates, is what all do, who have the least portion of wisdom: always, at the outset of every undertaking, small or great, they call upon a god. We who are now to discourse about the universe – how it came into being (√ g°gonen), or perhaps had no beginning of existence (égen°w) – must, if our senses be not altogether gone astray, invoke gods and goddesses with a prayer (§pikaloum°nouw eÎxesyai) that our discourse throughout may be above all pleasing to them and in consequence satisfactory to us. Let this suffice, then, for our invocation of the gods. (tr. Cornford)
Invoking the gods is a traditional gesture and although the gods are not asked to narrate through the speaker, nevertheless Timaeus' invocation clearly recalls those of epic, including Hesiod's invocation to the Muses at Theogony 105-15. Since Hesiod's Muses speak through him he can deal with the question of knowledge of origins by simply deferring to their divine knowledge. But Plato's approach to the truth-status of his account takes a different turn as he famously establishes that this cosmogony is merely a 'likely story' (eikôs muthos). 15 Two reasons are given. First, since the cosmos itself is merely a likeness, the account of it cannot be as secure as an account of the actual model and must itself merely be likely (29c). But as the explanation continues a more familiar reason also emerges (29c4-d3):
If then, Socrates, in many respects concerning the many things – the gods and the generation of the universe (ye«n ka‹ t∞w toË pantÚw gen°sevw) – we prove unable to render an account at all points entirely consistent with itself and exact, you must not be surprised. If we can furnish accounts no less likely than
14 My translation. Other translations of Theogony will be from West (1988).
15 Timaeus' cosmogony as 'likely' story: 29d2; 44d1; 48d6; 53d5; 55d5; 56a1; 56b4; 56d1; 68b7; 72d7; 90e8.
any other, we must be content, remembering that I who speak and you my judges are only human (fÊsin ényrvp¤nhn ¶xomen), and consequently it is fitting that we should in these matters, accept the likely story and look for nothing further. (tr. Cornford)
Here the limitations of human knowledge and the gap between human and divine become a further reason why the tale is merely likely. This gap recalls the Muses' taunts in Hesiod and the same theme of human limitations sounds later as Plato makes a direct reference to traditional theogonies. 16
At 40d6, at a key transition point in the structure of the myth, Plato incorporates a traditional theogony that contains a clear allusion to Hesiod (40d641a3):
As concerning the other divinities, to know and to declare their generation is too high a task for us; we must trust those who have declared it in former times: being, as they said, descendants (§kgÒnoiw) of gods, they must, no doubt, have had certain knowledge of their own ancestors (progÒnouw). We cannot, then, mistrust the children (pais‹n) of gods, though they speak without probable or necessary proofs; when they profess to report their family history (ofike›a), we must follow established usage and accept what they say (•pom°nouw t" nÒmƒ pisteut°on). Let us, then, take on their word this account of the generation (≤ g°nesiw) of these gods. [40e5] As children of Earth and Heaven (G∞w te ka‹ OÈranoË) were born Oceanus and Tethys; and of these Phorkys and Cronos and Rhea and all their company; and of Cronos and Rhea, Zeus and Hera and all their brothers and sisters whose names we know; and of these yet other offspring. (tr. Cornford)
The myth-makers who claimed divine descent are such figures as Orpheus and Musaeus, but the particular theogony here alludes to that of Hesiod at Theogony 133-8 and used throughout the poem. 17 In the preceding sections of Timaeus Plato has been presenting his account of the divine planets, with a section devoted to earth (40b-c), where it is described as 'our nurse' and as 'the first and eldest/most venerable of the gods in heaven' (40b8-c3, g∞n d¢ trofÚn m¢n ≤met°ran . . . pr≈thn ka‹ presbutãthn ye«n ˜soi §ntÚw oÈranoË gegÒnasin), which accords with Hesiod's account of Gaia (Theogony 116-8). Plato's theo-
16 This gap between divine and human knowledge is also stressed at 53d6-7 where knowledge of the remote beginnings of matter is said to be open only to gods themselves or to those especially favoured by gods: tåw d' ¶ti toÊtvn êrxåw ênvyen yeÚw o‰den ka‹ éndr«n ˘w ín §ke¤nƒ f¤low ¬ (the principles yet more remote than these are known to Heaven and to such men as Heaven favours (tr. Cornford)). Thus Plato leaves room for the sort of divine communication claimed by Hesiod with the Muses.
17 Theogony 132-8 lists the family of Gaia and Ouranos including Oceanus and Tethys; for Phorkys, son of Pontos and Gaia, see Th. 237; for the children of Cronos and Rhea, including Zeus and Hera, see Th. 453-8.
gony follows at 40e5-41a3, and in the immediately following section (41a3-d3) Plato will develop his own mythological sequence in the story of how the Demiurge addresses the lesser gods, his children, 18 to arrange the birth of humankind and thus carry on their family line (41d2, épergãzesye z"a ka‹ gennçte). Thus the parallel with Hesiod at 40e, with its traditional mythology of Earth and Heaven as parents of the gods, provides a transition between the scientific account of earth as a planet and the mythological account of the Demiurge as father of gods (and thereby of man): Yeo‹ ye«n, œn §g∆ dhmiourgÚw patÆr te ¶rgvn (41a7). 19 Plato thus incorporates the Hesiodic theogony and the reference to established usage makes clear that he is content to follow and respect poetic tradition so long as it can be blended with his new teleological account.
Tales of family life: from strife to harmony
Hesiod's myth of creation involves gender conflict and a recurring theme of male control over unregulated female procreation. The Timaeus' account of the birth of the cosmos transforms the male and female gender relationships of Theogony into a tale of harmony and co-operation as the universe is built on principles of goodness. Nevertheless, echoes remain of the primal conflict and the male role continues to be that of regulating the female. In Hesiod's poem the theogony proper begins at 116-22 with the emergence of the first beings:
ÖHtoi m¢n pr≈tista Xãow g°net': aÈtår ¶peita Ga›' eÈrÊsternow, pãntvn ßdow ésfal¢w afie‹ éyanãtvn o„ ¶xousi kãrh nifÒentow 'OlÊmpou, [Tãrtarã t' ±erÒenta mux" xyonÚw eÈruode¤hw,] ±d' ÖErow, ˘w kãllistow §n éyanãtoisi yeo›si, lusimelÆw, pãntvn te ye«n pãntvn t' ényr≈pvn dãmnatai §n stÆyessi nÒon ka‹ §p¤frona boulÆn.
First came the Chasm [Chaos]; and then broad-breasted Earth, secure seat for ever of all the immortals who occupy the peak of snowy Olympus; [the misty Tartara in a remote recess of the broad-pathed earth]; and Eros, the most handsome among the immortal gods, dissolver of flesh, who overcomes the reason and purpose in the breasts of all gods and all men. (tr. West)
I follow the view that Tartara is here the interior of Earth and that there are therefore three primal figures: Chaos, Gaia and Eros – one neuter, one female
18 For lesser gods as 'children' of the Demiurge, see also 42e6 and 69c4.
19 Demiurge as father of universe: 28c3, 32c1, 34a7, 34b9, 37a2, 37d4, 38b6, 38c4, 38e5, 39d7, and 68e4. On the metaphor of god as father as an image of both creation and control, see Pender (2000) 104-6 and 238-9.
and one male. 20 There is no indication that Gaia and Eros are generated out of Chaos. Rather the three seem to have been generated independently but with Chaos as the first to come into existence. Chaos means 'chasm', its gender is neuter; it is a gap or empty space. At the very first point of the universe, then, there is for Hesiod one entity in existence – a gap – but this does not on its own generate the many beings that will follow. Chaos does, however, initiate its own family line by producing from itself two offspring: Erebos and Night. Erebos is male and Night female and the two children join in the first sexual union of many in the story and produce their opposites Aither and Day (1225). 21 The sexual union and reproduction of Chaos' children is made possible by the prior existence of Eros, who interestingly gives birth to no line of his own. Both Chaos and Gaia reproduce independently from within themselves and so each becomes a primal parent for successive generations. However, of these two it is Gaia who is by far the most prolific and thus the chief generator of the many beings to come.
Under the force of Eros Gaia reproduces her first partner Ouranos (126-8):
Ga›a d° toi pr«ton m¢n §ge¤nato ‰son •vutª OÈranÚn ésterÒeny', ·na min per‹ pçsan §°rgoi, ˆfr' e‡h makãressi yeo›w ßdow ésfal¢w afie¤.
Earth bore first of all one equal to herself starry Heaven, so that he should cover her all about, to be a secure seat for ever for the blessed gods. (tr. West)
Although Gaia will continue to reproduce by parthenogenesis and with other partners, Ouranos is Gaia's most important partner and the marriage of Earth and Heaven stands at the head of the dominant genealogy that will lead to the birth of Olympian Zeus. Vernant is astute in observing that the marriage of Gaia and Ouranos involves 'incessant copulation' and that this copulation 'obeys a sort of raw desire, a blind and ongoing cosmic compulsion' (Vernant 1990, 466). The respective roles of male and female are in some ways balanced in this procreative model but, as Strauss Clay has shown, there is a pattern in the story whereby it is the female principle that constantly promotes change and procreation. In the context of the succession myth of Theogony Gaia and Ouranos are set in conflict with each other due to Ouranos' desire to block the birth of their children. The male prefers continued sexual access and no generational change, while the female wishes to secure the abundant births and
20 Whether 'misty Tartara' is one of the primal entities has been debated since antiquity, see Strauss Clay (2003) 15-16.
21 Night will also bear another brood of children (211-224).
consequent future generations. Commenting on the castration story, Kronos' later swallowing of his children and Zeus' swallowing of his wife, Metis, Strauss Clay notes the repeated power struggle between male and female:
Gaia will always be on the side of birth and of the younger against the older generation. … Left to itself, procreation would continue, infinitely multiplying and proliferating without brakes. Countering this force for constant change, however, is the male principle, first embodied in Uranus … In fact, the history of the gods as a whole can be viewed as an account of the various attempts on the part of the supreme male god to control and block the female procreative drive in order to bring about a stable cosmic regime. 22
This male/female conflict of the succession story is resolved by the victory of Zeus and the continued regulation of the female procreative drive through various marital arrangements. Zeus' dynastic marriages help to strengthen his powerbase and earn him the honorific title of 'father of gods and men' (line 47, Z∞na, ye«n pat°r' ±d¢ ka‹ éndr«n. 23 As father of all, the single patriarch provides stability. Bearing in mind these male efforts at containment and regulation of an 'infinitely multiplying' female procreative drive, let us return to the creation myth of the Timaeus.
While Hesiod's cosmogony begins with the coming into existence of the three primal entities, Plato's cosmogony starts with eternal entities already present and it is through the interaction between them that the cosmos is created. While Plato's narrative presents a complicated array of eternal entities and agents, three can be identified as fundamental: Demiurge, Form and Receptacle. Various triadic configurations underlying existence are offered throughout Timaeus but these can be regarded as variations on this essential trio. 24 In addition, as the cosmogony proceeds through its three different stages, 25 a number of different eternal figures come to light, all of which must be present at the 'beginning', however such a point is to be understood in a context of
22 Strauss Clay (2003) 17-18.
24 For an account of the relationship between the various triads, see Pender (2008), forthcoming. The triads are: 28a Demiurge/model/copy; 48e model/ copy/ Receptacle; 50c that which becomes/ that in which it becomes/ that which provides the model; 52a Form/the sensible/Space; and 52d Being/Space/Becoming.
23 See also lines 457, 468, and 542.
25 Part 1 sets out the work of the Demiurge in creating the parts of the universe that are to be everlasting. This work is summarised at 47e as 'the craftsmanship of Reason' (tå diå noË dedhmiourghm°na) and Part 2 is launched with a second invocation (48d-e). Part 2 presents the irrational factors that Demiurge/Reason has to contend with – factors subsumed under the title of 'Necessity'. Part 3 tells how Reason and Necessity co-operate to create the human body in all its detail, a new section marked with a clear recapitulation at 69a-d
eternity. In total, eight eternal beings can be identified, of differing genders as can be deduced both from the nouns that form their names and from the phraseology used to present them. These figures are: (1) the Demiurge (masculine), the male creator who works as a craftsman; (2) the eternal model he uses, later identified as the 'Form of Living Creature' (neuter); (3) Reason (masculine); (4) Necessity (feminine); (5) the Wandering Cause (feminine); (6) The Receptacle of Becoming (feminine); (7) disorderly proto-matter variously described, e.g. plural 'powers' (feminine); and (8) Space (feminine). 26 Much critical effort has gone into trying to interpret the precise nature of each of these entities. My limited aims are to trace the male/female relationships in the narratives presenting these different figures (or factors) of Plato's pre-cosmic vision and to show the allusions to Hesiod's divine family in the Theogony. The essentials of the gendering are clear: the supreme Demiurge and Reason are masculine/male; the divine model used for the creation of Becoming is neuter/neutral and the irrational features of the Receptacle are all feminine/female. Let us now consider the dynamics between the rational males and the irrational females who together create and constitute Timaeus' cosmos.
In part 1 of the cosmogony (29d-47e) the agent of creation is the male Demiurge. As well as being the craftsman of the universe, he is also simultaneously its father, as set out above. The personification of the Demiurge as a father is most pronounced where we hear of his emotional reaction to the birth of his child (37c6-d1):
ÑVw d¢ kinhy¢n aÈtÚ ka‹ z«n §nÒhsen t«n afid¤vn ye«n gegonÚw êgalma ı gennÆsaw patÆr, ±gãsyh te ka‹ eÈfranye‹w ¶ti dØ mçllon ˜moion prÚw tÚ parãdeigma §penÒhsen épergãsasyai.
When the father who had begotten it saw it set in motion and alive, a shrine brought into being for the everlasting gods, he rejoiced and being well pleased he took thought to make it yet more like its pattern. (tr. Cornford)
He is also the father of the lesser gods, as discussed above. There is no mother of the universe in part 1 of the cosmogony. But this situation changes in part 2 (47e-69a). A second invocation to the gods (48d-e) heralds the new beginning and there follows the arrival of the mysterious and eternal trio of Necessity, the Wandering Cause and the Receptacle – all female and non-rational. The
26 These figures are introduced at the following points and related as follows: Demiurge (28c) closely related to Reason (48a); eternal model (29a/30c) later identified as the Form of Living Creature (37d); Necessity (47e) closely associated with the Wandering Cause (48a), the Receptacle of Becoming (49a), disorderly proto-matter (49e/52e) and Space (52a).
Receptacle is introduced at 49a and described in the arresting simile 'oÂon tiyÆnhn' ('as it were a nurse', 49a6), an image repeated at 88d6. Further, she is the 'mother' (mht°ra) of the sensible world as a primal family is revealed in a more extended simile at 50c7-d4:
§n d' oÔn t" parÒnti xrØ g°nh dianohy∞nai trittã, tÚ m¢n gignÒmenon, tÚ d' §n / g¤gnetai, tÚ d' ˜yen éfomoioÊmenon fÊetai tÚ gignÒmenon. ka‹ dØ ka‹ proseikãsai pr°pei tÚ m¢n dexÒmenon mhtr¤, tÚ d' ˜yen patr¤, tØn d¢ metajÁ toÊtvn fÊsin §kgÒnƒ,
Be that as it may, for the present we must conceive three things: that which becomes; that in which it becomes; and the model in whose likeness that which becomes is born. Indeed we may fittingly compare the Recipient to a mother, the model to a father, and the nature that arises between them to their offspring. (tr. Cornford)
The identification of the Receptacle as the mother of Becoming is completed at 51a4-6, as the account of physical matter progresses:
diÚ dØ tØn toË gegonÒtow ıratoË ka‹ pãntvw afisyhtoË mht°ra ka‹ ÍpodoxØn mÆte g∞n mÆte é°ra mÆte pËr mÆte Ïdvr l°gvmen,
For this reason, then, the mother and Receptacle of what has come to be visible and otherwise sensible must not be called earth or air or fire or water. (tr. Cornford)
In part 1 of the cosmogony the Demiurge is the father but at 50c-d, following the idea of family likeness, the father of the cosmos is the Form. The Form as 'father' cannot interact directly with the 'mother', since a static Form cannot act at all, and so in the story overall a second father is needed in the Demiurge. Although the father figures change, the model in each case is that of a family. In part 1 therefore the primary triad is 'Demiurge as father/model/copy as child' (28a), while in part 2 the primary triad is 'model as father/copy as child/ Receptacle as mother' (48e).
Since these figures themselves are in many ways obscure, it is not surprising that the dynamics between them are given only vague description. Timaeus himself is evidently struggling to handle his subject matter. In the midst of the launch of the new beginning, he says his previous method of exposition involved 'difficulty' (48c5, tÚ xalepÚn) but that his new method will also be 'strange and unfamiliar' (48d5-6, étÒpou ka‹ éÆyouw dihgÆsevw). Further, on the nature of the Receptacle, he comments (51a7-b2):
we shall not be deceived if we call it a nature invisible and characterless, allreceiving, partaking in some very puzzling way (épor≈tatã p˙) of the intelligible and very hard to apprehend (dusalvtÒtaton). (tr. Cornford)
The clearest point at the new launch is that all three figures, Necessity, the Wandering Cause and the Receptacle are non-rational and part of the imperfect nature of the pre-cosmic state. But also a helpful contrast is set up at the outset of part 2 (47e-48a), that between Reason and Necessity. The arresting phrase 'the craftsmanship of Reason' (47e4, tå diå noË dedhmiourghm°na) is used to sum up the creative activity of the Demiurge in part 1. Set in contrast to this will be the work of 'Necessity' to follow in part 2. Thus Timaeus identifies the Demiurge with Reason and Necessity with the lack of rationality. The 'Wandering' Cause is a further attempt to express the irrational forces at work in the creation story. When the account turns to the details of how exactly inchoate matter was shaped by Reason, Timaeus needs to explain how Reason organises the proto-matter provided by the Receptacle. The proto-matter is presented as originally moving around in a disorderly fashion within the Receptacle, which is conceived of, inter alia, as a space. Following the tradition of nihil ex nihilo the Demiurgic act of creation is that of ordering or organising what already exists but is in chaos. Timaeus needs a way of speaking about the transactions that occur between reason and disorderly matter. He therefore aligns Necessity with the Receptacle so that Necessity becomes the active force responsible for both the disorderly motion and the disorganised matter. Therefore the very moment of creation is presented as a dynamic between the male figure of Reason (in lieu of the Demiurge) and two female figures, the Receptacle and Necessity, representing non-rational matter and motion. At this crucial point Plato's story diverges most markedly from the strife of Theogony. For the new myth presents a vision of cosmic order and harmony. As Reason seeks to impose order on matter or becoming, he turns not to force or containment but to persuasion. The two key passages on this remarkable negotiation are 47e-48a and 56c:
(47e5-48a5) memeigm°nh går oÔn ≤ toËde toË kÒsmou g°nesiw §j énãgkhw te ka‹ noË sustãsevw §gennÆyh: noË d¢ énãgkhw êrxontow t" pe¤yein aÈtØn t«n gignom°nvn tå ple›sta §p‹ tÚ b°ltiston êgein, taÊt˙ katå taËtã te di' énãgkhw ≤ttvm°nhw ÍpÚ peiyoËw ¶mfronow oÏtv kat' érxåw sun¤stato tÒde tÚ pçn.
For the generation of this universe was a mixed result of the combination of Necessity and Reason. Reason overruled Necessity by persuading her to guide the greatest part of the things that become towards what is best; in that way and on that principle this universe was fashioned in the beginning by the victory of reasonable persuasion over Necessity. (tr. Cornford)
(56c3-9) ka‹ dØ ka‹ tÚ t«n énalogi«n per¤ te tå plÆyh ka‹ tåw kinÆseiw ka‹ tåw êllaw dunãmeiw pantaxª tÚn yeÒn, ˜p˙per ≤ t∞w énãgkhw •koËsa peisye›sã te fÊsiw Ípe›ken, taÊt˙ pãnt˙ di' ékribe¤aw épotelesyeis«n Íp' aÈtoË sunhrmÒsyai taËta énå lÒgon.
and with regard to their numbers, their motions, and their powers in general, we must suppose that the god adjusted them in due proportion, when he had brought them in every detail to the most exact perfection permitted by Necessity willingly complying with persuasion. (tr. Cornford) 27
As Reason/the god persuades Necessity into co-operating with him, the order of the universe can be seen as the product of an alliance. Further, as befits a teleological account, this alliance is one of male and female figures working together to produce the good. Zedda has rightly seen that Reason/the Demiurge cannot simply subordinate Necessity but has to work with it and that the result is a harmony born of compromise:
By having two such disparate entities work in partnership, the Demiurge can truly claim that the universe as generated is all-encompassing. Even more importantly, the maker can claim to have constructed a universe based on principles of true harmonia. The universe generated by the Demiurge and Necessity embodies all that exists, both rational and non-rational into one single relationship: fil¤a. 28
With the images of the Demiurge and the Form as fathers and the Receptacle as mother, Plato uses the gender relations of the procreation motif in a parallel fashion to the many liaisons of Hesiod's Theogony. For the dominant model of creation is again that of a family and a line of ancestry leading to the birth of mortals (Theogony 1019; Timaeus 41b-d). In tracing the respective family lines in the creation stories of Hesiod and Plato, it is interesting to note that as Hesiod's Gaia is described as 'ßdow ésfal¢w afie¤' ('secure seat for ever', 117 and 128), so Plato's Receptacle similarly provides an eternal 'ßdra' for becoming, ensuring a space that is also everlasting 'éei' (52a8-b1). These primal females make an interesting parallel since each offers security and stability within their own sphere. While Gaia as planet earth has her own place in Plato's cosmogony (40b-c), it is apparent that Hesiod's Gaia is also reverberating in the female Receptacle, out of which the material universe emerges. Like Gaia 'infinitely multiplying and proliferating without brakes', the Receptacle is the female procreative drive: always receiving (50b8, dexeta¤ … ée‹), she is the eternal 'matrix for everything' (50c2, §kmage›on går fÊsei pant‹ ke›tai), into which
27 Cornford's translation masks that the compliance of Necessity is actually with the 'god' who must be understood as the Demiurge, although not named as such.
28 Zedda (2003) 155-6.
and out of which everything moves. But the primal female and her partner are refashioned by Plato. For while Hesiod's Gaia and Ouranos set a template for power struggle and gender conflict amongst the gods, Plato's Demiurge and Receptacle create a picture of greater harmony and co-operation at the birth of the universe. The process is not only more orderly and rational but also gentler – with persuasion instead of force and plotting. While the children of Ouranos are explicitly 'hated' by their father (155), the Demiurge is joyful at the birth of his child (37c7). While Ouranos 'is jealous' (619, ég≈menow) of the strength, form and stature of Briareus, Kottos and Gyges, the Demiurge has no phthonos (29e2). The crucial difference is that the Demiurge is good and so creates order in all his relationships and acts. The universe is therefore brought to birth in an atmosphere of harmony where the procreative drive of the female consents to the regulation of reason and where the male and female figures cooperate in philia. Thus Plato draws on Hesiodic motifs and vocabulary while shaping a radically different myth of creation. Moreover, Plato is careful to preface his allusions to Hesiod's Theogony with an account of how stories are passed down the generations (20e-22b), and with the addition of an appropriate dramatic context in the ritual of 'Children's day'. Such a process of transmission through the family line serves as an apt image for artistic creativity and marks the author's own genealogical relationship with traditional Greek theogonies and the poetry of Hesiod. 29
Part 2: Streams and Love Stories
Socrates' second speech in Phaedrus can be regarded as a philosophical love story, crafted to rival and indeed correct traditional Greek views on the nature of eros. In composing this alternative story Plato draws on the motifs and vocabulary of Greek lyric poetry. 30 In Timaeus the allusions to Hesiod follow the naming of the poet in the prologue, and in the same way the naming of Sappho and Anacreon early in Phaedrus (235c-d) heralds specific allusions to their poetry. Further, just as family lines work on different levels within the content
29 The image of 'fathering children' is used extensively in Symp. for artistic and intellectual creativity (see note 11 above). For discussion and further bibliography, see Pender (1992). The image is also used in Phdr. 275e-276a, where writing is imagined as needing its 'father' (patrÚw) to come to its aid and has a 'brother' (édelfÚn) in dialectic. The image continues at Phdr. 278a (Íe›w gnhs¤ouw; ¶kgono¤ te ka‹ édelfo‹).
30 While a number of other poets and writers are named and referenced in Phdr., I shall discuss here only the lyric poets, since the engagement with poetry and literature in this text is too large a topic for the current treatment. While this study opens up broader questions of Plato's response to the Greek literary tradition at large, it seems worthwhile to isolate and analyse one specific case.
and framing of Timaeus, Phaedrus uses the imagery of streams to interweave the dramatic context of the dialogue, a walk along the Ilissus river, with both the content of Socrates' second speech and his naming of the poets. For at the moment when the poets are named, Plato uses the image of a speaker being filled with 'streams from elsewhere', an image which in turn prefaces the 'stream of beauty' that will feature in Socrates' account of the soul in love. Finally, just as genealogy in Timaeus, the stream serves in Phaedrus as an apt image for artistic creativity and marks Plato's own engagement with poetic tradition. Through its allusions to Sappho, Anacreon and other poets the Phaedrus itself is filled with 'streams from elsewhere' and by challenging the lyric poets Plato's work claims its own, dominant, place in the tradition of writings on love. I shall argue that the Ilissus stream works as a situational allusion for the influence of the poets on Plato.
The Ilissus as situational allusion
While others have identified the setting of the Phaedrus as a locus amoenus, Calame, considering evidence from a broad spectrum of poetry and myth, classifies it more precisely as an 'eroticized meadow' (1999, 154-7, 166 n. 2). 31 Within this genus he marks it out particularly as a 'prelude meadow' and cites examples of similar abductions elsewhere in Greek poetry. 32 He explains (156) that the meadow represents 'a space filled with Eros, which serves as an immediate prelude to the gratification of sexual desire' and further clarifies (163-7) that these places represent sexual initiation, especially for young girls innocently at play. Calame identifies Plato's Boreas and Oreithuia meadow as just such a 'prelude meadow' (154). Eroticized prelude meadows feature in the verses of Sappho, Anacreon and other lyric poets. Calame notes prelude meadows at Anacreon 346 and Ibycus 286 and their close affinity with Sappho's grove of Aphrodite in poem 2. 33 Other erotic meadows in lyric include those of Anacreon 417; Alcaeus 115 (a) and 296 (b); Theognis 1249-52 and 1275-8; and Ibycus, 282c fr 1, 286, and 288. In the prologue to Phaedrus Plato appropriates the traditional topos of the eroticized, prelude meadow, drawing on both its land-
31 On 230b-c as locus amoenus, see Foley (1998) 45; Rowe (1986) 141; and de Vries (1969) 56. Calame (1999, 153) observes that the 'mythological and theological paradigm' of an eroticized meadow is that at Homer's Iliad 14. 312ff., and (154) compares Hesiod's Theogony 276ff.
33 Calame (1999, 168) draws the parallel with the flower-filled meadows of Sappho 96 (line 11, poluany°moiw éroÊraiw). A further parallel is Sappho 122 where a 'tender girl' is 'picking flowers' (ênye' ém°rgoisan pa›dÉ . . . épãlan).
32 Calame (1999) 155-157: Homeric Hymn to Hermes 19.19ff.; Homeric Hymn to Demeter lines 5ff. and 417ff.; Euripides, Ion 881ff.; Eur. IA 1291 ff.; and Eur. Helen 241ff.
scape and the activities associated with it. One of the purposes of the allusion is to highlight that a seduction is about to be attempted – that of Phaedrus, and hopefully the reader, into the philosophical life. 34 But the allusion also serves to mark the 'literary encounter' between Plato and the lyric genre.
The allusion begins as Phaedrus leads the way to the spot beneath the plane tree (229) and refers to some of the features of the landscape. The allusion is completed as Socrates intensifies the description of the scene and its sensuous effects as he signals their arrival at the tree (230). The relevant passages in full are:
229a1-c3
SV. DeËr' §ktrapÒmenoi katå tÚn 'IlisÚn ‡vmen, e‰ta ˜pou ín dÒj˙ §n ≤sux¤& kayizhsÒmeya.
SV. OÔk, éllå kãtvyen . . . ka‹ poÊ t¤w §sti bvmÚw aÈtÒyi Bor°ou.
FAI. Efiw kairÒn, …w ¶oiken, énupÒdhtow Ãn ¶tuxon: . . . =òston oÔn ≤m›n katå tÚ Ídãtion br°xousi toÁw pÒdaw fi°nai, ka‹ oÈk éhd°w, êllvw te ka‹ tÆnde tØn Àran toË ¶touw te ka‹ t∞w ≤m°raw. . . . ÑOròw oÔn §ke¤nhn tØn Íchlotãthn plãtanon; . . . 'Eke› skiã t' §st‹n ka‹ pneËma m°trion, ka‹ pÒa kay¤zesyai µ ín boul≈meya katakliy∞nai. . . . Efip° moi, Œ S≈kratew, oÈk §ny°nde m°ntoi poy¢n épÚ toË 'IlisoË l°getai ı Bor°aw tØn 'Vre¤yuian èrpãsai; . . . âAr' oÔn §ny°nde; xar¤enta goËn ka‹ kayarå ka‹ diafan∞ tå Ídãtia fa¤netai, ka‹ §pitÆdeia kÒraiw pa¤zein par' aÈtã.
230a6-c5
étãr, Œ •ta›re, metajÁ t«n lÒgvn, îr' oÈ tÒde Σn tÚ d°ndron §f' ˜per Σgew ≤mçw; . . . NØ tØn ÜHran, kalÆ ge ≤ katagvgÆ. ¥ te går plãtanow aÏth mãlÉ émfilafÆw te ka‹ ÍchlÆ, toË te êgnou tÚ Ïcow ka‹ tÚ sÊskion pãgkalon, ka‹ …w ékmØn ¶xei t∞w ênyhw …w ín eÈvd°staton par°xoi tÚn tÒpon: ¥ te aÔ phgØ xariestãth ÍpÚ t∞w platãnou =e› mãla cuxroË Ïdatow, Àste ge t" pod‹ tekmÆrasyai. Numf«n t° tinvn ka‹ 'Axel–ou flerÚn épÚ t«n kor«n te ka‹ égalmãtvn ¶oiken e‰nai. efi d' aÔ boÊlei, tÚ eÎpnoun toË tÒpou …w égaphtÚn ka‹ sfÒdra ≤dÊ: yerinÒn te ka‹ ligurÚn Íphxe› t" t«n tett¤gvn xor". pãntvn d¢ komcÒtaton tÚ t∞w pÒaw, ˜ti §n ±r°ma prosãntei flkanØ p°fuke kataklin°nti tØn kefalØn pagkãlvw ¶xein.
There are seven points of correspondence between the Ilissus landscape and the seduction meadows of lyric: the stream, plants and flowers, shade, breeze, sleep, presence of divinity and erotic play. 35 This allusion to the poetic prelude meadows results from the cumulative effect of the motifs rather than any single particular detail. Nevertheless, the stream appears to be the most significant marker of the relationship with lyric.
34 On the philosophical 'seduction', see Lebeck (1972) 290; duBois (1985) 95-96; Nussbaum (1986) 228-33; and Calame (1999) 186-7.
35 See Pender 2007 for discussion of each of these points of correspondence between the Ilissus and the eroticized meadows of lyric.
The Ilissus is first mentioned, by Socrates, at 229a. He suggests that they turn off the road on their walk and 'go along' the river (katå tÚn 'IlisÚn). Phaedrus immediately responds by suggesting that they can walk in the water, since they are both barefoot 229a3-5:
Efiw kairÒn, …w ¶oiken, énupÒdhtow Ãn ¶tuxon: sÁ m¢n går dØ ée¤. =òston oÔn ≤m›n katå tÚ Ídãtion br°xousi toÁw pÒdaw fi°nai.
It seems it's just as well I happened to be barefoot; you always are. So we can very easily go along the stream with our feet in the water. (tr. Rowe)
Socrates assents – the day is hot 36 – so the two men get their feet wet and conduct the first part of their conversation, up to their arrival at the plane tree, from within the stream – an unusual dramatic setting. At 230b as they reach the tree Socrates speaks of the water (Ídãtion) now flowing (=e›) as 'a most delightful stream' (phgØ xariestãth). 37 While the water was merely implicitly cool at 229a, it is now described explicitly as 'very cold' (=e› mãla cuxroË Ïdatow) . That the characters are actually in the water is reaffirmed in the second reference to feet as Socrates uses his own foot (t" pod‹) as proof of this temperature. Plato's cold stream which flows directly under the plane (230b) recalls Sappho's holy grove in poem 2 where the cold water (Îdvr cËxron) runs through the apple branches. Cool streams also appear in seduction meadows in Alcaeus (115a, cËxron Îdvr) and Theognis (1252, krÆnhn te cuxrØn). 38
The stream is linked more explicitly with the prelude meadow motif at 229b as Phaedrus asks Socrates whether this is the place where Boreas abducted Oreithuia. Musing on the location, he observes (229b7-9):
xar¤enta goËn ka‹ kayarå ka‹ diafan∞ tå Ídãtia fa¤netai, ka‹ §pitÆdeia kÒraiw pa¤zein par' aÈtã.
The water of the stream certainly looks attractively pure and clear, and just right for young girls to play beside it. (tr. Rowe)
The reference to 'young girls playing' (kÒraiw pa¤zein) gives a plausible reason why the abduction of Oreithuia might have happened at that spot. But its more important role is as a marker of the traditional activities within a prelude
36 For the midday heat, see 242a3-6 (tÚ kaËma, meshmbr¤a, épocuxª) and 279b4-5 (tÚ pn›gow ±pi≈teron g°gonen).
38 See also Ibycus 286 (lines 1-3): a· te Kud≈niai / mhl¤dew érdÒmenai =oan / §k potam«n.
37 At 242a1 the Ilissus is 'this river' (tÚn potamÚn toËton).
meadow, as Plato knowingly introduces the literary topos of girlish games. 39 Anacreon 417 provides a good example of the topos, as the 'Thracian filly' 'grazes' and 'plays' (line 5, pa¤zeiw) in the 'meadows'. 40 That Oreithuia was 'playing' in this prelude meadow is stressed again at 229c8 (pa¤zousan). Later at 234d pa¤zein is repeated twice, indicating that Socrates and Phaedrus have now assumed the roles of participants within the prelude meadow by playing their own conversational 'games'. 41 This point is confirmed in the conclusion to the work, as Plato draws attention again to the setting (278b) and again highlights the element of play (278b7): 'So now we have had due amusement (pepa¤syv metr¤vw) from the subject of speaking.' The stream, erotic play and the seduction of Oreithuia indicate that the Ilissus landscape is a counterpart to the prelude meadows of lyric. But the identification is not complete until 230.
Socrates' description of the meadow at 230 provides an intensification of each of the features mentioned by Phaedrus at 229. Expressing his explicit approval and delight Socrates heightens the sensual impact of the scene. While Phaedrus leaves the season unspoken, Socrates identifies the high summer chorus of the cicadas. The tree is now both 'very spreading (mãlÉ émfilafÆw) and tall', and is joined by an agnus, equally tall and shady. The plane tree and the agnus with its scented flowers provide lush growth and scents (…w ékmØn ¶xei t∞w ênyhw …w ín eÈvd°staton par°xoi tÚn tÒpon) which recall the trees and blossoms of the lyric seduction meadows. In Sappho poem 2 the flowers bloom (t°yalen . . . ênyesin) and in Anacreon's meadow of Aphrodite the fields are of hyacinth. Lush growth is also a feature of the erotic landscapes at Alcaeus 115a (lejãnyidow . . . eÈvdes[) and 296b (ÙsdÒmenoi); and at Ibycus 286, lines 4-5 (a· t' ofinany¤dew / aÈjÒmenai). The shade at 229 (skiã) is intensified at 230 by the height and spreading growth of the trees and by its description as tÚ sÊskion pãgkalon. This feature echoes the ample shade of Sappho's roses in poem 2 (§sk¤ast'), as well as Theognis' 'shady grove' (1252, êlseã te skierã) and Ibycus' 'shady vine branches' (286, line 5, skiero›sin Íf' ßrnesin). At 229 the pneËma is m°trion and Phaedrus suggests that beneath the plane will be grass (pÒa) upon which they might sit or lie down. At 230 the moderate breeze has
39 See Hinds (1998) 34: 'As normally defined, the topos is an intertextual gesture which … is mobilized by the poet in full self-awareness.'
41 Whereas in a lyric meadow the seduction is sexual, here the 'game' with similar attendant force and persuasion is conversation and speech-making. Foley (1998) 45-6: 'Nevertheless, the playful link with the Oreithuia myth lingers, as Socrates is more or less abducted by Phaedrus into these environs, seduced into a speech against his will (see 236d).'
40 Anacreon also links the erotic prelude with 'play' at 358 (line 4), where Eros 'summons me to play' (sumpa¤zein).
become the 'fresh breeze' (tÚ eÎpnoun) of the place, which is both 'welcome' and 'very pleasant' (égaphtÚn ka‹ sfÒdra ≤dÊ) and Socrates' positive judgement on the landscape, 'exceedingly pleasant' (sfÒdra ≤dÊ), replaces Phaedrus' litotes 'not unpleasant' (oÈk éhd°w). The 'fresh breeze' recalls the gentle winds of the meadows in Sappho 2 (êhtai m°llixa pn°oisin) and Alcaeus 296b. At 230 the sensuous pleasures of the place culminate in the grass, which slopes gently and is thick enough to provide a comfortable head-rest. Resting the head kataklin°nti involves lying down rather than sitting, a suggestion borne out by Socrates' further proclamation at 230e that he does indeed intend to 'lie down' (katake¤sesyai). Finally, whereas at 229c2 an altar of Boreas is thought to be 'nearby', at 230 the divine quality of their actual resting place is left in no doubt. Plato echoes Sappho's adjective êgnon (line 2, 'come to this holy temple', §p[‹ tÒnd]e naËon / êgnon), 42 when he points out that his spot too 'seems to be sacred' – flerÚn, as indicated by the presence of figurines and statuettes of 'some Nymphs' and Achelous the river god. 43 The divinity of the place is further emphasised at 236d10-e1, as the plane tree itself is identified as a 'god' (t¤na ye«n; µ boÊlei tØn plãtanon tauthn¤), and at 238c9-d1 where the whole place is regarded as 'divine' (ye›ow . . . ı tÒpow).
This intensification in the description of the meadow between 229 and 230 marks a highly stylised transition. Indeed Plato pauses the text to emphasise the full transformation of the scene. For as the dramatic scenario of the walk unfolds, the point of arrival at the plane tree is underlined when Socrates not only interrupts the conversation but also draws attention to the interruption: 'But, my friend, to interrupt our conversation, wasn't this the tree you were taking us to? . . . By Hera, a fine stopping-place!' 44 The stopping of the flow of discourse alongside the punning katagvgÆ (halting place) works beautifully to signal the significance of the moment: Socrates and Phaedrus have crossed a generic boundary and have now entered the familiar landscape of the poetic prelude meadow. 45 The Ilissus scene itself is thus a situational allusion that dramatises Plato's engagement with the lyric tradition. The point is further re-
42 On 'Holy Sappho', as love's priestess, see Gentili (1988) 216-222.
44 Foley (1998, 46) makes the point that since Hera is the goddess of marriage, the oath picks up the theme of seduction and sexual initiation.
43 See Rowe (1986) 142, citing de Vries (1969).
45 The river is again highlighted as a boundary marker at 242a1 (kég∆ tÚn potamÚn toËton diabåw) and 242b8-c2 where it becomes the 'very spot' from which Socrates seems to hear his daimonion (ÑHn¤kÉ ¶mellon . . . tÚn potamÚn diaba¤nein, tÚ daimÒniÒn. . . §g°neto . . . ka¤ tina fvnØn ¶doja aÈtÒyen ékoËsai). At a literary level, Socrates cannot leave the Ilissus scene because the context of the seduction meadow is relevant for the lyric allusions to follow in his second speech.
inforced when the naming of Sappho and Anacreon at 235c recalls the prologue through a further image of streams used for poetic influence and inspiration.
'Streams from Elsewhere'
At Phaedrus 235c Plato makes direct reference to Sappho and Anacreon as Socrates responds to Lysias' speech on the benefits of the non-lover. After listening to Phaedrus' excited performance of the speech, Socrates explains why he cannot agree with his friend's positive assessment of it (235b7-d3):
SV. palaio‹ går ka‹ sofo‹ êndrew te ka‹ guna›kew per‹ aÈt«n efirhkÒtew ka‹ gegrafÒtew §jel°gjous¤ me, §ãn soi xarizÒmenow sugxvr«. FAI. T¤new otoi; ka‹ poË sÁ belt¤v toÊtvn ékÆkoaw; SV. NËn m¢n oÏtvw oÈk ¶xv efipe›n: d∞lon d¢ ˜ti tin«n ékÆkoa, ≥ pou SapfoËw t∞w kal∞w ≥ 'Anakr°ontow toË sofoË µ ka‹ suggraf°vn tin«n. pÒyen dØ tekmairÒmenow l°gv; pl∞r°w pvw, Œ daimÒnie, tÚ st∞yow ¶xvn afisyãnomai parã taËta ín ¶xein efipe›n ßtera mØ xe¤rv. ˜ti m¢n oÔn parã ge §mautoË oÈd¢n aÈt«n §nnenÒhka, eÔ o‰da, suneid∆w §maut" émay¤an: le¤petai dØ o‰mai §j éllotr¤vn poy¢n namãtvn diå t∞w éko∞w peplhr«sya¤ me d¤khn égge¤ou. ÍpÚ d¢ nvye¤aw aÔ ka‹ aÈtÚ toËto §pil°lhsmai, ˜pvw te ka‹ œntinvn ≥kousa.
Soc: For ancient and wise men and women who have spoken and written about these subjects will refute me, if I agree simply to please you. Phdr: Who are these people? Where have you heard anything better than this? Soc: Right now, I can't tell you straight off. But I'm sure I've heard something better from someone – perhaps from the fine Sappho or the wise Anacreon or indeed from some prose writers. What am I basing my judgement on as I say this? Well, my fine friend, it is because my breast is somehow full that I feel that I might have other words, no worse, to say beyond these of Lysias. And that I've developed none of these from my own ideas I know very well, since I am fully aware of my own ignorance. So what remains, I think, is that I have been filled up, from streams from elsewhere, through my ears, just like a vessel. But again because of my stupidity I have forgotten this very point: how and from whom I heard it. 46
Socrates suggests that he has been 'filled up from streams from elsewhere, through my ears, like a vessel' but mischievously says he has forgotten the particular source. The image of streams used for the influence of ancient authors is charged with significance. Flowing streams are an established image of poetic inspiration which Plato himself probes elsewhere in his discussions
46 This translation is based on Rowe (1986) but is made more literal, at the expense of fluency, in an attempt to secure the most neutral reading possible. Elsewhere Rowe's translation is used without modification.
of poetry. 47 At Laws 719c the poet inspired by the Muses is said to be like a fountain (oÂon d¢ krÆnh tiw) and in the satire on poets in Ion the image of flowing water is used twice at 534a-b. There Socrates is discussing poetic inspiration and how the Muses work like a magnet which creates a chain reaction through iron rings (533d-e). Turning to the lyric poets he compares their possession to that of the Bacchants as 'they draw milk and honey from the rivers' (534a1-5): ofl melopoio‹ . . . Àsper afl bãkxai érÊontai §k t«n potam«n m°li ka‹ gãla katexÒmenai. The river image is continued when Socrates reports what the poets say about their own inspiration (Ion 534a-b):
L°gousi går dÆpouyen prÚw ≤mçw ofl poihta‹ ˜ti épÚ krhn«n melirrÊtvn §k Mous«n kÆpvn tin«n ka‹ nap«n drepÒmenoi tå m°lh ≤m›n f°rousin.
For the poets tell us, don't they, that the songs they bring for us are gathered from honey-flowing streams from the gardens and valleys of the Muses. 48
Socrates' reference here is to images of poetic inspiration going back to early Greek poetry. Aside from milk and honey (which recall different verses), 49 the image of poets drinking from the Muses' springs of pure water is used by Pindar at both Olympian 6.85-6 (§rateinÚn Ïdvr / p¤omai) and Isthmian 6.74-5 (p¤sv . . . ègnÚn Ïdvr). 50 Socrates thus likens himself to the poet receiving streams from the Muses. Such a pointed poetic image, full of irony from a character readily identifiable as determinedly prosaic, punctures the sense that the reference to the poets is casual. In case of any doubt about his negative view of such a passive process of transmission, he spells out that this means he is 'like a vessel' (d¤khn égge¤ou). The playful quality of these lines is also evident in the fact that unlike the more elegant image of the poet drinking from streams, Socrates is 'filled up . . . through my ears' (diå t∞w éko∞w peplhr«sya¤). While the reference to hearing is appropriate to the cultural context of performance poetry, the ungainly picture, not to mention the heavy-handed addition of 'like a vessel', signals irony, if not actual sarcasm. Socrates seems to be suggesting that his own claim – that he has been inspired by ancient authorities – is patently ludicrous. This is the line taken by Hackforth (1952, 36) who argues that the suggestion of inspiration from the poets is indeed 'not to be taken seriously'. This interpretation is given fuller development by Rowe (1986).
47 In Phdr. see also 238c7 for the knowing pun on poetic inspiration and running water in eÎroia (lit. 'good flow').
49
48 Burnet, ed. 1903; translation mine.
See Murray (1996) 116-7 on the 'whole complex of traditional imagery' in this passage.
50 For useful discussion on these images for creativity and inspiration, see Steiner (1986) 44-6.
Rowe begins his note with incredulity (1986, 151): 'How on earth could Socrates have heard anything in praise of the non-lover from Sappho or Anacreon, of all people – two of the best-known love poets of antiquity?' He argues that since 'Plato's Socrates normally displays a thoroughgoing hostility towards poets of all descriptions', this praise cannot be sincere: 'it is scarcely conceivable that he should now even suggest an appeal to their authority for his second, and more serious, thoughts on love.' He therefore concludes: 'The tone of the expressions "the excellent . . . Sappho" and the "the wise . . . Anacreon" is thoroughly ironical.' Rowe argues that Socrates' mention of Sappho and Anacreon is consistent with 'Plato's general attitude towards poets' (151), since Socrates' actual point is that the irrational desire graphically presented by the poets provides far stronger arguments against love even than those of Lysias. Rowe's reading of the passage as Socratic irony provides one explanation of why the lyric poets are mentioned: they depict the madness of the lover so graphically that any sane person would wish to avoid this state. I accept this as one level of meaning but suggest that another arises from the juxtaposition of this comment with the actual use of Sapphic and Anacreontic material in the dialogue and from Platonic irony evident in the passage itself.
First, as commentators have observed, the reference at 235c must be understood in the light of allusions to the poetry of these two that follow in the speeches of Socrates. Robin (1950, ad loc.) suggests that the praise is sincere since Socrates is referring to the love poets as the source of ideas that will feature in his later second speech. De Vries (1969, 74-5) notes that although the positive terms kalos and sophos can convey irony, they are used here 'in a pregnant sense' and supports Robin's view that they foreshadow Socrates' second speech. De Vries holds that the authority of the poets is fully acknowledged and moreover that the naming of Sappho is 'spontaneous homage to the poetess who knew love' (75). 51 Fortenbaugh accepts this view and maintains that the naming at 235c is more than a reference to love poetry in general (1966, 108):
The proper names 'Sappho' and 'Anacreon' have a particular significance and are not a general reference to lyric love poets. These two names are introduced to alert the reader that the poems of Sappho and Anacreon will play a role in Socrates' subsequent speeches. Indeed the primary and so far unnoticed purpose for naming these poets is to anticipate poetic reminiscences occurring in Socrates' two speeches.
51 Demos (1999, 68) also regards Socrates' comment as a sincere point about poetic tradition and authority.
More recently, Foley has judged the mention of Sappho at Phaedrus 235c as 'pointed' in line with her reading that Sappho serves 'in some critical respects' as the 'mother' of Socrates' argument in his second speech on love. 52 Second, Platonic irony can be detected as the image of streams is designed to raise the issue of poetic inspiration directly before a set of speeches which will themselves draw increasingly heavily on lyric discourse. The image seems to be humorous, since inspiration is evidently more than a matter of being mechanically and passively 'filled up' with ideas. 53 The passage seems to pose challenging questions: so how does inspiration work? How do traditional poetic ideas influence current understandings of love? Is there any wisdom in the ancient sources? Moreover, the passage also seems to have a self-reflexive function.
On the identity of the 'prose writers' at 235c Rowe observes that although this reference 'naturally follows' that to poets, there may be another meaning (1986, 151): 'where else would "Socrates" get his ideas from, if not from a prose-writer (i.e. Plato)? A deliberate wink at the reader?' I think that Rowe is right to see Plato pointing up his own authorship here and I take the move as part of one of the chief games 54 of the Phaedrus: the attribution of speeches to various authors. Waterfield 55 notes that while Phaedrus recites Lysias, Socrates cites Sappho and Anacreon and identifies Phaedrus, the Muses, the nymphs and even Stesichorus as the authors of his speeches. Through this multiple attribution Plato is ultimately prompting us to consider his own role as author and at 235c as well as wryly hinting at his character's reliance on him may also be making, through the subtext, a serious point about his own intellectual debts. Since the praise of Sappho and Anacreon is supported by positive reminiscences of their poetry elsewhere in the dialogue, this forces a reading that is non-ironic in relation to Plato himself. The point would seem to be that Plato
52 Foley (1998, 40) takes the phrase 'mother of the argument' from Maximus of Tyre's essay on Socratic Love in which he argues that Socrates' erotic logoi were not original to him but far older (Oration 18.7): 'But whether the mother of the theory [≤ toË lÒgou mÆthr] was a Mantinean or a Lesbian, it is at any rate quite clear that Socrates' discussions of Love are not unique to him [oÈk ‡dioi] and do not begin with him either [oÈd¢ pr≈tou].' (tr. Trapp (1977) 165-6). Foley (1998, 42) also considers the question of the irony or sincerity of 235c.
54
53 See duBois (1995) 85-6 on the image of the vessel at 235d: 'This little joke both recapitulates Socrates' critique of poetry in the Ion, that poets know nothing but are simply conduits of divine inspiration, and takes a gentle swipe at Phaedrus himself, who has only Lysias' discourse, nothing of his own to say about love.' See also Nightingale (1995) 1357: 'Socrates is engaging in a sort of ironic mimicry'; and Foley (1998) 44.
On the playful elements, see Mackenzie 1982.
55 Waterfield (2002) 84 on 242d.
by having Socrates mock the idea that he might have learnt anything useful from the poets is actually raising the possibility – in a playful manner 56 – that he, as author, has. On this reading, the author, in a moment of Platonic irony, uses his principal character's reactions to the poets as a means of highlighting his own position as inheritor of a poetic as well as philosophical tradition. 57 And while Socrates has pointedly forgotten his source, Plato explicitly recalls two of those who have influenced him. Further, the unusual inclusiveness of the mention at the start of the passage of both wise 'men and women' of antiquity (237b7, palaio‹ går ka‹ sofo‹ êndrew te ka‹ guna›kew) seems a careful preparation for the naming of Sappho alongside Anacreon. 58 My conclusion on 235c is that the praise of Sappho and Anacreon is both ironic (from Socrates) and non-ironic (from Plato) and that the praise for the poets is revealed as sincere when Plato later uses particular insights of the poets. I maintain that Plato pays sincere tribute to Sappho and Anacreon in order to mark their success in capturing and expressing the force of love.
Sappho and Anacreon in Phaedrus: the force of love
In Phaedrus the various speeches on love share the view of eros as holding and exercising power upon the lover, a conception shaped by the Greek poetic tradition and in particular by lyric. The force of love is a constant theme of this genre, expressed in direct language of power, in graphic images of physical impact and through the theme of the lover's madness. 59 Plato uses Sappho and Anacreon as representatives of the lyric genre but also alludes to their particular portrayals of the force of love. In poem 1 Sappho entreats the goddess of love not to 'overpower' her heart (lines 3-4): mÆ m' . . . dãmna, / pÒtnia, yËmon and again uses the verb damnãv for Aphrodite's power at 102 (pÒyƒ dãmeisa). Anacreon similarly uses for Eros the title 'subduer'– damãlhw ÖErvw (357) and speaks of the lover seeking an escape 346 fr. 4, line 4, §kfug∆n ÖErvta, and 400, ÖErvta feÊgvn. At 505 (d) Anacreon hails Eros' power over gods and men (lines 4-5): ˜de ka‹ ye«n dunastÆw, / ˜de ka‹ brotoÁw damãzei. Sappho uses the theme of madness when she speaks (poem 1, 18) of her 'maddened heart'
56 The playfulness evident in 235c accords with Hinds' view on allusive methods, since he regards the setting up of allusions as involving 'teasing play between revelation and concealment' (1998, 23).
58 See Foley (1998) 54: 'the mention of women (see also Meno 81a) is initially striking in a Greek context.'
57 On this apparent self-reflexivity, see further Pender 2007.
59 Pender 2007 traces the allusions in Phdr. to Sappho and Anacreon and to other lyric poets – Stesichorus, Alcaeus, Theognis and Ibycus. From a close reading of the evidence I argue that Plato uses the lyric vision of the force of love as the departure point for his account of the uneasy balance between mania and self-control in the soul of the lover.
(mainÒl& yÊmƒ), while Anacreon gives succinct expression to the lover's plight (359): KleoboÊlou m¢n ¶gvg' §r°v,/ KleoboÊlƒ d' §pima¤nomai, / KleÒboulon d¢ diosk°v. In Phaedrus Socrates echoes the lyric poets as he speaks of eros as an inner ruler (237d-238c), using a number of political metaphors: êrxonte; kratoËsa; turanneÊsasa; and dunasteuoÊshw. Equally, towards the end of the dialogue (265c2) Socrates uses lyric language when he refers to the god of love as 'my master and yours' (tÚn §mÒn te ka‹ sÚn despÒthn). The theme of madness begins in Phaedrus in the prologue with Socrates' characterisation of himself as 'sick' and 'frenzied with passion' for hearing speeches (228b6-7). The portrayal of love itself as madness underlies Lysias' speech in its terminology of 'sickness' and 'being out of one's mind' (231d2-3, nose›n … kak«w fronoËsin), but the mania of love first appears in Socrates' opening speech (240d1, ÍpÉ énãgkhw te ka‹ o‡strou §laÊnetai; 241a3-4, noËn ka‹ svfrosÊnhn éntÉ ¶rvtow ka‹ man¤aw). Love-as-madness is then foregrounded at the start of Socrates' second speech (244a5, ma¤netai) and thereafter given full expression.
It is in Socrates' second speech that Plato alludes specifically to Sappho and Anacreon when he echoes particular poetic lines on the impact and dynamics of love. Plato's allusion at 251a to Sappho 31 (phainetai moi) is well known. Here the man who has recently seen the vision of the Forms (értitelÆw) reacts strongly to the sight of beauty on earth. As a result he undergoes a series of bewildering changes. First he is afraid (251a4) 'he shudders and experiences something of the fears he had before' (¶frije . . . deimãtvn). 60 The verb fr¤ssv denotes the sensation experienced in 'goosebumps', capturing both the effect of cold ('to shiver') and the effect of fear ('to shudder'). A sudden and extreme change (metabolÆ) follows as this chill gives way to fever (251a7-b2): fidÒnta d' aÈtÚn oÂon §k t∞w fr¤khw metabolÆ te ka‹ fldr∆w ka‹ yermÒthw éÆyhw lambãnei. The allusion here is to Sappho's description of the lover overcome by the sight of her beautiful beloved. Page duBois (1995, 66, 85-7) speaks of the 'remarkable similarities between descriptions of erotic suffering in Plato's prose and Sappho's verse' and rightly notes four points of correspondence between 251a and Sappho 31: trembling; cold sweat; the gaze; and the 'flame beneath the flesh' (1985, 100). 61 Ferrari observes that the experience of Plato's lover (1987, 153-4) 'has been compared to that of the feverish lover who speaks Sappho's famous
60 'Before' (tÒte) is a reference to the period prior to incarnation when the soul was able to view the Forms directly.
61 DuBois (1995, 87) discusses the alternating experiences of the soul in this passage. Calame (1999, 188-9) notes the influence in Phdr. of traditional Greek views on the 'physiology of desire'. See esp. 189: 'The philosopher takes over the processes of the traditional physiology of love-in-the-Greek-fashion and incorporates them into his metaphysics.'
poem'. 62 Price notes the parallel in passing (1989, 36) and Nightingale in her more extended treatment of Plato's use of lyric in Phaedrus (1995, 133-71) sees this poem as the 'most obvious incursion' of the genre (158). Foley (1998, 46) discusses the allusion briefly and adds that Plato's audience was likely to have been alert to the similarity between the two texts.
Critics have also noted in Socrates' second speech specific allusions to Anacreon. Fortenbaugh (1966, 109) identifies Plato's image of charioteer and horses at 246a as an allusion to Anacreon's 'Thracian filly' poem (417), noting 'Plato uses a metaphor of driving horses to illustrate the phenomenon of conflicting desires.' In Anacreon 417 a power-struggle is implicit as the lover observes the natural force of the Thracian filly and responds with his claim that his own expertise in charioteering would be enough to impose control on the animal (Anacreon 417):
p«le Yr˙k¤h, t¤ dÆ me / lojÚn ˆmmasi bl°pousa nhl°vw feÊgeiw, doke›w d° / m' oÈd¢n efid°nai sofÒn; ‡syi toi, kal«w m¢n ên toi / tÚn xalinÚn §mbãloimi, ≤n¤aw d' ¶xvn str°foim¤ / s' émf‹ t°rmata drÒmou: nËn d¢ leim«nãw te bÒskeai / koËfã te skirt«sa pa¤zeiw, dejiÚn går flppope¤rhn / oÈk ¶xeiw §pembãthn.
Thracian filly, why do you look at me from the corner of your eye and flee stubbornly from me, supposing that I have no skill? Let me tell you, I could neatly put the bridle on you and with the reins in my hand wheel you round the turnpost of the racecourse; instead, you graze in the meadows and frisk and frolic lightly, since you have no skilled horseman to ride you. (tr. Campbell)
As a 'skilled horseman' in command of the 'bridle' and 'reins', the would-be lover is confident of his ability to exert control. The natural and untamed energy of the horse is evident in its playful 'frisking' or 'bounding' in the meadow: skirt«sa. It is clear that Plato does indeed allude to this poem when he speaks of the horses of the soul (246a and 253c7-256e2), of the charioteer's attempts to control them with 'reins' and 'bridle' (tåw ≤n¤aw 254c1; toË xalinoË 254c6; tÚn xalinÒn 254d7 and 254e3) and of the 'frisking' of the bad horse (skirt«n 254a4). Fortenbaugh has concluded on the allusion (1966, 109): 'The
62 When Ferrari notes on this allusion (1987, 154 n. 19): 'as seen by Fortenbaugh 1966', he is confused, since Fortenbaugh is concerned only with Sapphic influence on Socrates' first speech. But the allusion had indeed been seen by duBois in 1985. For Ferrari the main significance of the comparison lies in Plato's displacement of the symptoms of the lover from body to soul (154). Ferrari (107, n. 25) further compares Phdr. 252b1 and its idea that the beloved can cure the lover's sickness with the alleviation of suffering in Sappho 31.
uncommon word skirtãv, which occurs in both authors, suggests borrowing. Plato is the only prose writer cited by LSJ to use the word, so that we may suspect a conscious lifting from Anacreon's vocabulary.' 63 DuBois (1985, 44) also notes the parallel with the Thracian filly and compares a further Anacreontic verse (346 fr. 1, line 4ff.):
ka¤ se doke› m¢n §[n dÒ]moisi[n / pukin«w ¶xousa [mÆthr étitãllein: s[ .] . . . / tåw Íakin[y¤naw ér]oÊraw ·]na KÊpriw §k lepãdnvn / . . . a[w k]at°dhsen ·ppouw: . . . ]dÉ §n m°svi kat∞ijaw / . . . vi diÉ ëssa pollo‹ pol]iht°vn fr°naw §pto°atai.
and (your mother) thinks that she tends you (at home), keeping a firm hold on you; (but you escaped to?) the fields of hyacinth, where Cyprian Aphrodite tied her (lovely?) horses freed from the yoke; and you darted down in the midst of the (throng?), so that many of the citizens have found their hearts fluttering. (tr. Campbell)
On this parallel she comments: 'Horses often connote the exciting of desire, the will to tame an unbroken filly (Anacreon 84 [417]), or the indomitable will itself, as in Plato's representation of the charioteer of the Phaedrus (246a).' Ferrari (1987, 265, n. 21) observes, albeit briefly, Anacreon's influence on Plato's tripartite image of charioteer and horses through a further poem – Anacreon 360:
Œ pa› pary°nion bl°pvn / d¤zhma¤ se, sÁ dÉ oÈ koe›w, oÈk efid∆w ˜ti t∞w §m∞w / cux∞w ≤nioxeÊeiw.
Boy with the girlish glance, I seek you, but you do not notice, not knowing that you hold the reins of my soul. (tr. Campbell)
Speaking of Plato's use of 'snatches' from Sappho and Anacreon Ferrari comments on the Anacreontic parallel: 'Where the latter declares a beautiful boy to be the 'charioteer' of his soul (Anacreon 360, Page), Socrates describes the effects of the boy's beauty within the lover's soul in terms of an allegorical charioteer (253c7 sq).' Nightingale makes the same connection (1995, 158, n. 51): 'Note, too, that Plato's depiction of the tripartite soul echoes Anacreon's address to a boy whom he calls the "charioteer of my heart".'
63 The verb also occurs, within similar equestrian imagery for erotic arousal, at Theognis 1249: Pa› sÁ m¢n aÎtvw ·ppƒ §pe‹ skirt«n §kor°syhw / aÔyiw §p‹ staymoÁw ≥luyew ≤met°rouw / ≤n¤oxÒn te poy«n égayÚn leim«na te kalÚn / krÆnhn te cuxrØn êlseã te skierã (Edmonds, ed. 1931).
Anacreon's equestrian imagery interacts closely with the motif of the seduction meadow in poems 346 and 417, where horses appear as an element of the erotic landscape. The same interaction is also evident in Sappho 2 (line 9: le¤mvn fippÒbotow). 64 Thus when horses are introduced at Phaedrus 246a the motif can be read as a deferred completion of the erotic meadow established in the prologue. The equestrian imagery provides Plato with an established erotic vocabulary that can be adapted to express also the impact of love on the dynamics of soul. 65
Plato's alternative love story
Plato alludes to the poetry of Sappho and Anacreon in order to acknowledge the value of their insights on the shock of love. Both poets present graphic depictions of the force of eros impacting upon the passive lover. But Plato confronts this tradition with his exposition of what needs to happen after the initial impact. In Plato's alternative vision the soul is a highly mobile and active set of powers. When love strikes, Plato's lover is stunned but there follows a dynamic and forceful response from within. 66 For Plato the mania of love that unbalances the lover impacts upon all three parts of the soul. But he explains how the philosophical-lover, rather than simply withstanding this force, can actually channel its impact through the different parts of soul in order to support the effort of recollection. This act of rebalancing is achieved by redirecting the energy of the lower part of the soul away from its own object of desire and towards that of reason, through the decision to forego satisfaction of the physical desires. In this way reason receives from the mania of eros 67 an added energy and stimulus in its quest to reunite with its own beloved, the Forms. 68
Within the imagery of tripartition Plato depicts eros from the differing points of view of bad horse (appetites) and charioteer (reason). He shows how the
64 See also Theognis 1251: ≤n¤oxÒn te poy«n égayÚn / leim«na te kalÚn (Edmonds, ed. 1931).
66 See Pender 2007 for a more detailed account of the transfer of powers within the lover's soul.
65 On the power relations of the charioteer image, see Pender (2000) 219-23.
67 The philosophical-lover does not cease to feel the mania of desire. Rather, remaining in a state of 'divine possession' (¶nyeon, 255b6) he develops a way of experiencing the madness and its benefits without losing control over his appetites. Nussbaum (1986, 203-23) offers a powerful analysis of the relation between mania and reason, showing how madness benefits reason by stirring its erotic memory for the Forms and thus its impulse to make contact with the divine.
68 See Phdr. 250a-e for the erotic attraction of reason to the Forms (§kplÆttontai 250a6; pÒyƒ 250c7; deinoÁw . . . ¶rvtaw 250d4-5; §rasmi≈taton 250e1). On this alternative love story of the Forms, see Pender 2007.
charioteer can assert control over the physical desires of the bad horse through repeated training and subjection (253e-256e). The bad horse's innate response to the sight of the beloved boy is to 'spring forward' towards him, with the energy of Anacreon's filly (254a4): skirt«n d¢ b¤& f°retai. But once the horse has been 'humbled' by the power of the charioteer, it reacts to the sight of the beloved by 'nearly dying with fright' (254e7-8): ˜tan ‡d˙ tÚn kalÒn, fÒbƒ diÒllutai. Thus the bad horse now shares the lover's stricken reaction of Sappho 31: teynãkhn dÉ Ùl‹gv. While the bad horse is suffering in this way the charioteer can more easily control it and thus gains an extra impetus for his own erotic activities. In this passage Plato is transposing the erotic subjection from the lyric lover to the appetites-as-lover, whilst showing how reason can benefit. The exchange of powers and interaction of imagery is artful. Anacreon's lover in 417 would like to engage in sex with the 'filly' and so impose a form of control on its natural energy. Plato's bad horse feels this same urge for sex but accepts restraint as a result of its training by reason. Similarly, whereas in Anacreon 360 the boy is the 'charioteer' of the lover's soul, Plato's philosophical lover regains his self-control through the exertions of his own inner charioteer. In contrast, then, to Anacreon, a Platonic lover would not wish to subject the 'Thracian filly' to his control because the bad horse in his own soul would already be subjected.
The re-direction of erotic energy is at the centre of Plato's thoughts on love. In telling this new story Plato appropriates and reshapes traditional understandings of love's energy and vitality. It is therefore apt that he should place his account of the soul's horses within a context of flowing streams and the lush growth of plants
Streams and plants
In key passages of the myth (251a-252a and 255b-d) Plato connects his portrayal of the soul in love with the erotic meadow of the prologue by employing the language of streams and organic growth to explain the impact of beauty on the three parts of the soul
As Plato describes the lover at 251a-b suffering the impact of the sight of his beloved, he uses Sappho's image of erotic heat (fldr∆w ka‹ yermÒthw) and goes further by specifying a particular source of that heat: the 'warming' stream of beauty flowing into the lover's soul through his eyes (251b1-2): dejãmenow går toË kãllouw tØn éporroØn diå t«n Ùmmãtvn §yermãnyh. 69 The image of the stream entering the soul is continued at 251 in verbs which further reinforce the image of water: the whole soul 'boils' (ze› 251c1 and c4) and 'gushes forth, bubbles up' (énakhk¤ei 251c1). Despite the irritation and discomfort, the entry of the stream of beauty is beneficial for the soul since it is by this means that the feathers of the lover's soul are 'watered' (251b2-3, √ ≤ toË pteroË fÊsiw êrdetai), which thus allows its wings to regrow (251b-d; 255d). 70 The water imagery continues at 251e3 where at the sight of beauty the lover's soul is again able to 'channel desire' into itself: fidoËsa de ka‹ §poxeteusam°nh ·meron. 71 As beauty enters the soul, the effect of its warming moisture is to allow growth, for now the feathers of the soul are spoken of as plants (251b5–6, blastãnein; épÚ t∞w =¤zhw). Lebeck has explained very well the interaction of plant and physiological imagery in this rich passage. 72 Water and plants are here combined in an effective image of natural growth.
Under the stimulus of eros at 251b the parched soul, now watered, springs forth with new shoots. Earlier in the myth the very same erotic effect was represented through the idea of Beauty as a shining light (250b5-6, kãllow d¢ tÒt' Σn fide›n lamprÒn). This conjunction of light, water and plant growth for the effect of beauty on the lover further echoes Sappho's verses. Sappho uses the light image for beauty in poem 16 where the lover remembers 'the bright sparkle' of Anactoria's face (line 18, kémãruxma lãmpron . . . pros≈pv) and in 34 where again a girl is compared to the 'lovely' shining moon (kãlan selãnnan / . . . ˆppota plÆyoisa mãlista lãmph / gçn). 73 In Sappho 96 the absent beloved's beauty is similarly likened to the moonlight that extends over the sea and fields (8-10, é brododãktulow selãnna / pãnta perr°xoiw' êstra: fãow d' §p¤-
69 See also 251c8 yerma¤nhtai and 253e6 diayermÆnaw tØn cuxÆn. The stream of beauty is also featured at 255c5–7 in the description of the beloved's experience of anteros: oÏtv tÚ toË kãllouw =eËma pãlin efiw tÚn kalÚn diå t«n Ùmmãtvn fiÒn, ¬ p°fuken §p‹ tØn cuxØn fi°nai.
70
71 Empedoclean ideas of 'effluences' within vision seem to be active in this image of the stream (see e.g. Rowe (1986) 184). Although my concern is with lyric, such philosophical poetry is also an important part of the literary background to the Phdr., as are other poetic genres such as epic and epinician. Prose writings are also clearly significant in its critique of literature at large. See Nightingale 1995 for an illuminating account of the interaction between different literary genres in Phdr.
The wings of the soul represent its rationality and perfection. See Pender (2000) 155-62.
72 Lebeck (1972), esp. 273-5. Further, Lebeck (1972, 273), Nussbaum (1986, 217), Ferrari (1987, 154-7) and Nightingale (1995, 160) are all alert to the sexual connotations of various aspects of the plant and other images in this passage. Note also that in lyric the beloved's beauty is often conveyed through the beauty of the natural world, e.g. Sappho 94 and 132; Archilochus 25; Anacreon 414.
73 The more fragmentary poem 4 also uses shining within what seems to be a description of a beloved's face (éntilãmphn . . . prÒsvpon).
/sxei). In poem 96 the light is then associated with water through the idea of the night-time dew. The moon is said to send the dew 'which is shed in beauty' (12, kãla k°xutai). The final effect of the moon (or the girl's beauty) is that through its dew it allows the flowers to bloom (96, 12-14):
```
é d' §°rsa kãla k°xutai, teyã- / laisi d¢ brÒda kêpal' ên - / yruska ka‹ mel¤lvtow ényem≈dhw: the dew is shed in beauty, and roses bloom and tender chervil and flowery melilot. (tr. Campbell)
```
In Phaedrus the influence of beauty similarly waters the soul's wings, which then like a plant are able to grow. In Sappho 112 the same verb (k°xutai, 'is shed, poured') is used for the effect of love itself as eros is described as 'poured over a lovely face': ¶row d' §p' fim°rtƒ k°xutai pros≈pƒ. This language of 'pouring' features in Phaedrus as the philosophical lovers are compared to Bacchants who 'draw' from Zeus and 'pour the draught over the soul of their loved one' (tr. Rowe) (253a6-7, érÊtvsin, Àsper afl bãkxai, §p‹ tØn toË §rvm°nou cuxØn §pantloËntew). This 'pouring' is part of the lovers' attempts to make their beloveds' souls more like the gods. 74 The interacting images of light, water and growth in Sappho 96 provide a poetic antecedent for Plato's intricate depiction of the stirrings and motives of erotic desire. 75 Since the entry of the 'stream of beauty' represents a moment within the process of recollecting the Forms, the intellectual act is thus aligned with the emotional response to the beloved's beauty through terms already familiar from lyric poetry. By transposing the language of water and lush growth from the outer landscape of the Ilissus to the inner workings of the soul, Plato reanimates established erotic imagery in a move that both draws on tradition and ultimately subverts it. 76
Thus Plato incorporates into his new love story particular vocabulary and motifs from the lyric poetry of Sappho and Anacreon, allusions that are prefaced with an explicit naming of the poets at 235c. The naming itself is carefully interwoven with the dominant theme of the prelude meadow through the image of 'streams from elsewhere'. As Socrates has received these streams of influence from earlier sources, the soul will, in the myth, receive the stream of
74 Lebeck (1972, 278) observes the parallel within the Phdr. myth between the lovers as Bacchants and the stream of beauty.
76 Lebeck (1972, 280) notes how the prologue is intimately connected with the imagery of the myth: 'the setting introduces elements used later to describe love's symptoms and the soul's regrowth of wings: heat, flowing liquid and vegetation.'
75 See Steiner (1986) 47 on Pindar's images involving both water and light for poetry's powers, esp. Nem. 7. 11f.
Beauty. In this way the motif of streams interlaces the dramatic context of the dialogue, the citing of Sappho and Anacreon as influences and the actual allusions to their poetry in Socrates' second speech. The Ilissus meadow works throughout as a situational allusion to lyric poetry at large and provides an overarching theme within which Plato can harmonise Anacreon's equestrian imagery (246aff.) and Sappho's depiction of the stunned lover (251a). The point of the allusions to their poetry is to support the presentation of the tripartite soul as both passive and active within the erotic experience. That the motif of the stream is important for interpreting the speeches on love is confirmed at the close of the work where the Ilissus is referenced as (278b9): tÚ Numf«n nçmã te ka‹ mouse›on ('the stream of the Nymphs and the sacred place of the Muses'). This echo of 235c through its use of the same noun (namãtvn) provides a ring-composition for the whole piece.
Finally, the image of streams, alongside the related image of plant growth, is itself an established way of speaking about creative inspiration. The Ion shows that the language of flowing streams was standard for the possession of the poets. Here the lyric poets are likened to Bacchants who draw from the rivers when inspired. In Sappho the conjunction of water and plant growth is used for the stimulating erotic effects of beauty, an idea echoed in Phaedrus in various images including the stream of beauty and the lovers who 'pour' divine water over the souls of their beloveds. In this latter image Plato connects the motifs of 'stream-as-inspiration' and 'stream-as-effect-of-beauty' when he likens his lovers to Bacchants drawing water from Zeus (253a-b): érÊtvsin, Àsper afl bãkxai, using the same image as that in Ion for the lyric poets (534a4-5): Àsper afl bãkxai érÊontai §k t«n potam«n. I would argue that, despite the evident irony of the Ion passage, the use of the same imagery in the Phaedrus is part of a more open exploration of creative inspiration and its effects. Further, since the stream imagery is used explicitly for poetic influence itself at 235c, I read the Ilissus theme as self-reflexive, indicating the author's awareness of both his debts to the literary past and his own creativity. 77
Conclusion
In Timaeus and Phaedrus Plato alludes to the poets and draws attention to his use of their material. In each case Plato competes with the poetic tradition and offers an alternative account to correct the poetic visions. Nevertheless, in con-
77 The related lyric image of plants and vegetal growth is also used for creativity in the final part of the Phdr. itself, where in an extended simile (276b-277a) dialectic is likened to sowing seeds that will either fail or prosper depending on the method of cultivation. Steiner (1986, 97-8) discusses Pindaric plant imagery for poetic creativity.
structing his own narratives of creation and love, Plato draws on poetic vocabulary and motifs and, in his naming of the poets, seems concerned to mark his debts to epic and lyric tradition. His sureness of touch as an artist is evident in the skilful composition of these allusions. In both dialogues the allusions are prefaced by introductory remarks where particular motifs – genealogies and streams – signal the actual poetic material that Plato will recall. Further, Plato uses these motifs to highlight his own poetic inheritance: Timaeus is presented as part of a family line reaching back to Hesiod; while Phaedrus is situated appropriately to receive the influence of Sappho and Anacreon. However, when set against Plato's deliberate rewriting of the poets' stories, these self-reflexive allusions become a teasing means of marking the author's original, and inspired, contribution to the Greek literary tradition.
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Dr E.E. Pender Department of Classics, University of Leeds Leeds UK–LS2 9JT United Kingdom
8 (1963), 1-34
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This is the response of the Rural Services Network/SPARSE-Rural to the Government's Consultation on the Local Government Provisional Settlement for 2018/19. The Rural Services Network represents Councils servicing rural areas across England.
INTRODUCTORY COMMENTS
Before responding to the specific question, we wish to make some introductory comments which demonstrate the depth of feeling there is on the various issues across Rural England.
Early in 2016 a delegation from the Rural Services Network (RSN) met the then Local Government Minister, Marcus Jones MP to discuss what were, from our perspective, devastating proposals set out in the 2016/17 Four Year Provisional Settlement. The government accepted the validity of our arguments as, following protests from a significant number of rural MPs, the Final Settlement was improved temporarily by the addition of Transition Grant. However, as we said in our discussions with the Minister in 2017 the Transition Grant was always going to be no more than a sticking plaster. The 2018/19 Provisional Settlement shows – just as we demonstrated last year - that with Transition Grant coming to an end from 2018/19, the proposals will risk crippling public services in rural areas and force local authorities to raise council tax to a significantly higher level than their urban counterparts. The government's plans are likely to make life for people across rural England extremely difficult, hitting hardest those most in need of public services.
Cuts in grants have been difficult for all local authorities to live with over the last five years. But at least - until now (with the Transition Grant in place) - the axe has fallen reasonably equitably across both rural and urban areas. Under the original Four-Year Final Local Government Settlement rural areas are set to lose over 31% of their central Government funding, whilst urban areas will lose just 22%. The Provisional Settlement just announced, seeks to implement the third year of the FourYear Settlement and makes it even worse in 2018/19 than it was in 2017/18.
This comes after chronic underfunding of rural areas by successive governments, despite the acknowledged higher cost of providing services to remote communities and the lower than average incomes of people living in them.
The government's Core Spending Power figures once again take for granted that rural residents will have to pay even more in council tax than their urban counterparts. That gross unfairness has undoubtedly contributed to the present clear disaffection between rural residents and Westminster.
In a letter to Marcus Jones MP ahead of the 2017/18 Provisional Settlement announcement, the RSN stated: "Once the Transition Relief period has ended, rural councils at County, Unitary and District levels face an impossible task. Rural residents and businesses face a tsunami of swingeing cuts to essential front-line services. There will be no alternative." We remain of that view.
We pleaded then with government to extend the Transition Grant through to the end of the FourYear Settlement period - a plea which has clearly fallen on deaf ears despite the delayed programme for introducing the Fairer Funding Review proposal. Unfair, unjust and totally unacceptable sums up our feelings.
As alluded to above, our concerns are set against the context that for decades, under successive governments, rural areas have received substantially less government funding per head of population for their local government services compared to urban areas. As a consequence, rural
local authorities have increasingly found it necessary to rely more heavily on Council Tax income than their urban counterparts, whilst still struggling with considerably less Spending Power overall. This has inevitably had an impact on the level of services they could provide.
Thus, rural residents, who on average earn less than their urban counterparts, pay more in Council Tax but get less government grant and receive fewer services which cost those residents more to access. In addition, according to recent research, rural residents pay some £3000 more per annum for essentials than their urban counterparts.
Rural areas also have significantly larger older populations. Over the next few years, the number of older residents in shire areas is projected to rise at an average annual rate of 2.0%, compared to an English average of 1.8%, London Boroughs 1.9%, and metropolitan boroughs 1.5%.
Since 2013/14 London Boroughs (£266M), together with Surrey (£44M) and Hertfordshire (£16M), have received some £326M per year (based on 2013/14 values) more than the existing formula shows they need. This, in large part, is at the expense of rural areas. This too is grossly unfair, and illogical. In times of austerity it is more important than ever that the funding which is available nationally from a shrinking pot, is distributed fairly.
Any damping arrangements for the introduction of new formulae following the Fairer Funding Review must not perpetuate the unfairness by protecting those authorities at the levels of grant received but should be based on the funding they should have received had the present formula been introduced without damping.
Whilst increased funding for Adult Social Care is much needed, the amounts proposed in the Provisional Settlement will, once again, hardly scratch the surface of the underlying funding crisis that these services face across England. Furthermore, the fact that much of this increase has to come from Council Tax is both wrong and blatantly unfair to rural residents. Until this long term national issue is resolved nationally its immediate impact needs to be tackled by coherent policies and realistic funding from Central Government. Council Tax is already higher in rural areas compared to urban and these proposals can only widen that gap further. In the past the Government made much of the issues facing the so call JAMs (those families Just About Managing). All of us, including JAMS, have to pay Council Tax and, especially in rural areas, these proposals will hit JAMS hard in their purses and wallets.
The Government's introduction of Improved Better Care Fund, whilst insufficient to meet the Adult Social Care crisis is, at least in principle, a step in the right direction. However, yet again the Government's policy to make rural residents pay for services through Council Tax rears its head. The inclusion of the Council Tax flexibility in the IBCF calculations means that once more rural residents are forced to contribute more to pressures which the Government is funding in urban areas. The use of the Social Care Relative Needs Formula, frozen in 2013/14, in the Better Care Fund means that social care authorities serving rural areas are not being recompensed for the significant growth in their older population -or indeed the greater costs of meeting those needs. Moreover, much of the funding raised through the social care precept has been absorbed by the introduction of the National Living Wage
Taking these things together, it is not surprising that, yet again, more government grant per head goes to urban areas per capita. In 2019/20, the average predominantly urban resident will attract £37.74 per head in Improved Better Care Funding, £8.20 per head more than rural
residents per head (of £29.54). This difference is double the amount being paid to rural authorities in Rural Services Delivery Grant.
There is no relationship between the numbers of people requiring social care and either Council Tax or Business Rates. It is obvious that the rising costs of caring for the growing elderly population cannot be met by local taxation and must be funded per capita by central government. In rural areas there are significantly more residents aged 65+, fewer businesses required to pay business rates and Council Tax levels are already much higher than in urban areas. Thus, there is created a 'perfect storm' of rising costs and limited income in the rural areas across England.
There appears to be a clear anomaly facing those Councils (urban and rural) having to meet the needs of Internal Drainage Boards. Those Councils have no control over that expenditure – which is increasing due to inflation. They therefore have to reduce their own service etc. costs to an even greater extent to compensate. This needs to be rectified.
The Government must think again on all these issues of fundamental unfairness and discrimination against rural residents. It must begin now to correct the current bias in funding allocations towards residents living in urban and built up areas at the expense of rural residents
RESPONSES TO CONSULTATION QUESTIONS
Question 1: Do you agree with the methodology for allocating Revenue Support Grant in 2018-- 19?
No
The RSN has always recognised the commitment and stability offered by a four-year finance deal. However, the RSN has also always made it clear that it would be the minimum level of funding. The funding in the 2018/19 Provisional Settlement is demonstrably insufficient to meet current and future demand for the essential services provided by local government in rural areas.
The RSN fundamentally disagrees with the change to the methodology for calculating RSG which was introduced in the 2016/17 settlement and which has not been changed in this settlement.
The inclusion of Council Tax in the calculation of RSG reductions has resulted in significantly higher reductions in RSG (and SFA) in rural areas than has, and will, occur in urban areas over the settlement period.
The reductions highlighted in this response were made to a starting position which was already inequitable. In 2015/16, SFA per head of population in predominantly urban areas at circa £428 was already some 43% higher than in predominantly rural areas of circa £299). By the end of the settlement period, SFA per head in predominantly urban areas will reduce by just 30.79% compared to a reduction of 41.25% in predominantly rural areas- this is grossly unfair.
RSN continues to believe that the change in methodology introduced in the 2016/17 settlement and retained in the 2018/19 Provisional Settlement is fundamentally unfair and should be changed.
Indeed, the then Secretary of State, the Right Honourable Greg Clark, recognised the inequity of the formula changes and introduced the Transition Grant as well as a significant increase in Rural Services Delivery Grant. This had the impact of almost equalling the reduction in 'Government Funded Spending Power' between predominantly urban and predominantly rural areas - but for 2016/17 only.
In introducing Transitional Relief, the then Secretary of State told Parliament that its purpose was "to ease the change from a system based on central government grant to one in which local sources determine a council's revenue". Given the delays now announced in introducing a new Fairer Funding formula and Business Rates Retention (by the sector) now being 75% rather than 100% there is a clear need for the Government to consider increasing and extending transitional grant for the remaining two years of the four-year settlement
With Transition Grant disappearing in 2018/19Government Funded Spending Power (which excludes Council Tax) in Predominantly Urban Areas will be £371.91 per head (down 5.76% on 2017/18). By comparison, in Predominantly Rural Areas, Government Funded Spending Power will be £249.03 per head (down 9.57% on 2017/18). Thus, there is, once again, an unacceptable widening in the gap in Government Funded Spending Power between predominantly urban and predominantly rural areas.
The impact of these changes is seen in Council Tax levels which are already significantly higher in rural areas, and are set to increase at an even greater rate due to the Government funding shortfall highlighted above.
Council Tax per head (as reflected in the Provisional Settlement) in 2018/19 is £541.46 for Predominantly Rural Areas compared to £450.58 in Predominantly Urban Areas. The gap is a completely unfair, and unacceptable, (circa) £91 per head.
The Provisional Settlement re-enforces the view that there appears to be a conscious policy decision by the Government that in rural areas Spending Power will be increasingly funded by council taxpayers. In other words, the Government is content for people in rural areas to pay more Council Tax from lower incomes and yet receive fewer services than their urban counterparts. This is manifestly unreasonable and grossly unfair. The RSN cannot accept this position
The table below shows the relative gearing between Government Funded Spending Power and Council Tax between predominantly rural and predominantly urban areas over the four-year settlement period as a result of the inequitable changes to RSG.
| | 2015/16 | 2016/17 | 2017/18 | 2018/19 |
|---|---|---|---|---|
| Predominantly Rural | 58% | 62% | 66% | 69% |
| Predominantly Urban | 45% | 49% | 53% | 55% |
RSN believes that is inequitable that the taxpayer in rural areas, where earnings are, on average significantly lower and the costs of "essentials" significantly higher, should shoulder an ever- increasing Council Tax burden to fund local services.
The current crisis in funding for Adult (and Children's) Social Care is a national problem which needs new government money – it is wrong to pass that burden on to local council tax payers.
There is some evidence to show a correlation between the relative generosity (or otherwise) of government funding on local council tax decisions. In 2016/17, of 11 upper tier authorities that restricted Council Tax increases to less than 2%, 10 were predominantly urban and none were predominantly rural. Six London Boroughs were able to freeze Council Tax and the Greater London Authority, which enjoys the most generous changes in SFA, reduced their Council Tax by 6%!
The RSN does not believe the Government policy of making greater reductions in Government Funded Spending Power in rural areas is either fair or sustainable and therefore, once again, calls on the Government to:
Either
- Change the formula which calculates RSG reductions to remove Council Tax from the equation so that RSG reductions are at least equal between predominately urban and predominantly rural authorities
Or
- Re-introduce and extend Transition Grant so that it fully counteracts against the Government formula for RSG reduction in rural areas
Question 2: Do you agree with the Government's proposal to fund the New Homes Bonus in 2018-19 with £900 million from Revenues Support Grant and any additional funding being secured from departmental budgets?
We have no firm views with respect to question 2. However, we continue to point out that some very rural councils will find it difficult/impossible to grow their property base by more than 0.4% - from 2018/19 they will, under these proposals, get no NHB thereby increasing yet further the urban/rural funding divide.
The RSN supports the decision not to implement any of the further possible changes which the Government consulted on to the way that NHB is calculated
Question 3: Do you agree with the Government's proposal of paying £65 million in 2018 -19 to the upper quartile of local authorities based on the super-sparsity indicator?
RSN supports the decision to increase the funding allocated through RSDG, but in cash terms it is very small. It never made sense for RSDG to reduce by £15.5 million in 2018/19 only to increase by the same amount in 2019/20.
The extra £15.5M is still a lot less than the higher than average reductions in SFA experienced overall by Predominantly Rural authorities created by the 2015/16 decision to bring actual Council Tax into the "cuts equation"
The RSN is looking for higher weightings for sparsity to be introduced via the Fairer Funding Review. It welcomes the Government's recognition "that cost pressures associated with service delivery in rural sparse areas, such as lack of private sector providers and poor broadband coverage should be met with a more consistent package of funding over the course of this Parliament". The proposal for 2018/19 plays lip-service to this recognition.
We welcome the long-awaited recognition by the Government (as contained in the recent Technical Consultation on relative needs) "that it is possible that altering the weightings in 2013/14 may have only partially reflected the challenges faced in delivering some services in rural areas". The RSN considers this to be actual rather than possible.
To expect rural areas, and their elected representatives, to wait for a fairer allocation of national resources until the introduction of the Fairer Funding Review is a really big ask – especially given the damping, then freezing, in the changes to sparsity weightings and the consequentially increasing gap in government funded spending power and council tax between Predominantly Rural areas compared to Predominantly Urban.
Whilst we acknowledge that the Government has increased the value of RSDG since it was introduced, we make the following observations.
- The £65m proposed for 2018/19 is a £15.5m reduction when compared with 2016/17.
- The £65m is still only about half of the amount which was lost to rural authorities to damping in 2013/14. This loss followed changes to sparsity in 2013/14, the majority of which was damped. As 2013/14 was the last year that formula funding was calculated, this damping loss has been suffered in each year since.
- The reduction in Revenue Support Grant national control total between 2015/16 and 2017/18 was 47.6%. However, as this response shows, the reduction for Predominantly Rural authorities was 56.9%. In cash terms, therefore, predominantly rural authorities have lost £167m more than they would have if they and urban authorities had suffered equal reductions to RSG. This is £102m greater loss than is being offered in RSDG in 2017/18.
- RSN has long campaigned for the RSDG to be tapered so that all rural authorities (as exemplified in the DCLG Summer 2012 Consultation) receive a contribution towards the additional cost of serving rural areas (the current system only provides funding for top quartile of super sparse authorities). We continue feel that an increase in RSDG to, at the very least, cover the losses outlined above is warranted so as to facilitate the extension of the grant to all authorities which should have benefitted from the (adopted by Government) 2012 Consultation proposals.
So, whilst RSN acknowledges the importance of RSDG, we strongly feel that given the changes to other elements of the settlement, it is imperative that the level of RSDG is significantly increased and that the qualification criteria are changed to extend some level of support to all authorities with significant levels of sparsity.
Question 4: Do you agree with the Government's proposal to hold back £35 million to fund the business rates safety net in 2018-19, on the basis of the methodology described in paragraph 2.6.2?
We have no firm views with respect to question 4.
Question 5: What are your views on the council tax referendum principles proposed by the Government for 2018 – 19?
Like others across local government the RSN believes that council tax setting is a matter for individual local authorities which are democratically elected and offer local accountability. The RSN therefore disagrees with any referendum principles being imposed on local government.
Again, we point out that residents in rural areas are already paying above-average amounts of council tax, despite receiving fewer services.
When calculating the gap between Rural and Urban authorities, our figures exclude parish precepts, if we were to include them then the gap would be much higher between Rural and Urban. Some rural parishes have increased their precept to take into account that they now deliver some discretionary services which the Local Authority has stopped providing due to funding pressures.
RSN supports giving local authorities the ability to generate more from council tax. Local budgets are under severe pressure, particularly in rural areas where pressures on adult social care is growing sharply, and the increase in council tax yield will make a welcome contribution to these pressures. The RSN agrees with the County Councils Network that county councils should be allowed to levy the social care precept on the entire tax base of their areas (rather than just the county precept element) as would be the case if they were unitary authorities
However, the Government is placing unfair pressure on the council tax payers in rural areas. Band D council tax is higher than in many other parts of the country, particularly Inner London. By allowing all areas the same percentage increase in Band D, the divergence will only grow over time, placing increasingly greater pressure on residents in county areas. An alternative is to allow low-tax authorities the opportunity to increase Band D by more than the 3% threshold (e.g. the higher of 3% or £50) to help to redress the balance.
The RSN is concerned about the impact Council Tax levels may have if included in the Resources Block under the Fairer Funding Review and will be monitoring this issue very closely.
The RSN supports the decision to defer introducing controls on Parish/Town Councils
Question 6: Do you agree with the methodology for calculating the revaluation adjustments to business rates tariff and top-up payments as outlined in paragraphs 3.5.1 to 3.5.6
We have no firm views with respect to question 6.
Question 7: Do you have any comments on the impact of the 2018-19 local government finance settlement on those who share a protected characteristic, and on the draft equality statement published alongside this consultation document? Please provide supporting evidence.
We have no firm view views with respect to question 7
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Legume proteins and the prevention of cardiovascular disease – plenary lecture
Grażyna Nowicka
Division of Public Health and Nutrition IEB-UKSW, National Food and Nutrition Institute, Warsaw
Key words: pulses, cardiovascular disease risk, plasma cholesterol, LDL cholesterol, hypertension, health benefits
Cardiovascular disease (CVD) is the leading cause of death in most developed and developing countries. Epidemiological studies indicate that enhanced intake of pulses is associated with a lower CVD risk. Observational and clinical studies have shown that legume proteins possess significant hypocholesterolemic and hypotensive activity. These proteins influence also carbohydrate metabolism and plasma glucose levels. Other beneficial health effects of enhanced legume consumption have been reported. Therefore, legumes and legume proteins can play an important role in CVD prevention.
Introduction
the energy requirements suited to maintain body weight in the proper range. In recent years a strong evidence has been accumulated that also plant proteins should play an important role in dietary interventions reducing CVD risk [Sirtori, 1998]. Soy protein has gained considerable attention. However, the regular consumption of different legume proteins can have important protective effects [Arnoldi, 2004].
Hypocholesterolemic effect of legume proteins
Soy proteins and also other legume proteins significantly reduce total plasma and LDL-cholesterol levels both in animals and in humans. The most favorable effect is observed when animal proteins are substituted with legume proteins in patients with hypercholesterolemia. Meta-analysis of 38 clinical studies, in which the effects of soy protein intake on serum lipids and lipoproteins was determined, has shown that diet containing about 40 g of soy protein (range of intake from 17 to 124 g/day) decreased total cholesterol by 9.3% (mean drop of 23.2 mg/dL, range: 13–33 mg/dL) and LDL-cholesterol by 12.9% (mean drop of 21.6 mg/dL, range: 11– -32 mg/dL), [Anderson et al., 1995]. On soy-protein rich diet a significant fall, by 10.5%, was noted in serum triglyceride concentrations (mean decrease: 13 mg/dL, range: 0.3–26 mg/dL). The observed changes in HDL levels were statistically not significant. In studies with soy-proteins there was no clear dose response. However, it is generally accepted that significant changes in serum lipid and lipoprotein levels can be expected when daily consumption of soy proteins is not lower than 25 g [Sacks et al., 2006]. The reduction of total and LDL cholesterol concentration is related to the initial
Cardiovascular disease (CVD) is the leading cause of death in most developed and developing countries. The underlying pathology is usually atherosclerosis. CVD development is generally due to the occurrence of a combination of several risk factors. Epidemiological and clinical studies revealed many factors contributing to the high prevalence of CVD. Elevated plasma levels of total and low density lipoprotein (LDL) cholesterol, enhanced triglycerides and low high density lipoprotein (HDL) cholesterol, as well as hypertension, overweight and obesity, cigarette smoking and diabetes belong to the factors occurring with high frequency, which are significantly and independently associated with increased CVD risk [Third Joint Task Force, 2003]. Clinical trials have convincingly shown that reduction of major risk factors lowers the incidence of CVD.
Diet is widely recognized as the key step in interventions targeted to reduce CVD risk [Kris-Etherton, 1999; De Lorgeril et al., 1999; Ornish et al., 1998]. There is no doubt that to achieve this goal diet has to be rich in fruits and vegetables, low in saturated fatty acids and cholesterol, contain adequate amount of polyunsaturated fatty acids with an optimal balance of n-6 and n-3 PUFA. Total calories intake has to meet
It is well accepted that a clearly defined eating pattern is an important precondition for a high population rate of CVD [Joint WHO/FAO experts, 2002]. This pattern is characterized by enhanced energy intake, a high content of saturated fat, sugars and salt. Such a diet is closely related to the high prevalence of disturbances in lipid and lipoprotein metabolism, hypertension, overweight and central obesity. Through overweight and obesity it is associated with development of non-insulin dependent diabetes mellitus an established source of CVD risk.
serum cholesterol concentrations. Therefore, no significant changes are noticed in normocholesterolemic subjects, and the highest drop can be observed in patients with moderate and severe hypercholesterolemia.
The hypocholesterolemic effect of soy protein is related to the changes in LDL receptor activity. In human subjects on soy protein rich diet a significant rise in LDL receptor activity of mononuclear cells was observed. It was also shown that α submit of 7 S soy globulin can directly activate liver and fibroblast LDL-receptor, LDL uptake and degradation [Lovati et al., 2000; Manzoni et al., 2003]. Similar effect of white lupin proteins was described and significant fall in LDL and total cholesterol on lupin protein rich diet was reported [Sirtori et al., 2004; Nowicka et al., 2006]. Hypocholesterolemic effects of different non-soy pulses were observed as well [Anderson, 2002; Nowicka, 2005].
Hypotensive action of legume proteins
Hypertension belongs to the major CVD risk factors, and the relation between diet and blood pressure is well documented. Lower blood pressure is observed in vegetarians then in subjects on the so-called "western diet". The results of the DASH-study demonstrated that diet rich in vegetables, fruits, containing low-fat dairy products, whole grains, nuts and fish, with decreased amounts of saturated fat and cholesterol, red meat, sweets and sugar containing beverages significantly lowers blood pressure [Sacks et al, 2001]. Experimental and clinical studies have demonstrated that soy and isoflavone-poor soy protein exhibits the hypotensive activity. Reduction of systolic and diastolic blood pressure was observed in hypertensive and also in normotensive persons consuming daily from 20 g to 66 g of soy protein [Burke et al., 2001; He et al., 2005]. Hypotensive effect of lupin protein rich diet was also reported [Nowicka et al., 2006].
It is believed that hypotensive activity of specific food proteins can play a significant role in prevention and dietary treatment of hypertension.
It was found that during ingestion of soy protein small peptides are formed, which significantly inhibit angiotensin converting enzyme (ACE) activity. Synthetic ACE inhibitors are widely used for hypertension treatment. ACE inhibitory peptides were isolated also from non-soy food proteins [Wu et al., 2001; Miguel et al., 2006].
Other beneficial effects of enhanced legume consumption
It was shown that a diet rich in soy protein is associated with lower homocysteine levels as compared to that with a low content of vegetable proteins [Tonsted et al., 2002]. Homocysteine has been shown to be an independent indicator of CVD risk.
It was found that essential amino acids stimulate gene transcription and translation, work as regulators of protein synthesis and degradation. They significantly influence insulin synthesis and secretion. Therefore, enhanced legume proteins intake can affect carbohydrate metabolism and plasma glucose levels. Differences in amino acid composition between legumes may be associated with differences in their specific metabolic actions.
Beside proteins, other components of legumes have also been shown to improve CVD risk factors. The low content of saturated fatty acids and high content of fiber make pulses a good choice for a healthy diet. Their complex carbohydrates together with dietary fiber result in low glycemic indexes of legumes and legume products, and play an important role in the prevention of diabetes. Phytochemicals, especially soy isoflavones, and probably other constituents of pulses possess antioxidant activity and can inhibit lipid oxidation, which is believed to be involved in atherosclerosis development [Messina, 1999; Nowicka, 2005].
References
1. Anderson J.W., Johnstone B.M., Cooke-Newell M.E., Meta-analysis of the effects of soy protein intake on serum lipids. N. Engl. J. Med., 1995, 333, 276-282.
3. Arnoldi A., Grain legumes and the prevention of cardiovascular disease. 2004, in: Functional Foods, Cardiovascular Disease and Diabetes (ed. A. Arnoldi). CRS Press, Woodhead Publishing Limited, Cambridge, England.
2. Anderson J.W., Major A.W., Pulses and lipaemia, shortand long-term effect: Potential in the prevention of cardiovascular disease. Br. J. Nutr., 2002, 88, Suppl. 3, S263-S271.
4. Burke V., Hodgson J.M., Beilin L.J., Giangiulioni N., Rogers P., Puddery I.B., Dietary protein and soluble fiber reduce ambulatory blood pressure in treated hypertensives. Hypertension, 2001, 38, 821-826.
6. He J., Gu D., Wu X., Chen J., Duan X., Chen J., Whelton PK., Effect of soybean protein on blood pressure: a randomized, controlled trial. Ann. Intern. Med., 2005, 143, 1-9.
5. De Lorgeril M., Salen P., Martin J.L., Monjaud I., Delaye J., Mamelle N., Mediterranean diet, traditional risk factors, and the rate of cardiovascular complications after myocardial infarction: final report of the Lyon Diet Heart Study. Circulation, 1999, 99, 779-785.
7. Joint WHO/FAO expert consultation. Diet, nutrition and the prevention of chronic diseases. Report of the Joint WHO/FAO Expert Consultation, Geneva, 28 January – 1 February 2002.
9. Lovati M.R., Manzoni C., Gianaza E., Arnoldi A., Kurowska E., Caroli K., Sirtori C.R., Soybean protein peptides regulate cholesterol homeostasis in Hep 62 cells. J. Nutr., 2000, 130, 2543-2549.
8. Kris-Etherton P.M., A new role for diet in reducing the incidence of cardiovascular disease: evidence from recent studies. Curr. Atheroscler. Reports, 1999, 1, 85-87.
10. Manzoni C., Duranti M., Eberini M., Schamag H., Marz W., Castiglioni S., Lovati M.R., Subcellular localization of soybean 7S globulin in hep 62 cells and LDL receptor up-regulation by its α constituent subunit. J. Nutr., 2003, 133, 2149-2155.
12. Miguel M., Aleixandre A., Antihypertensive peptides de-
11. Messina M.J,. Legumes and soybeans: overview of their nutritional profiles and health effects. Am. J. Clin. Nutr., 1999, 70, 439S-450S.
rived from egg proteins. J. Nutr., 2006, 136, 1457-1460.
14. Nowicka G., Naruszewicz M., Kłosiewicz L., Sirtori C.R., Arnoldi A., Lupin proteins in the treatment of hypercholesterolemia. 2006, in: XIV International Symposium on Atherosclerosis, Rome 2006, Abstract.
13. Nowicka G, Panczenko-Kresowska B., Hypocholesterolemic effect of grain legumes' proteins. Żyw. Człow. Metab., 2005, 32, 47-55 (in Polish).
15. Ornish D., Scherwitz L.W., Billings J.H., Brown S.E., Gould K.L., Merritt T.A., Sparler S., Armstrong W.T., Ports T.A., Kirkeeide R.L., Hogeboom C., Brand R.J., Intensive lifestyle changes for reversal coronary heart disease. JAMA, 1998, 280, 2001-2007.
tion Committee. Circulation, 2006, 113, 1034-1044.
19. Sirtori C.R., Lovati M.R., Manzoni C., Castiglioni S., Duranti M., Magni C., Morandi S., D Agostina A., Arnoldi A., Proteins of white lupin seed, a naturally isoflavone-poor legume, reduce cholesterolemic in rats and increase LDL receptor activity in Hep 62 cells. J. Nutr., 2004, 134, 18-23.
18. Sirtori C.R., Lovati M.R., Manzoni C., Gianazza E., Bondioli A., Steals B., Auwrex J., Reduction of serum cholesterol by soy proteins: clinical experience and potential molecular mechanism. Nutr. Metab. Cardiovasc. Dis., 1998, 8, 334-339.
20. Third Joint Task Force of European and other Societies on Cardiovascular Disease Prevention in Clinical Practice. European guidelines on cardiovascular disease prevention in clinical practice. Eur. J.Cardiovasc. Prev. Rehab., 2003, 10, suppl. 1.
17. Sacks F.M., Lichtenstein A., Van Horn L., Harris W., Kris-Etherton P., Winston M., American Heart Association Nutrition Committee, For the American Heart Association Nutrition Committee. Soy protein, isoflavones, and cardiovascular health. An American Heart Association Science Advisory for Professionals from the Nutri-
21. Tonsted S., Smerud K., Hoie L., A comparison of the effects of 2 doses of soy protein or casein on serum lipids, serum lipoproteins, and plasma total homocysteine in hypercholesterolemic subjects. Am. J. Clin. Nutr., 2002, 76, 78-84.
16. Sacks F.M., Svetkey L., Vollmer W.M., Sacks F.M., Ard J., Appel L.J., Bray G.A., Simons-Morton D.G., Conlin P.R., Svetkey L.P., Erlinger T.P., Moore T.J., Karanja N., For the DASH-Sodium Collaborative Research Group. Effects on blood pressure of reduced dietary sodium and the dietary approaches to stop hypertension (DASH) diet. N. Engl. J. Med., 2001, 344, 3-10.
22. Wu J., Diong X., Hypotensive and physiological effect of angiotensin converting enzyme inhibitory peptides derived from soy protein on spontaneously hypertensive rats. J. Agric. Food Chem., 2001, 49, 501-505.
Białka nasion roślin strączkowych – działania funkcjonalne i możliwości zastosowania w profilaktyce choroby niedokrwiennej serca – wykład plenarny
Grażyna Nowicka
Instytut Żywności i Żywienia, Warszawa
Choroby układu krążenia należą do głównych problemów zdrowotnych populacji krajów ekonomicznie rozwiniętych i rozwijających się. Badania epidemiologiczne wskazują na związek między spożyciem nasion roślin strączkowych a niskim ryzykiem chorób układu sercowo-naczyniowego. Badania kliniczne pokazują, że białka nasion roślin strączkowych wywierają działanie hipocholesterolemiczne i hipotensyjne, wpływają na metabolizm węglowodanów i poziom glukozy we krwi. Występują także inne pozytywne efekty zwiększonego spożycia tych białek. Białka nasion roślin strączkowych mogą odgrywać istotną rolę w prewencji chorób układu sercowo-naczyniowego.
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Meum, T. T., Li, H. (2022): Scaling Digital Technologies to Improve Patient-Clinician Interactions. Proceedings of Revisiting Patient-Clinician Interaction in 2022: Challenges from the Field and Opportunities for Future Research Workshop at ECSCW 2022.
Scaling Digital Technologies to Improve Patient-Clinician Interactions: A Comparative Case Study
Torbjørg T. Meum*, Hong Li*, Department of Informatics, University of Oslo {torbjotm, firstname.lastname@example.org
*Equally contributed authors
Abstract. This position paper reports from ongoing research on the implementation and scaling of digital technologies for remote care. The primary objective of the project is to investigate how digital technologies can be scaled, adapted, and evaluated to ensure high-quality remote care for patients with chronic illness in both Norway and China. The comparative study is based on longitudinal case studies in different geographical and institutional contexts that provide insights into how digital technologies can influence, support, and improve patient-clinician interactions.
Introduction
Digital solutions are considered as a key enabler to promote health, prevent diseases, and provide patient-centered care that meet citizens' needs (European Commision, 2018). International strategies have called for a paradigm shift in the way healthcare is organized (World Health Organization, 2015). The need for new models that enable patient-centered services and a shift from hospitalcentered systems to more integrated care structures is highlighted (European Commision, 2018). The increasing use of digital technologies have changed how and where care is delivered, e.g., remote care, telecare, telehealth (Bardhan et al., 2020). The terms telecare, telemedicine and telehealth are often used interchangeably, however, we use the term remote care which "involves the delivery of health and social care to individuals within the home or wider community with the support of ICT enabled systems" (Barlow, Hendy, & Chrysanthaki. 2012, p.2). Recent studies in the CSCW field have emphasized how remote care technologies have changed the traditional interactions between patients and health professionals (Andersen et al., 2018; Bardram et al., 2005) and how the role of patients has transformed from care receivers to active data generators (Cerna et al., 2020). Most of the CSCW literature on remote care technologies has studied the design and use of these technologies on relatively small scales for specific group of patients with specific health conditions. However, we still have limited insights into how these technologies can be scaled and what the implications of scaling for patients, health professionals and their collaborative interactions are.
Research setting and method
This position paper reports preliminary findings from a research project called "DigiRemote", which aims to identify infrastructural and institutional challenges to scale up digital technologies for remote care in Norway and China. We investigate a digital health care system which is developed by a Norwegian IT company. The technological solution is proposed as an integrated collaborative solution that consists of a web-based patient monitoring portal and a patient mobile application, as well as a set of integrated measuring devices. The webbased patient monitoring portal is developed for health professionals to handle digital home follow-up, which integrates a range of patient-driven medical devices that support home-based care, such as medical measurements, symptom reporting and rehabilitation. In addition, a mobile application is designed for patients' end. It is used in combination with relevant measuring equipment, which automatically transmits the measurement results via Bluetooth to the patient's tablet or smartphone. The measurement results are immediately visible to the patient application where they can also answer clinical questions and register symptoms and side effects. The results are simultaneously transferred to webbased portal so that health personnel can follow up the values that come in and provide individual follow-up. The solution is integrated with a number of wearable measuring devices to support their patients to perform measuring at home, for example, for measuring blood pressure, weight, temperature, pulse, etc.
The study is designed as a longitudinal case study in Norway and China, respectively. Data collection involves semi-structured interviews, observation, and archival document (Walsham, 1995). The same solution has been implemented in both cases; however, the cases represent different cultural, organizational, and clinical settings. For instance, the Chinese side has a particular focus on post-operative thoracic and cardiac surgery patients. On the other hand, the Norwegian side has a broader scope and includes chronic patients who need follow-up by the health professionals. Several pilots with chronic illness patients have been taken place in Norway, using the solution for remote care in Norwegian primary healthcare services. Experience and evaluations will be shared and used as inputs to the clinical studies that have been carried out in two Chinese hospitals.
The Norwegian case studies
The use of digital remote care in Norway has mainly been driven by national strategies and six municipalities in Norway have participated in the national program for the use of digital remote care that lasted from 2018 to 2021. The overall goal of the national program was to gain knowledge about the use of digital remote care to provide national recommendations for further implementation and scaling of the service. Thus, the experiences from the national program have been continued in new projects and scaled to new users and care settings.
The results of the national program have recently been published and showed promising results such as increased safety and quality of life for patients as well as improved interaction between health professionals (The Norwegian Directorate of Health, 2022). However, challenges were also identified during the pilot period, such as the need to improve the interaction between the home care service, GP's and hospitals. The digital solution has so far mainly been offered to patients suffering from chronic diseases that are followed up by municipal home services. However, these patient groups usually have frequent contact with the hospital service and a challenge has been to integrate patient-generated information with electronic patient records used at the hospital. For example, patient generated information can be valuable to clinicians in the hospital; however, they do not have the ability to follow up daily measurements for all patients. There is thus ongoing work to adapt the digital solution to different needs, roles, and responsibilities in a new integrated solution.
Digital remote care technologies have also been scaled to new care settings such as digital outpatient clinics. Ongoing activities involve digital follow-up of patients who need long-term follow-up, such as patients with diabetes, lung diseases, epilepsy, cancer and so on. These patient groups need regular follow-up by health professionals and are traditionally performed by physical attendance at the nearest hospital. Digital remote care is considered an opportunity for more person-centered follow-up for these patients, and it is expected that selfmonitoring of vital sign and symptoms will provide more continuity in the followup of the patients. Digital follow-up entails change of patient-clinician interactions and ongoing activities include designing a new service that is adapted to the needs of different patient groups.
The Chinese case studies
The integrated collaborative solution has been implemented in two hospitals in Shanghai, China since 2021, respectively. One hospital is specialised in thoracic surgery and the other is specialised in cardiac surgery. The goal is to enrol 1,000 patients who are undergoing thoracic and cardiac surgery rehabilitation and establish a corresponding database for patient follow-up. At present, the two hospitals are still in the process of patient enrolment, which has been experiencing disruption due to COVID-19. The enrolled patients have completed the informed consent before discharge, and completed the filing, registration, and management of the case report form.
The two hospitals had different strategies in terms of personnel who participated in the study. One hospital invested twelve doctors, while the other invested five doctors and seven nurses. We observed that their strategies of personnel arrangement had an interesting impact on their respective experience of implementing and scaling the solution. The purpose of enabling the solution for remote care is to bring patients and clinicians closer together. Nevertheless, the digital technology itself is merely a tool to support and enhance the two hospitals' existing healthcare services. What is ultimately provided to their patients is health care service per se, which needs their own clinical teams to deliver. Therefore, it was important for the hospitals to equip themselves with the competencies needed for delivering high-quality health care services to their patients, and act proactively in investing time and effort to learn, use, and implement the proposed solution. This identified factor can be associated with the organisational and leadership level which has been reported in the previous studies (Aaen, 2021; Barlow, Curry, et al., 2012; Barlow, Hendy, et al., 2012).
Conclusion
We have briefly introduced the comparative case studies that are currently in progress in Norway and China. Scaling is the process of extending the scope of digital systems by adding new users and/or functionalities (Sahay & Walsham, 2006). We have illustrated the need to reconfigure the interaction between patients and clinicians. However, DigiRemote project is still at its early stage, we will continue investigating how needs, responsibilities, and concerns are aligned in the new digital service.
Acknowledgments
The DigiRemote project (No. 310137) has received funding from an IKTPLUSS-IKT and digital innovation grant from the Research Council of Norway.
References
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Bardhan, I., Chen, H., & Karahanna, E. (2020). Connecting systems, data, and people: A multidisciplinary research roadmap for chronic disease management. MIS Quarterly: Management Information Systems, 44(1), 185–200.
Bardram, J. E., Bossen, C., & Thomsen, A. (2005). Designing for Transformations in Collaboration – A Study of the Deployment of Homecare Technology. Proceedings of the 2005 International ACM SIGGROUP Conference on Supporting Group Work, 294–303.
Barlow, J., Curry, R., Hendy, J., & Taher, N. (2012). Developing the capacity of the remote care industry to supply Britain's future needs.
Barlow, J., Hendy, J., & Chrysanthaki, T. (2012). Scaling-up remote care in the United Kingdom: Lessons from a decade of policy intervention. Assistive Technology Research Series, 30, 223–236.
Cerna, K., Grisot, M., Islind, A. S., Lindroth, T., Lundin, J., & Steineck, G. (2020). Changing Categorical Work in Healthcare: the Use of Patient-Generated Health Data in Cancer Rehabilitation. Computer Supported Cooperative Work: CSCW: An International Journal, 29(5), 563–586.
European Commision. (2018). Communication from the Commision to the European Parliament, The Counsil, The European Economic and Social Commitee and the Commitee of the Regions "on enabling the transformation of health and care in the Digital Single Marked: empowering citizens and building a healthier society.
https://ec.europa.eu/info/publications/economy-finance/joint-report-health-care-and-longSahay, S., & Walsham, G. (2006). Scaling of health information systems in India: Challenges and approaches. Information Technology for Development, 12(3), 185–200.
The Norwegian Directorate of Health. (2022). Digital hjemmeoppfølging-sluttrapport fra nasjonal utprøving. https://www.helsedirektoratet.no/rapporter/digital-hjemmeoppfolgingsluttrapport-fra-nasjonal-utproving-2018-2021
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SHORT REPORT
Open Access
Effect of different shielding conditions on the stability of Cisplatin
Tomoya Abe 1,2 , Daigo Matsumoto 1 , Toshiaki Nakayama 1 , Yukinari Shimazaki 1 , Atsunobu Sagara 2 , Dan Kanehira 2,3 , Takuya Azechi 4 , Fumiaki Sato 2 , Hiroyasu Sakai 5 , Tetsuro Yumoto 2* and Junzo Kamei 5
Abstract
Background: Because cisplatin (CDDP) decreases upon light exposure, it is necessary to prevent such exposure during administration. However, the shielding conditions employed are not uniform. Therefore, in this study, we examined the shielding effects of four shading covers, which are commonly used to ensure the stability of CDDP in clinical settings.
Methods: Four shielding conditions, along with a control, were tested under a 1000-Lux white fluorescent lamp at room temperature: aluminum foil (Al), brown shading cover (BSC), yellow shading cover (YSC), milky-white antiexposure cover (MAC), and no shading cover (NSC). Under each shielding condition, the relationship between the wavelength and transmittance was monitored in the range of 200–800 nm. CDDP was diluted to three concentration levels: 50, 100, and 250 μg/mL. Furthermore, the amount of remaining CDDP and the pH in the solutions were measured for 120 h.
Results: We found that BSC, YSC, and MAC conditions allowed various levels of transmittance; however, Al could not completely transmit light at all wavelengths. Moreover, we showed that the CDDP decreased under MAC and NSC conditions in a time-dependent manner, whereas this decrease was prevented under Al, BSC, and YSC conditions till 120 h. We also demonstrated increases in pH under MAC and NSC conditions in a time-dependent manner, which was prevented under Al, BSC, and YSC conditions till 120 h. Similar results were observed for all three CDDP concentration levels. The results also indicated the approximate relationship between the amount of remaining CDDP and the pH increase.
Conclusions: Considering the opacity of each cover, our results suggest that BSC and YSC are useful and effective for minimizing CDDP degradation in clinical settings. Our results also indicate the alternatives for preparing, storing, and administering CDDP in clinical facilities, making the treatment schedule more flexible. Cumulatively, these findings indicate that the use of the appropriate shading covers, such as BSC or YSC, prevents the decrease in CDDP under fluorescent lighting, potentially contributing to achieving its full therapeutic effect.
Keywords: Cisplatin, Stability, Shading cover, pH, HPLC, Chemotherapy
* Correspondence: email@example.com
Division of Pharmacy Professional Development and Research, Hoshi
2
University School of Pharmacy and Pharmaceutical Sciences, 2-4-41 Ebara,
Shinagawa-ku, Tokyo, Japan
Full list of author information is available at the end of the article
© The Author(s). 2020 Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article's Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/ The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data.
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Background
Cisplatin (CDDP), a platinum-based drug, is the most potent anti-cancer agent and is widely used for cancer treatment [1]. In particular, it plays crucial roles in treating lung, gastric, and ovarian cancers [2–4]. The dosage and administration of CDDP have been determined in accordance with certain regimens for each type of cancer. For anti-cancer agents such as dacarbazine, it has been reported that the provision of appropriate shielding conditions affects the treatment and patient's quality of life [5]. Such shielding is important to maintain the stability of the drugs because of the differences in the drug preparation method and administration schedule depending on the regimen. Regarding the stability of CDDP, the instructions detailed in the package insert mention that CDDP stability is affected by the concentration of chloride ions in the solution and exposure to light [6]. The instructions also state "mix with saline solution" and "avoid exposing to light if the administration lasts for an extended time period" [6]. Moreover, the supplemental information provided by manufacturers on the Japanese drug interview form of CDDP is limited to the stability testing of one dilution condition, namely, taking 10 mg of the drug to make up 500 mL of solution, monitored under 500 Lux fluorescent light for up to 24 h [7]. Although Zieske et al. have reported that both an increase in pH and exposure to short-wavelength light (350–490 nm) influence the stability of CDDP [8], the details of the conditions that maintain the stability of CDDP have not been clarified.
Therefore, the set dilution conditions of CDDP and the methods employed for light shielding upon CDDP administration vary with different medical institutions. Although there are several regimens comprising CDDP, especially the ESHAP regimen, some have a long treatment time and may need to be shielded appropriately [9]. Therefore, the appropriate shading conditions of CDDP may affect the patient's therapeutic efficacy and quality of life.
In this study, we analyzed the effects of four shading covers, which are commonly used in clinical settings, on the stability of CDDP. We aimed to determine an effective method for maintaining CDDP stability using tools implementable in clinical settings.
Methods
CDDP solution
Randa®, which is a brand-name drug of CDDP (Nippon Kayaku, Tokyo, Japan), was used in this study; it was diluted to 250, 100, and 50 μg/mL using saline (Otsuka Pharmaceutical Factory, Tokushima, Japan). The container (Otsuka Pharmaceutical Factory) used in this study was made of polyethylene. Previous studies have reported that CDDP is not affected by degradation using a polyethylene container [ 10 – 13 ].
Illuminance conditions
A 1000-Lux fluorescent lamp was used the lighting source. The reason for using this level of illuminance was to ensure exposure to more severe conditions than those used in the Randa® stability test (500 Lux) [7], after considering the general recommendations of lighting levels under the Japanese Industrial Standard (JIS Z9110–2010) for insurance-system-affiliated medical institutions (patient rooms: 100 Lux, hallways: 200 Lux) [14].
Shading conditions
Four shielding conditions were tested: aluminum foil (Al), brown shading cover (BSC; Terumo Corporation, Tokyo, Japan), yellow shading cover (YSC; Safemick®, JMS Co. Ltd., Hiroshima, Japan), and milky-white antiexposure cover (MAC; Chemo Cover®, Palmedical Co., Tokyo, Japan), along with no shading cover (NSC) as control.
Measurement of light transmittance/quantification and pH testing of CDDP
To study the relationship between the wavelength and light transmittance of the four light-shading covers for CDDP stability, we used a UV-visible spectroscope, UV1850 (Shimadzu, Kyoto, Japan). The transmittance of the light-shading covering a wide range of wavelength (200– 800 nm) was monitored. For quantification and pH testing of CDDP in a timely manner, we collected the CDDP samples at 0, 3, 6, 24, 48, 72, 96, and 120 h. Quantification and pH testing of CDDP was performed according to the Japanese pharmacopoeia seventeenth edition (JP17). (Additional file 1: Fig. S1 and Additional file 2: Fig. S2).
Results
Figure 1 shows the transmission characteristics of each shading cover, namely, Al, BSC, YSC, and MAC, in the wavelength range of 200–800 nm. A previous study has reported that light absorption in the ca. 250–450 nm region results in cisplatin decomposition [15]. Although we measured a wide range of wavelengths to confirm the characteristics of each shading cover, we particularly focused on the 300–450 nm region on the basis of this previous study. Al could not completely transmit light at all wavelengths. BSC started to show some light transmittance at 440 nm. Similarly, YSC started to show some light transmittance at 440 nm. The MAC started to show some light transmittance with a slow increase at 340 nm; the transmittance reached approximately 40% at 440 nm. Therefore, we found that the shading covers
Fig. 1 Light transmittance properties of the shielding cover
exhibited various different characteristics regarding their transmittance.
To investigate the usefulness of each shading cover, using HPLC we measured the amount of remaining CDDP over 120 h for three concentrations: 250 μg/mL (high), 100 μg/mL (intermediate), and 50 μg/mL (low). First, under the non-shading (NSC) conditions with a high concentration, the amount of remaining CDDP decreased in accordance with a first-order reaction, because photodegradation of CDDP followed firstorder kinetics as indicated by Additional file 3: Fig. S3 and Additional file 4: Fig. S4. Under the MAC conditions with a high concentration, the remaining CDDP also decreased in a time-dependent manner, indicating that the MAC could not suppress the degradation of CDDP (Additional file 4: Fig. S4). On the other hand, there was no change in the amount of remaining CDDP under the shading conditions using Al, BSC and YSC with a high concentration. These results indicated that Al, BSC, and YSC could completely suppress the degradation of CDDP (Table 1). The trends for intermediate and low concentration levels were similar to those for high concentration levels regarding the amount of remaining CDDP and degradation rate constant for each shading cover (Table 1 and Additional file 5: Table S1).
CDDP is stable in saline for 30 days as long as it is not exposed to light [16]. Our results also showed that the amount of remaining CDDP decreased in a time-dependent manner under NSC conditions. Because there was no a difference in transmittance under BSC and YSC conditions at 440 nm, there was no change in the amount of remaining CDDP. Alternatively, since BSC/YSC started to show some light transmittance at 440 nm and the transmittance of MAC reached approximately 40% at 440 nm, there was a difference in the amount of remaining CDDP between BSC/YSC and MAC. Consistent with a previous study [15], these abovementioned results might indicate that light with a wavelength of ≤ ca. 440 nm reduces the amount of remaining CDDP.
Discussion
In this study, to explore the appropriate shading conditions of CDDP, we investigated each wavelength and transmittance using different shielding covers, namely, Al, BSC, YSC, MAC, and NSC. Under each shading condition and a 1000-Lux fluorescent lamp, we examined the amount of remaining CDDP and the pH change. Karbownik et al. previously reported that
The drug interview form of Randa® Inj. indicates that CDDP is stable when the pH is < 6.89 [7]. Therefore, a change in pH can be considered as an indicator of the stability. The package inserts of several pharmaceutical companies manufacturing CDDP in Japan report the use of a pH adjuster and hydrochloric acid as additives [17–19]. These suggest that the solutions should be kept acidic to maintain the stability of CDDP. To support the results regarding the amount of remaining CDDP, we next examined the increase of pH under each shading cover. Consistent with the results showing a decrease in CDDP levels, we observed that the pH in the solution gradually increased in a time-dependent manner under NSC and MAC conditions. Moreover, because the amount of remaining CDDP was maintained under Al, BSC, and YSC conditions, there was no increase in pH. Taken together, these results demonstrated that the relationship between the remaining CDDP and pH change was matched partially but not
Table 1 The remaining CDDP and pH increase in a time-dependent manner under each shading condition
Data of the remaining CDDP (pH increase) represent the mean with SD of three independent samples. a < 90%, b < 80%, and c < 70% shows the remaining CDDP compared to 0 h data. Al: aluminum foil, BSC brown shading cover, YSC yellow shading cover, MAC milky-white anti-exposure cover, and NSC no shading cover completely. Therefore, we found that CDDP degradation was only one factor that increased the pH (Additional file 6 : Fig. S5).
Conclusion
Considering the opacity of each cover, we suggest that BSC and YSC are useful and effective for minimizing CDDP photodegradation in a clinical setting. In particular, the use of BSC or YSC should be recommended when CDDP administration exceeds 6 h. Alternatively, although MAC has lower shielding capability than the other shading covers (Table 1), considering the need to prevent the exposure of CDDP, BSC + MAC or YSC + MAC might be also recommended.
The obtained results also indicate the alternatives for preparing, storing, and administering CDDP in clinical facilities, making the treatment schedule more flexible.
Cumulatively, the findings obtained in this study indicate that the use of appropriate shielding covers, such as BSC or YSC, would prevent the decrease in CDDP under fluorescent lighting and might contribute to achieving full therapeutic effect.
Supplementary information
Supplementary information accompanies this paper at https://doi.org/10. 1186/s40780-020-00163-x.
Additional file 1 : Figure S1. HPLC calibration curve of CDDP.
Additional file 2 : Figure S2.
Chromatogram used for the quantification of CDDP.
Additional file 3 : Figure S3. The amount of remaining CDDP in a time-dependent manner of NSC 250 (a), 100 (b) and 50 (c) μg/mL. Data represent the first-order reaction and degradation rate constant.
Additional file 4 : Figure S4. The amount of remaining CDDP in a time-dependent manner of MAC 250 (a), 100 (b) and 50 (c) μg/mL. Data represent the first-order reaction and degradation rate constant.
Additional file 5 : Table S1. Degradation rate constant of the firstorder reaction under each CDDP concentration under MAC and NSC.
Additional file 6 : Figure S5. The amount of remaining CDDP (●) and pH (▲) in a time-dependent manner of NSC 250 μg/mL. These values represent the mean with SD of three independent samples.
Abbreviations
BSC: Brown shading cover; CDDP: Cisplatin; HPLC: High-performance liquid chromatography; MAC: Milky-white anti-exposure cover; NSC: No shading cover; RSD: Relative standard deviation; TPN: Theoretical plate number; YSC: Yellow shading cover
Acknowledgments
Not applicable.
Authors' contributions
Conceived the study: ToA, TY, and JK; Designed the experiments: ToA, DM, TN, YS, TY, and JK; Performed the experiments: ToA, DM, TN, YS, and DK; Analyzed the data: ToA, AS, TaA, FS, and TY; Wrote the paper: ToA, AS, HS, TY, and JK. All authors provided intellectual input and are responsible for the contents of the paper, including the data, analysis, and interpretation. The authors read and approved the final manuscript.
Funding
Not applicable.
Availability of data and materials
All the data generated or analyzed in this study are included in the published article.
Ethics approval and consent to participate
Not applicable.
Consent for publication
Not applicable.
Competing interests
The authors declare that they have no competing interests.
Author details
1 Department of Pharmacy, Saitama Children's Medical Center, 1-2 Shintoshin, Chuo-ku, Saitama, Japan. 2 Division of Pharmacy Professional Development and Research, Hoshi University School of Pharmacy and Pharmaceutical Sciences, 2-4-41 Ebara, Shinagawa-ku, Tokyo, Japan. 3 Department of Pharmacy, NTT Medical Center Tokyo, 5-9-22 Higashi-Gotanda, Shinagawa-ku, Tokyo, Japan. 4 Division of Applied Pharmaceutical Education and Research, Hoshi University School of Pharmacy and Pharmaceutical Sciences, 2-4-41 Ebara, Shinagawa-ku, Tokyo, Japan. 5 Department of Biomolecular Pharmacology, Hoshi University School of Pharmacy and Pharmaceutical Sciences, 2-4-41 Ebara, Shinagawa-ku, Tokyo, Japan.
Received: 2 August 2019 Accepted: 3 March 2020
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TC03808
Appeal number: TC/2013/06187
CORPORATION TAX – Loss relief – Yacht chartering business carried out on a commercial basis – Whether it was also carried out with a view to the realisation of profits of trade in the accounting periods for the years ended 31 March 2009 and 2010 (as required by s 393A (3) and (4) of the Income and Corporation Taxes Act 1988) and accounting periods for the years ended 31 March 2011 and 2012 (as required by s 44 Corporation Taxes act 2010) – Yes – Appeal allowed
FIRST-TIER TRIBUNAL TAX CHAMBER
BEACON ESTATES (CHEPSTOW) LTD
Appellant
- and -
THE COMMISSIONERS FOR HER MAJESTY'S Respondents REVENUE & CUSTOMS
TRIBUNAL:
JUDGE JOHN BROOKS MRS NORAH CLARKE
Sitting in public at Caradog House, St Andrews Place, Cardiff on 2 July 2014
David Whiscombe, instructed by Guilfoyle Sage LLP Chartered Accountants, for the Appellant
Simon Foxwell, of HM Revenue and Customs, for the Respondents
© CROWN COPYRIGHT 2014
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1. The principal business activities of the appellant, Beacon Estates (Chepstow) Limited (the "Company"), include construction, investing and managing industrial and commercial property. However, an invitation to travel aboard a yacht in the Mediterranean in the mid-1990s gave the director of the Company, Mr Edward Hayward who gave evidence before us, the idea that the purchase of a yacht for chartering could be a profitable diversification for the Company, especially given the then buoyant state of the UK and world economy. He therefore engaged Yacht Brokers International ("YBI"), based on the French Mediterranean coast, to locate a vessel suitable for commercial charters for the Company to acquire on the understanding that should YBI do so the yacht would subsequently be marketed and managed by them on behalf of the Company.
2. After having considered some 30 yachts in various locations throughout the Mediterranean over an 18 month period the Company purchased Supertoy in 1998. 15 She is a 92 foot motor yacht with 12 guest berths and a crew of five built in 1993 by the Kha Shing Ets shipyard and crewed throughout the year with three crew retained in the off season (October to April). The yacht is based in the Port Vauban, Antibes, France.
3. The daily charter rate for Supertoy is approximately €8,000 with the weekly rate 20 of approximately €35,000 with expenses such as fuel being the responsibility of the customer. Mr Hayward told us that to make a profit it is necessary for Supertoy to be chartered for 80 days a year and that he charters the yacht for himself and his wife for two weeks each year at the commercial rate taking two to six other people with them.
4. However, before the Company could make Supertoy available for charter it was 25 necessary to upgrade her to full commercial charter status in compliance with French regulations. Therefore despite the vessel being promoted by YBI and a website developed for this purpose the Company made losses of £51,393, £45,114 and £61,059 during the first three years of its chartering activities, its accounting periods ended 31 March 1998, 1999 and 2000 respectively. However, in its subsequent 30 accounting periods, the years ended 31 March 2001 and 2002, the Company made profits of £77,243 and £103,949.
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5. In 2003 Supertoy suffered what Mr Hayward described as a "catastrophic engine failure" despite her engines having only been used for 500 hours. As the warranty period for engines had passed the German manufacturers refused to remedy the defect and, after further delays, it became apparent that it was necessary to purchase new engines. These cost €134,000 and were fitted by the manufacturer's French agents. However, during subsequent sea trials it became apparent that there were serious vibration problems with the new engines and it was eventually discovered that the wrong type of engines had been fitted. By this time the French agent of the German manufacturers had gone out of business and the Company therefore commenced legal action against the manufacturers through the French Courts.
6. This litigation is currently in progress and to date has cost the Company approximately €350,000. A further hearing in France is due in October 2014.
7. At about the time of the commencement of the litigation the Company was introduced to a Belgian company which was able to rebuild the engines to render them compatible with the design of the yacht. This work took place over a period of six months and was completed in 2008 at a cost of €130,000.
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8. During the period between 2003 and 2008, when the engines were out of action, any chartering of Supertoy was limited to "static charters", ie the yacht was moored in one place throughout the charter either at Antibes or at nearby Cannes and did not go to sea. Although the Company did manage to achieve some charter income during this time it did not prevent losses amounting to £927,000 being suffered over the period. Once the repairs had been completed the process of marketing Supertoy for charters could resume but, given the time the yacht was unavailable for anything other than static charters, this was, as Mr Hayward explained like, "starting from scratch".
9. The Company's difficulties in promoting charters in 2008 were exacerbated by 15 the banking crisis and subsequent global recession which had a devastating effect on the yacht charter market and as a result the Company suffered further losses totalling £1,005,000 between 2009 and 2012. This was despite the appointment of new agents, CSO Yachts, to replace YBI which had ceased trading in 2008.
10. Although Mr Hayward said that "all boats are always for sale" and had 20 considered whether Supertoy should be sold to "cut the losses" of the Company he did not believe it to be in the bests interests of the Company to sell the yacht but is of the view that as confidence returns to the international economy demand for yacht charters will return which will enable the Company's chartering venture to return to profit. An email produced at the hearing from CSO Yachts to the Company shows 25 that in 2014 Supertoy had either been chartered or booked for charter for 40 days, although 16 of these days were bookings made by Mr Hayward.
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11. On 4 March 2008 HMRC commenced an enquiry into the Company's accounts for the year ended 31 March 2006 accounts. Although a number of issues were raised the only matter outstanding is the allowability of the losses generated by the yachting activity. Following correspondence and meetings between the parties HMRC issued the following corporation tax assessments:
(1) Accounting period ended 31 March 2009 – Profit £104,923;
(2) Accounting period ended 31 March 2010 – Profit £62,444;
(3) Accounting period ended 31 March 2011 – Profit £143,271; and
(4) Accounting period ended 31 March 2012 – Profit 153,300.
The tax at stake is approximately £122,500 and although the Company had suffered losses as a result of its chartering activities in earlier years these have been accepted as allowable by HMRC.
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12. The Company appealed to HMRC against the 2009, 2010 and 2011 assessments on 6 June and the 2012 assessment on 20 June 2013. Its Notice of Appeal against all assessments was sent to the Tribunal on 29 August 2013.
Law
13. Insofar as it applies to the present case, s 393A(3) and (4) of the Income and 5 Corporation Taxes Act 1988 ("ICTA") provides:
(3) …. a loss incurred in a trade in any accounting period shall not be relieved under [sub-s (1) of 393A)] unless–
(a) …
(b) for that accounting period the trade was being carried on on a commercial basis and with a view to the realisation of gain in the trade.
… .
…
(4) For the purposes of subsection (3) above–
(a) where at any time a trade is carried on so as to afford a reasonable expectation of gain, it shall be treated as being carried on at that time with a view to the realisation of gain.
14. These provisions were considered by the Tribunal (Judge Walters QC and Ms Folorunoso) in Glapwell Football Club Ltd v HMRC [2013] UKFTT 516 (TC) as follows:
"66. … it was argued by HMRC that the appeals ought to be dismissed because there was no reasonable expectation of gain in the trade carried on by GFC at any relevant time, that is, at the end of GFC's February 2008 Period and in GFC's September 2008 Period and GFC's 2009 Period.
67. That argument addresses the test set out in section 393A(4)(a) ICTA, where it is stated that, for the purposes of section 393A(3), where at any time a trade is carried on so as to afford a reasonable expectation of gain, it shall be treated as being carried on at that time with a view to the realisation of gain.
68. The argument does not however address the question directly posed by section 393A(3) – if it is a different question – namely, whether the trade was being carried on with a view to the realisation of gain in the trade.
69. That would be a different question if the view was taken – as a matter of interpretation – that section 393A(4)(a) added a further test for the relief of losses to that provided by section 393A(3), namely that even if a trade was not being carried on with a view to the realisation of gain in the trade, losses could be relieved if it was being carried on so as to afford a reasonable expectation of gain.
70. Considering only the statutory language, we regard this as a tenable interpretation, so that there would be two routes to the relief of losses,
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the first being that a company's trade was actually being carried on with a view to the realisation of gain – which would be a matter of establishing the subjective intentions of the directors, and the second being that the trade was being carried on so as to afford a reasonable expectation of gain – which would be a matter of establishing the objective circumstances in which the trade was being carried on.
71. However, the result of such an interpretation would be that losses would be relieved if a trade was not (objectively) being carried on so as to afford a reasonable expectation of gain, provided that it was (subjectively) being carried on with a view to the realisation of gain in the trade. On the whole, we regard this as being a perverse result and probably not in accordance with the intention of Parliament when the legislation was enacted. Construing the legislation purposively, we disregard it.
72. We prefer the interpretation, effectively that addressed by HMRC's submissions, that section 393A(4)(a) applies to clarify the test in section 393A(3)(b), so that the test there stated – 'carried on with a view to the realisation of gain in the trade' – means 'carried on so as to afford a reasonable expectation of gain in the trade'.
73. ….
74. Another point which occurs to us on the statutory language, which was not addressed at any length by the parties in submissions, is the evident requirement that a gain of which there is, for the purposes of section 393A(4)(a) ICTA, a reasonable expectation, must be a gain in the same trade as the trade in which the losses, which are sought to be relieved, have been incurred."
15. In MacDonald (Inspector of Taxes) v Dextra Accessories Ltd and others [2005] STC 1111, the House Lords considered the interpretation of s 43(11)(a) Finance Act 1989 which extended the rule on non-deductibility to "potential emoluments" which were defined as "amounts or benefits … held … with a view to their becoming relevant emoluments". Lord Hoffman (with whom Lords Nicholls, Hope, Scott and Walker agreed) said, in relation to "with a view":
"13. "The Special Commissioners (Dr John F Avery Jones and Edward Sadler) [2002] STC (SCD) 413 rejected the Revenue's argument. They said that funds were held "with a view to becoming relevant emoluments" only if the purpose of the contributing company was that they should be used to pay emoluments. In this case, the terms of the trust deed showed that the contributing companies had other purposes as well.
14. On appeal, Neuberger J [2003] EWHC 872 (Ch); [2003] STC 749 upheld the Special Commissioners. He did not agree that the purpose for which the companies made the payments was decisive. The question was whether they were held by the intermediary, the trustee, with a view to becoming relevant emoluments. That depended primarily upon the terms of the trust, read against the surrounding circumstances, rather than the purposes of the contributors. Nor did he agree that the exclusive purpose had to be the payment of emoluments.
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But he said that it had to be the principal or dominant intention of the trust. On the facts, the trust deed did not demonstrate such an intention.
15. The Court of Appeal (Potter and Jonathan Parker LJJ and Charles J) [2004] EWCA Civ 22; [2004] STC 339 accepted the submissions of the Revenue and allowed the appeal. Jonathan Parker LJ said, first, that if Parliament had intended that the funds should be held, as the Special Commissioners thought, for the sole purpose of paying emoluments, or as Neuberger J thought, with the principal or dominant intention of paying emoluments, Parliament would no doubt have used such expressions, which are by no means unfamiliar in tax legislation. Furthermore, the notion of the trustees having an intention, dominant or otherwise, in respect of the use of the fund in advance of an occasion to exercise their discretionary powers would be artificial and possibly unlawful. Their only intention would be to act (if at all) within the powers conferred by the deed. So the question must be answered solely by reference to the terms of the deed, construed no doubt in the light of any relevant background.
16. Secondly, Jonathan Parker LJ pointed out that the subsection is concerned with what may happen in the future, rather than (as in some other statutes which used the expression "with a view to") an examination of the reasons, motives or purposes with which some action was done in the past. That element of futurity, combined with the statutory label "potential" emoluments, suggested that Parliament was concerned simply with what might realistically happen.
17. The Court of Appeal therefore decided that the funds were held with a view to becoming relevant emoluments if they were held on terms which allowed a realistic possibility that they would become relevant emoluments.
18. I agree with the Court of Appeal, largely for the reasons given by Jonathan Parker LJ. …"
16. Following the tax law re-write project, legislation relating to corporation tax was consolidated in the Corporation Tax Act 2010 ("CTA") albeit with the replacement of what was perceived to be archaic language and impenetrable terminology with its modern equivalents. However, despite the different language, as consolidating legislation, the CTA does not change to law.
17. Section 44 CTA, which applies for accounting periods ended after 1 April 2010, provides:
(1) Relief under section 37 [relief for trade losses against total profits] is not available for a loss made in a trade unless for the loss-making period (see section 37(3)(a)) the trade is carried on—
(a) on a commercial basis, and
(b) with a view to the making of a profit in the trade or so as to afford a reasonable expectation of making such a profit.
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18. In the present case s 393A ICTA applies to the accounting periods ended 31 March 2009 and 2010 and s 44 CTA to the accounting periods ended 31 March 2011 and 2012.
Issue
19. HMRC accept that in this case the Company did carry on the yacht chartering business on a commercial basis between 1 April 2008 and 31 March 2012.
20. Therefore, the issue for us to determine is whether this business was undertaken with a view to making a profit or so as to afford a reasonable expectation of making such a profit so that any loss arising as a result of the chartering activities will be available for relief against profits arising from the other trading activities of the Company during this period.
Submissions
21. Mr Whiscombe, for the Company, submitted that the legislation envisaged a two part test, namely that the trade must either subjectively be carried on with a view to making a profit or objectively carried on so as to afford the reasonable expectation of making a profit.
22. Although such an approach had been described by the Tribunal in Glapwell as a "tenable interpretation" of s 393A ICTA it went on to reject such an interpretation, at [71], as "perverse". However, Mr Whiscombe contended that by conflating these alternative tests the Tribunal in Glapwell had wrongly interpreted the legislation and, as such should not be followed. He submitted that this was clear from s 44 of the CTA which, as a consolidating Act, did not change the law but provides for relief of losses where the trade is carried on "with a view to the making of a profit in the trade or so as to afford a reasonable expectation of making such a profit" (emphasis added) which clearly envisaged two tests, if this were not the case he submitted "and" rather than "or" would have been used in the section.
23. Given that the legislation before the House of Lords in Dextra, like that before us in the present case, concerned what may happen in the future Mr Whiscombe suggested that it was appropriate for us to adopt the same approach and interpret "with a view" to mean "allow a realistic possibility" or "what might realistically happen". If so he contended that, despite its earlier losses which could be explained by the engine failure, the time taken for repairs, the ongoing litigation with the engine manufacturers not to mention the economic crisis of 2008 and subsequent global recession, the Company did have a realistic possibility of making a profit in the yacht chartering trade. Alternatively it had a reasonable expectation of making such a profit and emphasised that the legislation did not impose a time limit by which the Company was required to make the trade profitable.
24. Mr Foxwell, for HMRC, accepted that there was no time limit for the trade to return a profit but, applying the interpretation of the legislation as in in Glapwell which he submitted was correct, contended that in the present case the Company did
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not carry out its chartering activities so as to afford a reasonable expectation of the realisation of a gain or profit in the trade.
25. In support of his submission Mr Foxwell emphasised the losses suffered by the Company as a result of its chartering activities and submitted that had this not been supported by the Company's other business interests but been operated as a standalone business it would have failed. In the circumstances he submitted that the Company could only have a reasonable expectation of the realisation of a gain or profit in the trade if it relied on the following unreasonable assumptions:
(1) That Supertoy would require no further maintenance or upgrading;
(2) That there would be a large increase in customers willing to charter the yacht in the busy market given the age of the vessel; and
(3) That there would be no further unexpected economic shocks such as the 2008 banking crisis and subsequent global recession.
Discussion and Conclusion
26. Like the Tribunal in Glapwell we first consider the interpretation of the 15 legislation before analysing the evidence facts of the case and, as in Glapwell find the two part construction advanced by Mr Whiscombe to be a "tenable interpretation" of the statutory language. However, we share the concerns expressed at [71] of Glapwell that:
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"… the result of such an interpretation would be that losses would be relieved if a trade was not (objectively) being carried on so as to afford a reasonable expectation of gain, provided that it was (subjectively) being carried on with a view to the realisation of gain in the trade."
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Although the Tribunal rejected this interpretation of s 393A(3) ICTA as "perverse result", the observations of the House of Lords in relation to the expression "with a view" in Dextra, or indeed any other authority, were not brought to its attention.
27. As Mr Whiscombe submitted the legislation considered by the House of Lords in Dextra, s 43(11)(a) Finance Act 1989, like s 393A(3) ICTA and s 44 CTA is concerned with something that may happen in the future and we agree with him that it is appropriate for same approach to be applied in the present case so that "with a view" should be interpreted to mean "allow a realistic possibility" or "what might realistically happen." In our judgment such an approach imports an objective element into whether the trade was carried on "with a view" to the realisation of gain or making a profit in the trade, something recognised by Mr Whiscombe who accepted that the "view" in question must be a reasonable one.
28. Therefore, although we consider that carried on "with a view" in the legislation should be construed as meaning "with a realistic possibility" to the realisation of gain (s 393A(3)(b) ICTA) or making a profit (s 44(1)(b) CTA) in the trade the result is similar to the "objective test" interpretation of s 393A(3)(b) ICTA by the Tribunal in Glapwell, at [72] (see above).
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29. Before applying this test to the facts of the present case we note that the legislation does not impose any time limit for a profit to be achieved by the trade. Neither does the legislation require any profit to be sufficient to recover the losses made, only that there is a realistic possibility or reasonable expectation of a profit or gain being made.
30. In the present case the Company engaged agents, YBI to find a suitable vessel for chartering and, once Supertoy had been acquired and upgraded to full commercial charter status in compliance with French regulations, market and manage her for chartering. When YBI failed new agents, CSO Yachts, were engaged for this purpose. Given the need to comply with French regulations and the requirement to be always available and near at hand in relation to any issues that may arise as a result of a charter we consider the appointment of Mediterranean charter agents, rather than a hands-on approach by the Company, to make commercial sense. Clearly, as HMRC accept, this is a business carried on a commercial basis.
31. While there is no doubt that the chartering activities of the Company did incur significant losses both before and during the periods with which we are concerned, which may have caused a stand-alone yacht chartering business to fail, we find that there are reasonable explanations for these losses which include the re-fitting of the yacht to bring her up to the requisite standard for commercial chartering, the "catastrophic" engine failure and subsequent problems arising as a result including the ongoing litigation and the effect of the banking crisis of 2008 and worldwide recession on the Mediterranean yacht chartering market.
32. However, the issue posed by the legislation does not require us to consider previous losses but whether there is a realistic possibility or reasonable expectation of the Company making a profit or gain from its chartering activities in the future. After careful consideration, we have come to the conclusion that there is. Charters have been agreed for 2014 and the yacht, which meets the regulations for commercial motor yachts, is marketed and managed through professional charter agents.
33. For these reasons the appeal is allowed
Right to Apply for Permission to Appeal
34. This document contains full findings of fact and reasons for the decision. Any party dissatisfied with this decision has a right to apply for permission to appeal against it pursuant to Rule 39 of the Tribunal Procedure (First-tier Tribunal) (Tax Chamber) Rules 2009. The application must be received by this Tribunal not later than 56 days after this decision is sent to that party. The parties are referred to "Guidance to accompany a Decision from the First-tier Tribunal (Tax Chamber)" which accompanies and forms part of this decision notice.
JOHN BROOKS TRIBUNAL JUDGE
RELEASE DATE: 16 July 2014
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SUBMISSION TO ENTERPRISE & BUSINESS COMMITTEE INTO INTERNATIONAL CONNECTIVITY THROUGH WELSH PORTS AND AIRPORTS
ASSOCIATED BRITISH PORTS, SOUTH WALES
1. Introduction
1.1. This submission is made on behalf of Associated British Ports (ABP). ABP is the UK's leading and largest ports group with 21 port facilities and other transport related businesses around England, Wales and Scotland. ABP is a privately owned company.
1.2. ABP very much welcomes this Inquiry into Ports in Wales and the interest it shows in a sector of major strategic and economic importance.
1.3. Associated British Ports operate five major ports in South Wales; Newport, Cardiff, Barry, Port Talbot and Swansea. These ports are important gateways for trade and also support major manufacturing on sites contiguous to the ports, such as Corus, Dow Corning and Celsa. The five ports lie on the northern shore of the Bristol Channel and are established as major ports in South Wales but also importantly as a key hub for servicing a hinterland that extends to the Midlands, southwest of England, M4 and M5 corridors and London.
1.4. Seaports are unique assets in providing multi-modal hubs to users, combining connections between road, rail and sea. The South Wales ports all have direct links to the national rail network, the UK motorway system, combined with deep-water berths able to accommodate some of the largest ocean going vessels.
1.5. In addition to being nodal points for import and export of cargo, ports provide locations for value added employment and investment from logistics providers through to manufacturers and retailers, and form part of the regional offering for attracting both UK and foreign investment. Ports close to the origin or destination of cargo can also minimise the environmental impact by utilising shipping, widely regarded as the most environmentally benign mode of transport.
2. Contribution of Welsh ports to the economy
2.1. The importance of ports to the economy is identified in a recent research paper "Associated British Ports and the Welsh Economy" (Welsh Economic Research Unit, Cardiff Business School and Welsh Enterprise Unit, University of Glamorgan – June 2004, updated 2009) which is attached for information. The research provides some key findings that illustrate the importance of ports as economic drivers for the Region. The fact that the activity of ABP and its tenants in South Wales directly and indirectly support £79.8 million per annum with a GVA of £34.2 million, and the activities of ABP's port tenants account for an estimated 9,711 FTE jobs, with a direct and indirect output of £2.78 billion and GVA of £902.5 million (2% of the Welsh total) clearly illustrates the salience and potential of the seaport.
Inquiry into international connectivity through Welsh ports and airports
February 2012
Evidence from Associated British Ports
2.2. The South Wales Ports are key assets to the region and the industries within, and have capacity for substantial growth bringing employment and inward investment to Wales.
2.3 Welsh ports have evolved in recent times, driven by the increasingly global nature of trade and the economy as well as the decline of the U.K. manufacturing sector and mining industry in Wales. In the last decade trade has generally grown steadily in the South Wales ports, closely reflecting prevailing economic conditions. There are a number of key areas in which there is potential for substantial growth in the scale and range of trade in South Wales, most notably in the energy sector and container traffic connecting Welsh ports with other European countries
3. Local Development plans
3.1 ABP believes that it is essential that the strategic importance of ports is recognised through local development plans and regional plans. This submission provides further detail of the contribution of ports to their local and regional economies, and their role in stimulating inward investment.
4. Wales Freight Group
4.1 ABP has been an active member of the Wales Freight Group that have worked in partnership with the Welsh Assembly Government to publish the 'Wales Freight Strategy', to deliver a "modern, efficient freight transport system in ways that will support and balance economic, social and environmental objectives, in line with the Wales Transport Strategy". The purpose of the strategy is to assist regional transport consortia in the development of regional transport plans and this document should form part of the policy framework for the development of Welsh Ports. ABP believes the establishment of both the Wales Freight Group and the Welsh Ports subcommittee has been a very positive step for developing freight strategy in Wales.
5. Road and rail links
5.1 Whilst recognising the need for major improvements to the M4 to ensure adequate connections to/from South Wales are maintained, particularly the restrictions imposed by the Bryn Glas tunnels, ABP is extremely concerned that the current proposals for the new motorway to bisect Newport Docks will adversely impact upon trade through the Port of Newport. This submission has already highlighted the socio-economic contribution of ports to their local economies and any scheme proposed should not adversely affect existing trade or future development prospects. ABP is fully engaged in the consultation process with WAG on this subject.
5.2 ABP would also like to highlight the strategic importance of a number of local road enhancement projects. In particular, the completion of the Port Talbot peripheral distributor road, the Fabian Way infrastructure enhancement works at Swansea and the Eastern Bay Link Road in Cardiff all of which help to improve transport infrastructure to the immediate hinterland.
5.3 It is essential for the continued development of ports and sustainable freight networks that rail freight paths are retained and protected. It is also vital that work involving Network Rail, Freight Operating Companies, Government and other key stakeholders continues to remove capacity and capability constraints for freight on the rail network. These include removing freight network pinch points (in particular the Severn Tunnel) and addressing gauge issues in Wales.
5.4 The EU Trans-European Networks (TENs) system should be considered to support the connectivity between ports and the hinterlands, particularly links extending beyond Wales.
6. Cruise Wales
6.1 ABP is an active member of Cruise Wales, a public-private sector partnership, which has been established to promote and market Wales as a cruise destination to international passengers. The partnership is made up of representatives from government, tourism and port organisations from all of the major ports in Wales. Cruise ships have potential to bring economic benefits to the region and its tourist based economy. This is a good example of how Welsh Government can develop economic opportunities in the key sectors they have identified.
7. Environmental benefits of short sea shipping
7.1 Sea transport is recognised by many as the most environmentally benign mode of transport and further reduces congestion on the busy road and rail infrastructure. Through the Wales Spatial Plan, Local development plans and other policies the strategic importance of ports and their ability to facilitate inward investment and catalyse sustainable economic growth should be recognised. Applying a "presumption in favour principle" to consents for developments in and around ports that encourage this would make investing in Wales more attractive.
8. Development opportunities
8.1 The brown-field development land within and directly adjacent to the port estate provides prime sites for locating energy generation plants, particularly for renewable energy schemes. A number of such developments have recently received planning approval including the world's largest biomass power plant at Port Talbot, which will import feedstock using the Tidal Harbour.
8.2 There is also an opportunity to develop facilities for energy production on ports and contiguous sites, for example for biofuel production sites such as the bio-diesel production facility that recently received planning approval at the Port of Cardiff. Ports will also play a crucial role in supporting the development of offshore energy resources, providing construction sites and supply bases for exploiting wind, wave and tidal power. One of the zones identified by the Crown Estate for Round 3 of the offshore windfarm-leasing programme lies a short distance from the South-Wales coast. Documents such as the recently published Bioenergy Action Plan for Wales fail to recognise the advantages offered by ports in the energy supply chain. All aspects of energy policy in Wales should reflect the strategic importance of ports
Inquiry into international connectivity through Welsh ports and airports
Evidence from Associated British Ports
9. EU State Aid
9.1 The EU State Aid regulations do not adversely impact the development of ports in Wales. The ports sector is a market-led sector benefitting from substantial investment from the private sector and EU State Aid Regulations are not presently a barrier to the development of Welsh Ports.
February 2012
Associated British Ports: South Wales Economic Impact Assessment
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Feb-09
3 rd February 2009
Cardiff Business School Colum Drive Cardiff CF10 3EU
Contact:
Prof. Max Munday
Email: firstname.lastname@example.org
Tel: 02920 875089
www.weru.org.uk
1 Associated British Ports: impact assessment
1.1 Introduction
1.1.1 Associated British Ports (ABP, South Wales) operates the ports of Swansea, Port Talbot, Barry, Cardiff and Newport, with the headquarters located at Queen Alexandra House close to the Cardiff Bay Barrage.
1.1.2 These five ports play an important role in the contemporary Welsh economy providing port services, and also with ABP property hosting a wide variety of tenants encompassing a range of manufacturing and services sectors. For many of these businesses being in close proximity to port infrastructure is critical to successful operations, and with other businesses directly dependent on ABP for port-related commercial services.
1.1.3 The commercial land available within the curtilage of the five ABP ports represents an important element of the location offer of industrial South Wales (i.e. providing 830ha of commercial and industrial space). The five ports also play an important role in supporting Welsh overseas trade and domestic trade with 15.6m tonnes of goods going through the ports in 2007 (13.9m tonnes of imports and 1.7m tonnes of exports). The nature of economic activity associated with ABP South Wales operations is complex. Consequently the scope of economic activity supported by ABP is complex.
1.2 Research objectives
1.2.1 This brief report is the second analysis of the economic impact of ABP operations in Industrial South Wales. During 2003-04, the Cardiff Business School undertook an economic impact analysis of ABP activity. This report works to revise the conclusions of this first report focusing on the estimated economic impacts associated with direct port operations, and then with a further estimate of the economic activity supported directly and indirectly within the five port boundaries. The objectives of the report are then to:
Examine the economic impact of ABP core port operations on the contemporary Welsh economy.
Provide an estimate of the economic activity directly supported by the tenants of ABP in 2007, and the significance of this activity in the context of the contemporary Welsh economy.
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1.3 Structure of the report
1.3.1 The remainder of the report is structured as follows. In the second section is provided a review of current ABP operations in industrial South Wales.
1.3.2 The third section of the report discusses the activities undertaken by tenants of ABP, and the method employed to gain an estimate of the employment and output supported by these tenants.
1.3.3 The fourth section then examines how far the direct port operations of ABP and their tenant set support activity elsewhere in the Welsh economy. This section explores, for example, how through local purchasing of goods and services, ABP supports output and employment in the regional value chain. Moreover, the employees of ABP and their tenants spend a proportion of their wages and salaries on goods and services produced in Wales, and hence they also support indirect economic activity in Wales.
1.3.4 The fifth section concludes with a discussion of the significance of port infrastructure to Wales based on the impact assessment, and then highlights the linkages between port infrastructure and the development needs of the Welsh economy.
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2 ABP South Wales: Core Operations
2.1 Introduction
2.1.1 This section examines the core operations of ABP in South Wales, and concludes with an estimate of the direct economic effects associated with the organisation's operations in 2007. This is followed in the next section by an examination of the activity undertaken by the tenants of ABP.
2.2 ABP: Main Operations
2.2.1 ABP South Wales is one part of the Port Division of ABP Holdings Ltd. ABP South Wales activities involves the management and operation of the ports of Swansea, Port Talbot, Barry, Cardiff and Newport. ABP income in South Wales is derived from several sources including:
harbour dues connected with port operations, and calculated from weight of cargo handled;
pilotage fees paid by ship owners;
payments in connection with storage of goods;
lease of port property, together with property sales.
2.2.2 The nature of individual port operations varies greatly. General port operations include cargo handling, engineering (specialist maintenance of cranes, lock gates, roads and other infrastructure), security, warehousing and storage, and dredging.
2.2.3 Typically in the immediate hinterland of each port are organisations dependent in part on port activity including ship-brokers and agents, and then freight forwarders, stevedoring firms, towage firms, dry dock operators, ships chandlers, transport and warehousing operators, and construction industry firms. Below is a brief profile of the activities of each port.
2.2.4 Swansea is the western-most of ABP's South Wales ports, and has three docks (Queen's, King's and Prince of Wales). Much of the port's trade focuses on north and west Europe, the Mediterranean and Ireland. During 2007 the port handled 682,000 tonnes of cargo comprising 521,000 of imports and 161,000 of exports. Key cargoes included fertilisers, aggregates, cement/clinker, steel and forest products. Swansea port also has a container terminal. The port offers 30,000sqm of enclosed and 16ha of open storage, and features a range of cargo handling equipment. Swansea can accommodate vessels up to 30,000 tonnes deadweight.
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2.2.5 Port Talbot's main asset is a tidal harbour, one of just a few ports in the UK that can take vessels of up to 170,000dwt. Adjacent to the port is the Corus Port Talbot Steelworks. The deep water port facilities are vital to its operations. Key cargoes are coal and iron ore for Corus. The port also deals with a combination of self discharging vessels, and normal bulk carriers which are unloaded by dockside cranes. Port Talbot docks takes vessels of a smaller size for shipment of processed slag. During 2007 imports into Port Talbot were nearly 8.8m tonnes, with exports of 321,000 tonnes.
2.2.6 Barry docks sits adjacent to the Barry chemicals complex. During 2007 the port handled 456,000 tonnes of cargo, 370,000 tonnes of which was chemicals. The port also handles containers, dry bulks, and forest products. Barry also hosts large tank storage facilities closely tied to the Dow Corning and wider petrochemical complex at Barry. Groupe Samat operates a terminal at Barry Docks for Dow Corning, while Scott Timber imports timber into Barry for pallet production. Another key port player is Vopak which provides 45,000 cubic meters of liquid bulk storage linked to the Dow Corning chemical complex.
2.2.7 Cardiff port deals with a wide range of cargoes including containers (Cardiff Container Terminal), steels, timber, both dry and liquid bulk products. Cardiff also has cold store facilities for fruit and vegetables. This port has seen extensive investment in state of the art storage and cargo handling equipment (Cardiff Distribution Terminal), and now attracts some cruise liner traffic, with the port close to Cardiff city centre and surrounding attractions. In terms of storage, Cardiff features over 54,000 square meters of transit, distribution and steel storage sheds. During 2007, the port handled over 3m tonnes of cargoes and with petroleum products and steel making up nearly two thirds of handled cargo.
2.2.8 Finally, Newport is the eastern most port of ABP in industrial South Wales. The port handles a wide range of cargoes including coal, agri-bulks, aggregates and minerals, steel, scrap and timber. During 2007 the port handled 2.33m tonnes of cargo, and with steel imports/exports accounting for around 42% of handled cargo in tonnage terms. Sims Group has two specialised facilities at Newport docks for recycling and exporting metals, and the port offers 25,000 sq m of covered storage for handling steel products.
2.2.9 Figure 2.1 shows the total tonnages of cargo going through each of the ABP South Wales ports in 2007. More details are given in Figure 2.2. The largest volumes of products handled were iron ore (i.e. around 5.8m tonnes into Port Talbot), coal and coke (around 2.8m tonnes also into Port Talbot), and chemicals/oil and petroleum (just over 1.8m tonnes and largely inward cargoes to Cardiff). Exports in 2007 from ABP South Wales ports were around 1.7m tonnes, of which 21% was steel exports (primarily out of Cardiff
5
Evidence from Associated British Ports and Newport), and with a further 34% being scrap exports also largely from Cardiff and Newport. Metal exports from the region were expected to top 1m tonnes in 2008.
Source: Associated British Ports
Source: Associated British Ports
2.2.10 In total the five ABP ports handled 15.6m tonnes of cargoes in 2007.
2.3 ABP Employment and output
2.3.1 ABP supports a great deal of activity on its property (see later). However, the focus in this section is on ABP's core activities rather than those of tenants within the port boundaries. The financial details outlined below form one part of the overall impact assessment discussed in later in this report.
2.3.2 ABP directly employs 201 (full-time) people in Wales. The majority of these are at Cardiff (81), followed by Newport (56), Swansea and Port Talbot (41)
6
Evidence from Associated British Ports and Barry (23). However, this total does not include 95 people working for the UK Dredging subsidiary of ABP (mostly as crew on vessels). ABP Marine employs pilots at both Barry and Swansea which service the wider South Wales network of ports. In the analysis that follows in this report we do not include the activities of UK Dredging.
Table 2.1 ABP South Wales: Summary of Operations
| | 2003 | 2007 |
|---|---|---|
| ABP estimated output (sales)* | £42.3m | £43.4m |
| Employment (excluding UK Dredging) | 212 | 201 |
| Gross payroll costs | £7.54 | £8.19m |
| Capital spending | £12.10 | £6.60m |
*Note this excludes income from property development and sales.
Source: Associated British Ports
2.3.3 During 2007 ABP South Wales estimated gross output (i.e. its turnover/sales) was £43.4m. Of this total £27.6m represented revenue from core port operations (i.e. from companies and ship owners in the UK and overseas), and with £12.6m from port-related property income. This latter represents incomes from ABP tenants. In 2007 ABP had 348 separate tenants (Table 2.2), the majority of which are in Barry (103), Cardiff (101) and Newport (78), and then with smaller numbers of tenants at Port Talbot (37) and Swansea (29).
2.3.4 There was a smaller amount of UK and overseas sales (£3.2m). Table 2.1 provides a summary of financial and employment information for 2007, with comparative data used in the initial report undertaken for ABP in 2003-04.
Table 2.2. Summary: ABP South Wales Ports Tenant Numbers 2003 and 2007 and Change
| Barry | 114 | 103 | -9.6 |
|---|---|---|---|
| Cardiff | 74 | 101 | 36.4 |
| Newport | 66 | 78 | 18.1 |
| Port Talbot | 55 | 37 | -32.7 |
| Swansea | 26 | 29 | 11.5 |
| Total | 335 | 348 | 3.9 |
Source: Associated British Ports
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2.3.5 Key items of ABP spending relate to gross payroll costs, capital spending and operational (non-wage) spending. Gross payroll costs were around £8.2m in 2007, with capital spending of £6.6m.
2.3.6 Part of the capital spending for the year related to an extension of the Sims recycling site at Newport, and the development of a waste electrical and electronic equipment plant that will allow the site to process over 100,000 tonnes of electrical goods per annum. This new infrastructure was developed jointly by Sims and ABP. Other investments during the year related to infrastructure improvements for Corus at Port Talbot.
2.3.7 Total operational (non-wage) spending was £16.6m with key items being dredging costs, engineering services, stevedoring (sub-contracted), maintenance materials and security.
2.3.8 It is important to recognise that these costs relate to ABP South Wales ports. ABP also operates the UK Dredging company in Wales which has an estimated sales from Welsh operations of £11.1m in 2007.
2.3.9 A series of points can be made about the spending patterns of ABP. The nature of the demands of the company mean that it is able to source many of its purchased goods and services in the local economy. For example, taking the capital spending (£6.6m) together with the non-wage operational spending of £16.6m together, it is estimated that over 70% of this joint spending is with Welsh suppliers of goods and services. For example, services such as stevedoring, engineering and security are wholly sourced in the local economy, as are equipment hire and dredging requirements. Moreover, in the case of maintenance materials it is estimated that 75% is
Table 2.3: ABP Spending Summary, 2007
| Purchases | £000s |
|---|---|
| Purchased materials | 773 |
| Electricity and water | 1,000 |
| Business rates & insurance | 2,132 |
| Dredging | 1,633 |
| Sub-contracted services and labour | 4,334 |
| Other items (including depreciation & property cost of sales) | 6,777 |
| Purchases ex capital spend and employment costs | 16,649 |
| Capital spending | 6,600 |
| Direct labour inc OT, NI +other staff costs | 8,186 |
| Total purchases | 31,435 |
Note: Excludes the activities of UK Dredging
Source: Derived from data provided by Associated British Ports
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Associated British Ports plc Inquiry into international connectivity through Welsh ports and airports
Evidence from Associated British Ports
Feb-09
purchased in Wales, growing to 80% in the case of cargo handling equipment. These local spending patterns are a key factor that drives the indirect economic impacts of ABP activity. For example, this local spending supports employment and incomes elsewhere in the regional economy. An important additional issue linked to the later economic modelling is that ABP tends to spend money locally with relatively labour intensive industries.
2.3.10 We return to estimate the impact of ABP spending on the regional economy in section 4 of this report.
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3 Scope and Scale of activity undertaken by ABP tenants and Estimates of their Employment, Output and Value Added
3.1 Introduction
3.1.1 There is a wide variety of activity undertaken on ABP property in South Wales. Moreover, some industries adjacent to port infrastructure are heavily dependent on the port, such that absence of the port and port services would directly threaten the continuation of operations in South Wales.
3.1.2 To illustrate the diverse range of activity undertaken on ABP property Table 3.1 highlights the nature of 5 very different tenants on each port site.
3.1.3 This section provides an estimate of the employment and gross output linked to activity on (or dependent upon) ABP property. The first part of the section describes the method through which the estimates were gained. The second section provides a commentary on the estimates.
Table 3.1 ABP Tenants: Examples of Activity
| ABP Barry | ABP Cardiff | ABP Newport | ABP Port Talbot |
|---|---|---|---|
| Groupe Samat UK (transport services) | Cardiff Harbour Authority (public sector) | Sims (electronic goods recycling) | Civil and Marine (slag products) |
| JT Evans (road haulage) | Bob Martin Company (feeds) | Jewson (timber products) | Ready Steels (steel reinforcements) |
| Harris Pye Marine (marine services) | Biffa (waste services) | Origin (fertilisers) | Celtic (engineering services) |
| Scott Timber (wood importers and products) | Air products (industrial gases) | Rexam Corrugated (packaging) | Corus Strip products (steel) |
| Vopak (transport and storage) | Texaco (fuel distribution) | Severn Sands (aggregate supply) | The Missions to Seaman |
3.2 Estimates of Employment: Method
3.2.1 It is important here to make a distinction between activity undertaken by tenants of ABP within the port areas and activities outside of these areas. Several ABP tenants have facilities within the ports, but with the bulk of their activity located outside the port area. Examples here would be Dow Corning
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at Barry and Corus Strip Products at Port Talbot. One purpose of the report is to identify industries that are strongly dependent on the ports. Consequently there are several cases of firms operating adjacent to ABP property, who pay fees to ABP for port facilities and storage etc, but whose main operations would be threatened by port failure.
3.2.2 The task here was first to estimate employment and output within the port boundaries and then to add an estimate for adjacent activities deemed as directly dependent.
3.2.3 In the first economic impact study undertaken by ABP in 2003-04 three main sources were used to identify employment levels within the ports themselves. These were a direct survey of tenants, company accounts databases, and the Office for National Statistics Annual Business Inquiry (ABI). 1 For the revised work we have made reference to the results from the earlier survey, but with concerns that the employment data here would be very out of date. Indeed, the period 2003-2007 has seen further upheavals in Welsh manufacturing in particular.
3.2.4 In consequence, for this revision we have been more reliant on information contained within the ABI. This has been used differently for this revision. The challenge here was to collect employment data at the two digit (Standard Industrial Classification) level for areas corresponding as far as possible with ABP boundaries. For the first analysis in the ABP (2004) impact report we were able to use the ABI for 2002. For this iteration, we have used the ABI for 2006 but have linked the ABP port boundaries to super output areas 2 (i.e. a lower level of spatial aggregation than wards), and then used this as a basis for a 2007 employment estimate.
3.2.5 Even these smaller areas did not exactly correspond with the ABP boundaries such that it was also necessary to use the employment estimates at super output area level with the tenants lists provided by ABP to come to an estimate of full time employees within each port boundary.
3.2.6 It is stressed that the employment numbers and associated output and gross value added figures are estimates for 2007.
3.2.7 Added to this full time employment estimate within the port curtilage, was employment in two large companies that had manufacturing operations directly adjacent to ABP property, but were also ABP tenants (i.e. leasing port facilities, or storage areas etc). These two companies are particularly dependent on the port infrastructure for their continued successful operations in Wales. Similar conclusions could undoubtedly be made for
1 See initial ABP economic impact report produced in December 2004, and estimating tenant activity for 2003.
2 The five ABP port boundaries linked to the following super output areas Cardiff 047c, Neath Port Talbot O19a, Newport O18b, Vale of Glamorgan O15c & O15e, and Swansea O21a & O21b.
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other ABP tenants who also had manufacturing operations just outside the
ABP boundaries, but the dependence of others was not so easily identifiable.
3.2.8 The full time employment (FTE) estimates were used in conjunction with ABI information of output and gross value added by Welsh industries to gain an estimate of the output and gross value added (GVA) supported on ABP property.
3.3 Employment and output estimates
3.3.1 Table 3.2 shows our estimate of FTE employment within ABP boundaries plus FTE employment in two large port dependent manufacturing operations adjacent to ABP facilities. This does not include the direct employment provided by ABP itself.
Table 3.2 Employment, output and gross value added estimate; ABP tenants, 2007
| Industry | SIC codes (see note) | Employment (full time equivalents) | Output £m | Gross VA (GVA) £m |
|---|---|---|---|---|
| Manufacture of chemicals, rubber and plastics, non-metallic minerals | 23-26 | 713 | 130.7 | 44 |
| Manufacture of metals and metal products | 27-28 | 4150 | 881.1 | 154.3 |
| Manufacture of electrical goods and other engineering | 29-35 | 203 | 31.5 | 9.7 |
| Other manufacturing and recycling | 15, 20-22, 36-37 | 540 | 96 | 25.2 |
| Construction and aggregate products | 45, 14 | 1336 | 135.5 | 50 |
| Wholesale etc | 51 | 734 | 51.6 | 33.4 |
| Transport and communication | 60-64 | 1214 | 137 | 67.1 |
| Renting equipment and other business services | 70,71, 74 | 727 | 41.2 | 26.1 |
| Public admin | 75 | 94 | 7.2 | 2.4 |
| Total | | 9711 | 1511.8 | 412.1 |
Note: for some SIC 2 digit codes there was no employment identified within ABP boundaries. Totals may not sum due to rounding
3.3.2 Table 3.2 reveals that ABP tenants provide an estimated 9,711 FTE jobs in industrial South Wales. Around 43% is in basic metals and metal products where the estimated 4,150 FTEs can be connected to £0.88bn of output and £154m of gross value added.
3.3.3 Other larger sectors in employment terms include construction and aggregates. Here it is estimated that the sector employs 1,336 FTEs within
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ABP boundaries, which is associated with output of £136m and value added of £50m. There are also a large number of employees within the ABP curtilage connected to transport and communications. This includes a large number of firms providing road transport, and firms providing transport services. It is estimated that this sector accounted for 1,214 FTEs, and £137m of output and £67.1m of gross value added.
3.3.4 In total it is estimated that the firms either within the curtilage or directly dependent on the port infrastructure accounted for £1.51bn of output and £412m of gross value added. Placed in another way this means each employee in a tenant firm is associated with an average of around £156,000 of output and £42,400 of GVA.
3.3.5 In context, total Welsh output and GVA in 2007 were an estimated £91.1bn and £44.3bn respectively. Then the output and GVA highlighted as attributable to ABP tenants and dependent firms in Table 3.2 in 2007 represented 1.7% of Welsh output in 2007, and 0.9% of Welsh GVA in that year.
3.3.6 It is also important to note that much of the employment described in Table 3.2 is in manufacturing sectors that are strong exporters, and where earnings levels are relatively high i.e. relatively capital intensive sectors such as metal manufacturing and chemicals. These sectors are important contributors to the contemporary regional economy and play a key role in supporting regional incomes.
3.3.7 In summary this section gives testimony to the diverse operations supported by ABP facilities in South Wales. However, ABP and its tenants also support activity in the wider Welsh economy. This is analysed in the next section.
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4 ABP, ABP Tenants and the Welsh Economy
4.1 ABP and Tenants: Direct and Indirect Effects
4.1.1 The opening sections have examined the direct activity supported by ABP and their tenants in terms of employment, output and gross value added. However, ABP and its tenants support economic activity across Wales. ABP and their tenants spend money in the regional economy. This spending will have indirect economic consequences according to how that money is spent.
4.1.2 ABP and its tenants purchase as inputs the goods and services provided by other Welsh industries. For example, in the ABP case this includes items such as sub-contract services, materials, construction industry outputs, fuel and other equipment. The producers of these goods and services then also spend money on the outputs of other Welsh industries. Importantly, this spending supports rounds of further spending in the local economy. These are categorised as 'supplier' effects, and an important determinant of the size of these effects is the level of local sourcing by firms, and then the levels of local sourcing along the supply chain. Again, in the case of ABP itself, a large proportion of its spending is on locally produced goods and services, however, this proportion will vary considerably between the different tenants. For example, some manufacturers will be heavily dependent on imported goods and services.
4.1.3 Economic impacts go well beyond these supplier effects. For example, ABP has a payroll bill of over £8m per annum. This represents in large measure incomes to local people. A proportion of these incomes is spent within Wales, and then this spending also adds to local demand. Similarly a proportion of the employment in local suppliers is supported by ABP and its tenants, and these employees earn incomes that when spent would also generate further local demands.
4.1.4 These are examples of 'induced-income' effects and must be added to the 'supplier' effects to arrive at a full understanding of the total indirect or multiplier consequences of ABP and tenant activity. Multiplier effects can be categorised in terms of spending, and employment.
4.2 Indirect Effects of ABP Activity
4.2.1 In order to estimate the indirect effects associated with the core activity of ABP and its tenants it was necessary to use an economic model of the Welsh economy. The approach adopted was to use Welsh Input-Output
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tables for 2003. More information on the methodology can be found in the Appendix.
4.2.2 Data provided by ABP South Wales showed that its estimated output (sales) in 2007 was £43.4m. Table 4.1 shows the indirect and induced effects associated with this direct output. As ABP spends money in the Welsh economy it supports output in its value chain. Moreover, it also supports incomes in the local economy, which when spent also create further demands for industry output.
4.2.3 Using data provided by ABP it estimated that local spending on goods and services, and wages/salaries in 2007 was an estimated £22.2m. Table 4.1 shows that the spending supported a total of £36.4m of output in the Welsh economy, with the majority of this activity supported in the construction and wholesale sectors. Adding this to the £43.4m of ABP output gives total output supported by ABP operations in South Wales of £79.8m, which can be connected with an estimated £34.2m of Welsh GVA.
4.2.4 This means that for very £1m of direct ABP output, an estimated £1.84m of output in total is supported elsewhere in the Welsh economy, and an estimated £0.79m of GVA. Importantly ABP purchases from Welsh industries that also themselves purchase high quantities of goods and services in the local economy.
4.2.5 As was shown earlier in the report, ABP supports employment in sectors that are relatively labour intensive. The firm uses a large amount of sub-contract labour services. However, the core employment of ABP in South Wales is quite small. Then when one compares the direct employment of 201 FTEs with what is supported as a result of ABP spending, then the ratio of one to the other is quite large. It is estimated that every FTE job in ABP supports around 3 others in the regional economy.
4.2.6 Put another way each £1m of ABP direct output in 2007, directly and indirectly supported around 19 FTEs in the Welsh economy
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Table 4.1 Multiplier Effects of ABP Own Activity Evidence from Associated British Ports
| ABP | £43.4m |
|---|---|
| Impacts on | |
| Primary and manufacturing | 3.2 |
| Electricity, gas and water | 1.5 |
| Construction | 10.1 |
| Retail and wholesale | 8.6 |
| Transport and communications | 4.2 |
| Business and professional services | 5.9 |
| Other services | 3.0 |
| Total indirect | 36.4 |
| Total spending impact | £79.8m |
| Total GVA impact | £34.2m |
| Total output supported in Wales per £m ABP output | £1.84m |
| Total GVA supported in Wales per £m ABP output | £0.79m |
Totals may not sum due to rounding
4.2.7 The overall output multipliers for ABP are quite low when compared to those of other industries in the Welsh Input-Output tables. This is a direct reflection of the fact that total purchases of goods and services are a relatively small proportion of ABP gross output.
4.3 The Activity in Wales supported by ABP tenants
4.3.1 As highlighted earlier the estimation of the activity supported by ABP tenants is a little more complex. Section 3 of this report estimated that the tenants of ABP together with those operations defined as directly dependent on the ports accounted for around £1.51bn of gross output and 9,711 FTE jobs.
4.3.2 If this activity was hypothetically removed from the Welsh economy it would impact upon other elements of the value chain, and upon incomes (this is one way of assessing the economic significance of these activities). Table 4.2 summarises the effects by broad industry. The £1.51bn of tenant gross output is associated with a further £1.27bn of output in other Welsh industries i.e. this is assumed to be lost if the tenants were removed. The corollary of this is that, on average, each £1m of tenant output supports a further £1.84m of output in the regional economy, and £0.60m of GVA.
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Table 4.2 Estimated Economic Effects of ABP Tenant Activity Evidence from Associated British Ports
| ABP Tenants (direct) | 1511.8 |
|---|---|
| Total indirect impacts | 1268.8 |
| Total impact (direct+indirect) | 2780.6 |
| Total GVA supported | 902.5 |
| Total output supported in Wales per £m ABP tenant output | £1.84m |
| Total GVA supported in Wales per £m ABP tenant output | £0.60m |
Totals may not sum due to rounding
4.3.3 In large measure the effects here would be felt in the manufacturing, retail and wholesale, and financial and business services sectors. Unlike ABP itself, the tenant set purchases significant amounts from the regional manufacturing sector.
4.3.4 Table 4.2 also reveals that ABP tenant gross output of £1.51bn was directly connected to an estimated 9,711 FTEs. This means every £1m of tenant output is directly associated with around 6.4 FTE jobs. However, once the total economy effects of the tenant gross output are taken into account then each £1m of tenant output is associated with 16.7 FTE jobs. We also estimate that the activities of tenants directly supports around £412.1m of GVA directly. Once total economy effects are added to this the total GVA supported increases to an estimated £902.5m; put another way each £1m of ABP tenant output supported an average of an estimated £0.60m of GVA directly and indirectly.
4.3.5 If these results are placed in a wider Welsh context, then in 2007 it is estimated that the gross output of all Welsh industries was around £91.1bn, and that total GVA was £44.3bn. In this context the output and GVA directly and indirectly supported by ABP tenant activity is around 3.1% of total Welsh gross output, and an estimated 2.0% of total Welsh GVA.
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5 Conclusions
5.1.1 The objective of this report was to explore the economic impact of both ABP, and of firms either within the curtilage of the five ABP ports, or firms dependent on port infrastructure. This report demonstrates that ABP infrastructure supports extensive economic activity in the Welsh economy.
5.1.2 This report has highlighted the role of ABP in supporting Welsh trade, handling 15.6m tonnes of different cargoes in 2007, including high volumes of iron ore, coal, metals and petro-chemical products.
5.1.3 The report has also shown how ABP infrastructure supports other business operations both within the curtilage of the ports themselves and outside of it. ABP has 348 tenants within the curtilage of its five South Wales ports. Some of Wales' largest and most important manufacturing industries rely on ABP infrastructure and support. ABP also does much to enhance the location offer of the contemporary Welsh economy.
5.1.4 ABP itself employs around 201 people in industrial South Wales. It is estimated that ABP tenants employed 9,711 FTEs and accounted for nearly £1.51bn of Welsh output, and £412m of gross value added. Once the total Welsh economy effects of ABP tenant activity are taken into account the
Table 5.1: Comparison of 2007 with 2003 ABP Study
| | 2003 |
|---|---|
| ABP | |
| Gross output | £42.3m |
| Employment( FTEs) | 212 |
| Total Welsh output directly and indirectly supported by ABP own activity | £63.6m |
| Total Welsh GVA directly and indirectly supported by ABP | - |
| ABP tenants | |
| Estimated employment (FTEs) | 7,550 |
| Gross output of tenants | £1.11bn |
| Total Welsh output directly and indirectly supported by ABP tenants | £1.67bn |
| As % Welsh total | 2.1% |
| Total Welsh GVA directly and indirectly supported by ABP tenants £m | - |
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economic impact in terms of gross output supported increases to £2.78bn, which is around 3.1% of total Welsh output, and the total contribution to Welsh GVA is £902.5m or an estimated 2.0% of the Welsh total.
5.1.5 In Table 5.1 we compare the results gained from the 2003 study with that for the current study. In terms of ABP 'own' activity, there is some increase in the total Welsh output supported directly and indirectly by ABP's own spending. This may reflect a slightly different pattern of firm spending across the two reference years. There are greater differences in terms of the estimated employment on ABP property. This increases by around 30%, but with the amount of output directly and indirectly supported by ABP tenant output growing by over 25%.
5.1.6 It should be remembered that an exact reconciliation is not possible here with different versions of the Wales Input-Output tables used to estimate indirect effects. It is also noted that in this round we have used a different, and possibly, a more accurate way of estimating employment in the ABP curtilage. Then, in 2003 we estimated that output directly supported in the ABP tenants represented an estimated 2.1% of Welsh output. For the 2007 year we estimate this is closer to 3.0%. In both cases this shows the importance of firms in the curtilage of the ABP ports to the Welsh economy.
5.1.7 In summary, the findings here reveal the strong economic contribution of ABP port infrastructure to Wales. Direct port activities of ABP are connected to significant levels of direct and indirect output, income and employment generation. Similar conclusions apply for tenants on ABP property. These economic effects are coupled to less-measurable, but no less relevant impacts with, for example, the port infrastructure also improving access to tourists, and providing a path for the transfer of new technology and ideas.
5.1.8 A conclusion of the first report undertaken by Cardiff Business School for ABP was that ports have not featured as strongly in the regional infrastructure development debate as they perhaps should have done. We believe that this is still the case. One corollary of the analysis presented in this brief report is then that port development must continue to be viewed as an important component part of general transport policy development in Wales.
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Appendix 1: Using Input-Output tables Evidence from Associated British Ports
To estimate the indirect (or multiplier) consequences of ABP and tenant activity it is necessary to have a picture of the local economy that specifies how the various industry sectors 'fit together' in terms of their trading relationships. This then allows the effects of activity in one sector to be traced through the entire local economy. The most comprehensive picture available of the Welsh economy is an Input-Output table.
The table presents a detailed financial map of the economy for a particular time period, typically one-year, and shows the flow of goods and services between industries, consumers and government. As well as being an important descriptive tool, the InputOutput tables can be used for economic modelling and for impact assessment. InputOutput Tables for Wales are the product of a continuing research project to develop a comprehensive picture of the Welsh economy and the way it is changing over time, undertaken by the Welsh Economy Research Unit at Cardiff Business School. Further description of the Welsh Input-Output project, its strengths and limitations, can be found in (Bryan et al., 2004).
The methodological approach adopted in this report involved two stages. The first task was to estimate the indirect (and induced) effects of ABP activity. In order to model the local impact of ABP it was necessary to have a detailed financial picture of the way in which ABP spends money. ABP staff completed a questionnaire which detailed their employment, wages and salary costs, total sales (and sources of sales revenue), and capital spending for 2007. In addition ABP provided details of their operational spending by category, and very importantly, the extent to which these expenditures involved purchases from Wales or elsewhere. This information was summarised in the main report in Section 2 (Table 2.3). The indirect and induced effects connected with this spending are gained by placing the direct purchases within the context of the Welsh Input-Output tables.
The second task was to estimate the indirect and induced effects connected with ABP tenant activity. This task was not so straightforward because details of the local spending patterns of the large number of tenants were not available. However, following the analysis in section 3, estimates were available on the employment and gross output of the tenant group by industry. From the Welsh Input-Output tables information was available on the total output and spending of these industries. Consequently, it was possible to estimate the proportions of the total Welsh industry output accounted for by the ABP tenant set. Furthermore, it was then possible to use the Input-Output framework to make a judgement on what would happen to the Welsh economy if the operations of these tenants were taken away i.e. a form of hypothetical extraction. The results of these processes are found in the main body of this report.
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Appendix 2 ABP Tenant Impact Data for Newport Facility
The main report estimated that the tenants of ABP together with those operations defined as directly dependent on the ports accounted for an around £1.51bn of gross output and 9,711 FTE jobs. Below we provide an estimate of how much of this activity centres on ABP Newport.
Table A1 shows that we estimate there are 1,664 employees in the Newport curtilage, accounting for around £218m of gross output, and £79m of GVA.
Table A2 shows that we estimate that the £218m of Newport tenant gross output is associated with a further £169m of output in other Welsh industries i.e. this is assumed to be lost if the tenants were removed, giving a total impact of £387.2m. The corollary of this is that, on average, each £1m of Newport tenant output supports a further £1.78m of output in the regional economy i.e. an output multiplier of 1.78. This also means every £1m of Newport tenant output is directly associated with around 7.6 FTE jobs. However, once the indirect and induced effects of the tenant gross output are taken into account then each £1m of tenant output is associated with 16.0 FTE jobs.
ABP tenants at Newport are also estimated to support directly and indirectly around £150m of Welsh GVA.
Table A1 Estimated employment FTE in ABP tenants at Newport (2007) and associated output (£m)
| Industry | SIC codes (see note) | Employment (full time equivalents) | Output £m |
|---|---|---|---|
| Manufacture of chemicals, rubber and plastics, non-metallic minerals | 23-26 | 0 | 0 |
| Manufacture of metals and metal products | 27-28 | 491 | 68.5 |
| Manufacture of electrical goods and other engineering | 29-35 | 54 | 8.3 |
| Other manufacturing and recycling | 15, 20-22, 36-37 | 297 | 63.4 |
| Construction and aggregate products | 45, 14 | 224 | 22.5 |
| Wholesale etc | 51 | 276 | 19.4 |
| Transport and communication | 60-64 | 264 | 32.3 |
| Renting equipment and other business services, and other | 70,71, 74, 75 | 58 | 3.5 |
| Total | | 1664 | 217.9 |
21
Table A2 Estimated Economic Effects of ABP Tenant Activity 2007 (Newport)
Totals may not sum due to rounding.
22
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State Historic Preservation Review Board Meeting Minutes
January 15, 2021
The Conference Room at the Montana State Historic Preservation Office (also via Zoom) Helena, Montana
January 15, 2021
Review Board (Board) Members Present (all via Zoom): Dr. Delia Hagen, Carol Bronson, Marcella Walter (Chair), Patti Casne, Jeff Shelden, KellyAnne Terry, Nick Kujawa, Marv Keller
State Historic Preservation Office (SHPO) Staff: Peter Brown, John Boughton, Kate Hampton, Eric Newcombe, Jessica Bush
Guests (all via Zoom): Kevin Kooistra, Lora Mattox, John Thorson, Karen Thorson, Anne Grove, Lesley Gilmore, Carol Brooker
Call to Order-9:00 a.m.: Marcella Walter (Board Chair) called the meeting to order and read the State Historic Preservation Review Board mission statement.
Welcome/Introductions-9:04 a.m.: Ms. Walter requested that the Review Board, SHPO personnel, and guests introduce themselves.
SHPO Preservation News-9:10 a.m.: John Boughton briefed the Board about several subjects including:
Local Preservation/Certified Local Government (CLG): The Lewistown CLG has been put on probation after failing to submit the required documentation for the program. Lewistown also needs to fill its vacant preservation officer position. Similarly, Red Lodge also currently seeks to fill their preservation officer position, which has sat vacant since the middle of December.
Both Lewistown's and Red Lodge's CLGs failed to spend their federal funds in Federal Fiscal Year 2020 as required by SHPO's agreement with them. Ms. Hampton of SHPO is presently exploring other uses for the funds in other CLG communities.
Grants: Documenting and Sharing Montana's African American Heritage project: Ms. Hampton continues to work on the African American Heritage Project with a documentary production and original creative content about historic African American experiences in Montana planned. The preparation of a statewide African American MPD, and National Register nomination is currently being prepared by Dr. Delia Hagen.
Grants: Revitalizing Montana's Rural Heritage Project: As mentioned at the previous board meeting, eight projects were selected to receive grants from the "Revitalizing Montana's Rural Heritage Project." Preparation of contracts for the individual projects have been executed. Eric Newcombe, SHPO's Historic Architectural Specialist, assumed the role of managing these grants.
Digitizing and Data Cleanup of Cultural Record Files
Damon Murdo, Cultural Records Manager, continues to guide the management of GIS digitization and data cleanup, work paid for by file search revenue. The work involves digitization and data cleanup of cultural sites in multiple western Montana counties. Mr. Murdo has also finalized a full-text search option of the SHPO database for both forms and reports.
Jolene Keen, the former Cultural Records Assistant, worked on an interactive National Register map for Montana and added new sites from Lewis and Clark County.
Office Changes: Ms. Keen resigned her position the beginning of January. SHPO is currently seeking a new cultural records assistant. Renee Erb Kelley was hired to fill the vacant grants manager position. Ms. Kelly received her undergraduate degree from the University of Portland in Arts/History and Music, a Master of Public Administration Certificate in Public Policy from the University of Montana and is currently working on her Masters in Public Administration. She currently serves on the Lewis and Clark Heritage Preservation and Tourism Development Council.
SHPO remains closed to the public due to Covid and is only accessible by appointment.
Properties Listed in the National Register Since January 2019
The Monarch Depot Historic District, Monarch, Cascade County
The Pugsley Bridge, Liberty County
The Fratt-Link House, Billings, Yellowstone County
Billy Miles & Bros. Grain Elevator (the Teslow), Livingston, Park County
Potential Upcoming Nominations
McMaster's Ranch in Broadwater County Everson Creek Historic District in Beaverhead County Billings Mausoleum, Billings
"Shaw's Best" Pancake Flour Building, Helena
Consideration of National Register nominations-9:15 a.m.
McKinley School (Billings)
Kevin Kooistra, the Executive Director at the Western Heritage Center in Billings, said a few words about the preparation of the National Register nomination for the property. The property was presented as significant under criteria A and C.
Questions and Comments from the Review Board:
o Were any of the architectural drawings located? [None found.]
o The south elevation is battered. Is this specific to the entry only or elsewhere? [Pretty sure its restricted to the entry.]
o Can an image of the 1958 addition be added? [Yes.]
o What does the term "isolation pockets" found in the nomination mean? [Areas where kids congregate.]
Ms. Walter asked for any public comment on the property. No additional comment was given. Mr. Shelden moved and Ms. Bronson seconded that the nomination with discussed edits be forwarded to the Keeper. The Review Board unanimously concurred.
Pioneer Park (Billings)
The main author of the nomination failed to appear, so a brief overview of the park was made by John Boughton and Kate Hampton of SHPO. Lora Mattox, the local Historic Preservation Officer, discussed the origins of the preparation of the nomination. The property was presented as significant under criteria A and C.
Questions and Comments from the Review Board:
o How did this nomination result from a Section 106 project? [AT&T planned to erect a new cell tower. The nomination of Pioneer Park served as the mitigation for that project.]
o Why was Pioneer Park chosen for nomination instead of other similar early parks in Billings? [Billings contains several early historic parks, including South Park and North Park. All could be nominated to the National Register. Although the best scenario would have been the preparation of a multiple property submission for all the historic parks of Billings, the mitigation focused on Pioneer Park. The selection of Pioneer park also proved opportune as other National Register nominations near this area were moving forward at the time.]
o Add quotation marks to the word, "pioneer," in the general text.
Ms. Walter asked for any public comment on the property. None was given. Mr. Keller moved and Dr. Hagen seconded that the nomination with discussed edits be forwarded to the Keeper. The Review Board unanimously concurred.
F.M. Mack General Store (Augusta)
The main author of the nomination was not able to appear, so a brief overview of the property was made by John Boughton and Kate Hampton of SHPO. The property was presented as significant under criteria A and C.
Questions and Comments from the Review Board:
o Note the interior ceiling has been dropped about 3o inches.
o Any plans to put the original canopy/awning back on? [Not at this time.]
o How was the building moved? [Cut in half and transported.]
o Correct title of photograph on page 42.
o Consistent use of either "Fred" or "Frederick."
o The word "boy" is repeated on page 18.
Ms. Walter asked for any public comment on the property. None was given. Mr. Keller moved and Mr. Shelden seconded that the nomination with discussed edits be forwarded to the Keeper. The Review Board unanimously concurred.
Break-10:05 a.m.
Resumption of meeting-10:26 a.m.
Paradise School (Paradise)
John and Karen Thorson, the nominations primary authors, and Carol Brooker, Sanders County Commissioner, discussed the nomination and the future of the school. The property was presented as significant under criteria A and C.
Questions and Comments from the Review Board:
o Correct the property name on the National Register photographs.
o Very nice nomination.
Ms. Walter asked for any public comment on the property. None was given. Ms. Casne moved and Ms. Bronson seconded that the nomination with the discussed edit be forwarded to the Keeper. The Review Board unanimously concurred.
Public Comment-10:46 a.m.
Ms. Walter asked for any additional public comment. None was given.
New Business-10:46 a.m.
The Review Board was reminded to submit their donated hours forms to SHPO.
Approval of September 2020 minutes: Ms. Walter called for the approval of the September 2020 review Board meeting minutes. Mr. Keller moved and Ms. Bronson seconded to approve the minutes. The Board unanimously concurred.
Election of chairperson: Ms. Walter called for nominations for board chair for 2021 to begin service with the May meeting of the Review Board. Ms. Bronson nominated Ms. Walter to serve a second term. Mr. Keller seconded the motion. No other board members were nominated and nominations closed. The board unanimously concurred in the election of Ms. Marcella Walter as Review Board chair for 2021.
Selection of time and place of May 2021 Review Board meeting: The next Review Board meeting was set for May 14 beginning at 9:00 a.m. It is planned to transpire under a Zoom meeting format.
Discussion of Historic Preservation Awards Ceremony: The Board was briefed regarding progress on the 2021 awards ceremony. SHPO decided to move forward with a prerecorded ceremony consisting of voice-over commentary above images. The ceremony will celebrate individuals and groups who listed their properties in the National Register in 2019 and 2020 and acknowledge retired review board members during that same period. The ceremony will also recognize people and projects that have contributed to the preservation of Montana's historic resources in a significant way. This year, four awards will be given. These include The Monarch Depot Restoration Project and the Monarch-Neihart Historical Group, inc., the Northwest Montana Chapter of the Forest Fire Lookout Association, the 2019 Montana Legislature's Montana Museums Act of 2020, and the Freedom's Path Project at Fort Harrison, selected as the Governor's Award. This latter award acknowledges the Veterans Affairs staff who facilitated the Freedom's Path Project through which 11 National Register buildings were saved to use as housing for those veterans without.
Establishment of a programmatic agreement with Department of Administration (DOA)
A programmatic agreement with the DOA arose from the Heritage Stewardship reporting meetings. Similar agreements are currently in the works with the MT Heritage Commission, Montana State University, University of Montana, and Department of Corrections. SHPO's Eric Newcombe serves as the lead. The agreements identify work items that do not require Antiquities Act review and outline expectations for both SHPO and the agencies.
The FWP partnership with Rachel Reckin and SHPO.
SHPO is funding the analysis of Chinese affiliated and precontact (obsidian) artifacts found in Bannack. Information derived from this analysis could substantially increase our knowledge of the Chinese presence in Bannack.
The Chinese affiliated artifacts include coins, opium pipes, tins, and celadon pothsherds. University of Montana Anthropology Ph.D. candidate Katie Kolwicz will perform the analysis. Ms. Kolwicz has expertise in ChineseAmerican artifacts and will identify the objects' approximate date of manufacture, place of origin, and any cultural details. She will also examine Bannack's entire collection of artifacts to determine if other objects have yetto-be identified Chinese affiliations. Beyond the artifacts, Ms. Kolwicz will examine written records including census, GLO records, mining and homestead claims, historic letters, diaries, newspapers, and pictures to provide a fuller sense of the Chinese presence in Bannack.
The analysis of pre-contact (obsidian) artifacts will include investigations by The Geochemical Research Laboratory in Portola, California to determine the obsidian's origin. The desirability of obsidian for stone tools use facilitated its trade by precontact people.
SHPO's increased compliance workload
SHPO's compliance workload increase of 31% in Federal Fiscal year 2020 equates to a greater workload than ever before. The trend is expected to continue for several reasons including Congress' consideration of funding overdue infrastructure projects, the establishment of the Great American Outdoors Act, and the Department of the Interior's plans for large scale fuels reduction projects.
Adjourn-11:30 a.m.
Ms. Shelden moved and Mr. Keller seconded for adjournment of the meeting. The Review Board unanimously concurred.
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Expert Report of Terry A. Kupers, M.D., M.S.P. Eastern Mississippi Correctional Facility
Submitted June 16, 2014
CONTENTS
25
Assignment
Plaintiffs have asked me to evaluate the mental health impact, if any, of the conditions of confinement in the segregation units at East Mississippi Correction Facility (EMCF) on prisoners confined to those units; and to evaluate the adequacy of the system at EMCF for providing treatment for inmates with serious mental health needs.
Summary of Opinions
I have formed the following opinions in this case:
The conditions in isolated confinement housing at EMCF are so shockingly harsh and cruel as to subject all prisoners housed there to a significant risk of serious psychiatric symptoms and breakdown, and to subject the less healthy prisoners to significant risk of very severe and possibly irreversible psychiatric consequences, including psychosis, mania or compulsive acts of self-abuse or suicide. Taken as a whole, the conditions in solitary confinement at EMCF are the worst I have witnessed in my 40 years as a forensic psychiatrist investigating jail and prison conditions. These conditions can accurately be described as torture according to international human rights agreements and standards. They press the outer bounds of what most humans can psychologically tolerate.
Mental health care at EMCF for prisoners with serious mental health needs is so grossly deficient that it subjects all prisoners with serious mental health needs to significant risks of psychiatric deterioration, worsening prognoses, permanent psychiatric damage, and extreme suffering. Gross and unacceptable deficiencies in the areas of staffing levels, staff competency, medical records, screening for risk, crisis intervention, inpatient care, intermediate level of care, and outpatient care, and failure to obtain informed consent for treatment with psychotropic medications, among other things, make the mental health care shockingly substandard. The effects of these deficiencies are compounded by the neglect of patients' basic human needs, and by abuse by staff, and for those in the segregation units by the conditions there.
Qualifications
I am a medical doctor and have been licensed to practice medicine in the State of California since 1968. I am a Diplomate of the American Board of Psychiatry & Neurology (Psychiatry, 1974, for life).
I am on the staff of the Alta Bates Medical Center in Berkeley. I am Institute Professor in the Graduate School of Psychology at Wright Institute in Berkeley, and have been on the faculty of the Wright Institute since 1981.
I am Distinguished Life Fellow of the American Psychiatric Association and a member of the American Academy of Psychiatry and the Law and the American Association of Community Psychiatrists. I have served as President of the East Bay Psychiatric Association (local branch of the American Psychiatric Association) and I served for several years as Co-Chair of the Committee on Persons with Mental Illness Behind Bars of the American Association of Community Psychiatrists. I have conducted a private practice of psychiatry since 1974 and I currently maintain a clinical practice in Oakland, California.
I have testified as an expert in over thirty criminal and civil proceedings, in federal and state courts regarding jail and prison conditions, their effects on prisoners, the quality of mental health services, and the problem of sexual assault in correctional settings.
I have extensive experience investigating the conditions of confinement and the treatment of mentally ill prisoners in Mississippi, and in collaborating with the Mississippi Department of Corrections in efforts to ameliorate those conditions. I testified as an expert in two class action cases involving treatment of mentally ill prisoners and the psychiatric effects on prisoners of solitary confinement and other conditions in Mississippi prisons. In Russell v. Johnson (2003) I testified about the psychiatric effects of the conditions of confinement on Mississippi's Death Row at Parchman. In Presley v. Epps (2006), I testified about the abuse of mentally ill prisoners in Unit 32, the 1,000 bed supermax unit at Mississippi State Penitentiary. In both cases, the Court entered remedial decrees.
In Presley v. Epps, I assisted MDOC in the implementation of a consent decree that reduced the population in solitary confinement from 1,000 to 150 prisoners and reformed treatment of
prisoners with serious mental illness. In 2009, in collaboration with officials from Mississippi Department of Corrections (MDOC) and MDOC's private health contractor, Wexford, I published an article about this experience, "Beyond supermax administrative segregation: Mississippi's experience rethinking prison classification and creating alternative mental health programs." 1
I have had prior experience at EMCF in connection with my work in implementing the decrees in Presley v. Epps. In 2008 I toured EMCF and met with the mental health program director for The GEO Group ("GEO," the private company then running EMCF on contract with MDOC), in an attempt to understand the resources available for prisoners with serious mental illness in Unit 32 at Parchman who, under the terms of the consent decree in Presley, were to be transferred to EMCF for treatment. In January 2011, under the terms of a later decree whereby Unit 32 was to be permanently shuttered and all prisoners with serious mental illness who had been housed there were to be transferred to EMCF absent exceptional circumstances, I investigated the conditions of confinement and mental health treatment at EMCF and consulted with MDOC officials and their mental health contractor, GEO, in collaborative efforts to improve mental health treatment at EMCF. I again toured EMCF, conducted interviews with staff and prisoners, and met with custody and mental health administrators from MDOC and GEO, including MDOC's Deputy Commissioner Emmitt Sparkman and GEO regional Medical Director for Psychiatry, Dr. Cassandra Newkirk, to make specific recommendations to them. In October 2011, I reviewed and responded with specific recommendations to a proposal by MDOC/GEO for the creation of a Special Management Unit at EMCF, designed for prisoners on Unit 5.
In addition to the Mississippi cases in which I have testified as an expert, I have testified in the following cases, among others: Hadix v. Caruso (2008), regarding mental health care in Michigan prisons; DAI, Inc. v. NY OMH (2006), regarding mental health care in the New York Department of Correctional Services; Austin v. Wilkinson (2005), regarding the proposed transfer
1 Kupers, T. A., Dronet, T., Winter, M., Austin, J., Kelly, L., Cartier, W., ... & McBride, J. (2009). Beyond supermax administrative segregation: Mississippi's experience rethinking prison classification and creating alternative mental health Programs. Criminal Justice and Behavior, 36(10), 1037-1050.
of Ohio death row prisoners to Ohio State Penitentiary (a supermax facility); Jones 'El v. Berge (2001 and 2002), on the effects of isolated confinement on Wisconsin prisoners suffering from serious mental illness; Everson et al. v. Michigan Department of Corrections (2001), about prison staffing; Westchester County in Westchester Co. Correction Officers Benevolent Assoc., v. County of Westchester (2002, in deposition), about mental health care and prison staffing; Bazetta v. McGinnis, 2000, about the effect of visitation and its restriction on Michigan prisoners; Cain v. Michigan Dept. of Corrections, 1998, about conditions of confinement and their effect on mental health; Coleman v. Wilson, 1993, about conditions of confinement and the quality of mental health treatment for prisoners with mental illness in the California Department of Corrections; Gates v. Deukmejian, 1989, regarding the availability and quality of mental health services at the California Medical Facility at Vacaville; Toussaint/ Wright/Thompson v. Enomoto (1983), regarding conditions of confinement and effects of double-ceiling in the Security Housing Units of the California Department of Corrections; Neal v. Michigan DOC (2008), regarding custodial misconduct and sexual abuse of women prisoners.
I received a B.A. in Psychology from Stanford University with distinction and a Masters in Social Psychiatry degree from UCLA. I received my degree in medicine from UCLA School of Medicine where I was elected to Alpha Omega Alpha Honor Society. I completed an Internship in Medicine/Pediatrics/Surgery at Kings County Hospital/Downstate Medical Center in New York, a Residency in Psychiatry at UCLA NPI (Los Angeles) and Tavistock Institute (London), and a Fellowship in Social and Community Psychiatry at UCLA Neuropsychiatric Institute (NPI). Between 1974 and 1977, I was Assistant Professor in the Department of Psychiatry and CoDirector of the Psychiatry Residency Training Program of the Charles Drew Postgraduate Medical School in Los Angeles, and I was a staff psychiatrist and Co-Director of the Outpatient Clinic at Martin Luther King, Jr. Hospital in Los Angeles. From 1977 to 1981, I was staff psychiatrist and Co-Director of the Partial Hospital Program at the Richmond (California) Community Mental Health Center.
I have published extensively on the subject of mental illness in correctional settings. I have published more than two dozen articles in scholarly journals including "Beyond Supermax Administrative Segregation: Mississippi's Experience Rethinking Prison Classification and
Creating Alternative Mental Health Programs," Criminal Justice and Behavior, 36, 1037-1050 (2009); "What to do with the Survivors?: Coping with the Long-Term Effects of Isolated Confinement," Criminal Justice and Behavior, Vol. 35 No. 8, August (2008), pp. 1005-1016; "Malingering in Correctional Settings," Correctional Mental Health Report, 5, 6, 81-, March/April, (2004); "Violence in Prisons, Revisited," (with Hans Toch), Journal of Offender Rehabilitation, 45,3/4, 49-54, (2007); "Toxic Masculinity as a Barrier to Mental Health Treatment in Prison," Journal of Clinical Psychology, 61,6,1-2, (2005); "The SHIJ Syndrome and Community Mental Health," The Community Psychiatrist, Summer, (1998); "Trauma and Its Sequelae in Male Prisoners," American Journal of Orthopsychiatry, 66,2, (1996), pp. 189-196.
I have published a book on the subject of mental illness in prison, Prison Madness: The Mental Health Crisis Behind Bars and What We Must Do About It, Jossey-Bass/Wiley, (1999), and coedited another, Prison Masculinities, Temple University Press, (2003). Among book chapters I have written on the subject of mental illness in prison are "Psychotherapy with Men in Prison," in A New Handbook of Counseling & Psychotherapy Approaches for Men, eds. Gary Brooks and Glenn Good, Jossey-Bass/Wiley, (2001), "Posttraumatic Stress Disorder (PTSD) in Prisoners," in Managing Special Populations in Jails and Prisons, ed. Stan Stojkovic, Civic Research Institute, Kingston, NJ, (2005), and "Schizophrenia, its Treatment and Prison Adjustment," in Managing Special Populations in Jails and Prisons, ed. Stan Stojkovic, Civic Research Institute, Kingston, NJ, 2005). I wrote the Foreword for David Jones (Editor), Working with Dangerous People: The Psychotherapy of Violence, Oxon, UK: Radcliffe Medical Press Ltd., (2004); "The Role of Psychiatry in Correctional Settings: A Community Mental Health Model," Correctional Mental Health Report, Vol. 13, No. 3, September/October, (2011); "A Community Mental Health Model for Corrections," Correctional Mental Health Report, Vol. 13, No. 5, January/February, 2012, and "Isolated Confinement: Effective Method for Behavior Change or Punishment for Punishment's Sake?," The Routledge Handbook of International Crime and Justice Studies, Eds. Bruce Arrigo & Heather Bersot, Oxford: Routledge, (2013), pp. 213-232. I am Contributing Editor of Correctional Mental Health Report.
I have served as a consultant regarding prison conditions and the quality of correctional mental health care to the U.S. Department of Justice, Civil Rights Division. I have conducted trainings
for correctional and mental health staff in several departments of corrections. I serve as consultant to several public mental health agencies.
I testified as an expert to the National Prison Rape Elimination Commission, which was created by Act of Congress to investigate the problem of rape in U.S. prisons and jails and make recommendations for its elimination.
I have lectured and presented on mental illness in prison, at many professional meetings, including a Symposium Presentation, "The Experience of Individuals with Mental Illness in the Criminal Justice System," at the May 20, 2013 Annual Meeting of the American Psychiatric Association in San Francisco.
I received the Exemplary Psychiatrist Award from the National Alliance on Mental Illness (NAMI) at the annual meeting of the American Psychiatric Association in 2005; and the William Rossiter Award for "global contributions made to the field of forensic mental health" from the Forensic Mental Health Association of California in 2009.
I attach to this Report a copy of my current curriculum vitae, which includes a list of all the publications I have authored in the past 10 years and a list of all the cases in which I have testified at trial or deposition during the past four years.
COMPENSATION
My rate of compensation in this case is $225/hour for all work except deposition and testimony at trial, for which my rate is $450/hour.
FACTS AND DATA CONSIDERED IN FORMING OPINIONS
In forming my opinions in this Report, I considered the information I gathered during the three days I spent at EMCF, April 23 – April 25, 2014, touring the facility, discussing various practices and policies with staff, and interviewing prisoners. I conducted individual interviews of 23 prisoners in a private meeting room and conducted an additional 27 individual interviews of prisoners on the units while touring. In addition, I conducted group interviews of more than
25 other prisoners in groups that I assembled by entering general population Units and asking several prisoners, randomly selected, to sit with me and discuss their prison experience and programs. I also met for approximately a half hour with six prisoners, most from Unit 4, in the waiting room of the medical clinic. My tours included visits to Units 5 and 6 on 4/23/14. I spent approximately an hour and a half entering pods, speaking with staff and with prisoners locked in their cells or the showers. I returned to Unit 5 on 4/24/14 and visited the day room on one pod and the control booth. I visited the Crisis Unit in the Medical Department (Observation Cells) and spoke with the prisoners in Observation. I toured Unit 3 C and talked with approximately 20 prisoners individually and in groups in the dayroom. I toured Units 1A, 2A, 2B, 3A, 3B, 4A, and 4C and spoke with prisoners in each location.
I reviewed electronic medical/mental health records (EMR) for over a dozen prisoners that are mentioned in this report, and reviewed the summaries of EMRs prepared and submitted by Dr. Bart Abplanalp. I reviewed a transcript of the Deposition of Captain Matthew Naidow. I reviewed the July 19, 2012 Contract for Medical Services at EMCF between MDOC and Health Assurance, LLC. I reviewed numerous policies of MDOC and Health Assurance, LLC; lists of prisoner grievances; incidents reports; audits; email correspondence of Dr. Carl Reddix; MDOC monitor reports; Reports in this matter by Dr. Bart Abplanalp, Eldon Vale and Dr. Marc Stern; the summary prepared by Madeleine LaMarre of the case of one individual prisoner; and numerous other documents provided in discovery. I reviewed sworn prisoner declarations by prisoners #11, #31, #65 and #66. I reviewed eight videos of use of force episodes, including medical treatment in some cases. I reviewed photographs taken of the facility in April 2014 by environmental health expert Diane Skipworth and by the ACLU and SPLC.
Exhibit B to this Report contains a complete list of the documents I considered in preparing this report.
I have created a numbered Name Key, Exhibit C. I will refer to prisoners throughout this declaration by their number on that Name Key.
I expect to consider additional documents, data and facts as they become available to me and to
modify or supplement my opinions if need be in light of any such new materials.
OPINIONS AND BASIS AND REASONS FOR OPINIONS
In forming my opinions, I have relied on my training in general psychiatry, social and community psychiatry and forensic psychiatry; my decades of experience as a clinician, educator, researcher, and consultant in the areas of the delivery of mental health services in prisons and jails, and on the effect on mental health of solitary confinement and other conditions of confinement; my experience as an expert in other cases, including in the Mississippi Department of Corrections and my earlier investigations regarding the treatment of prisoners with serious mental illness at EMCF; my experience as a clinician who has visited correctional facilities and interviewed many administrators, staff and prisoners in numerous states; my familiarity with the literature of psychiatry and the social sciences; my experience as a trainer and consultant in correctional settings; and my extensive clinical practice in my office and in public agencies where I have treated and trained others to treat patients who have been imprisoned; my familiarity with position statements by and guidelines and standards of professional organizations.
OPINION 1: The conditions in isolated confinement housing at EMCF are so shockingly harsh and inhumane as to subject all prisoners housed there to a significant risk of serious psychiatric symptoms and breakdown, and to subject the less healthy prisoners to significant risk of very severe and possibly irreversible psychiatric consequences, including psychosis, mania or compulsive acts of self-abuse or suicide.
I.A. The Known Effects of Long-Term Solitary Confinement
For the purpose of this Report, I will utilize the following definition of isolated confinement or solitary confinement:
Segregation from the mainstream prisoner population in attached housing units or freestanding facilities where prisoners are involuntarily confined in their cells for upwards of 22 hours a day or more, given only extremely limited or no opportunities for direct and normal social contact with other persons (i.e., contact that is not mediated by bars, restraints, security glass or screens, and the like), and afforded extremely limited if any access to meaningful programming of any kind. 2
2 Haney, C. (2009). The social psychology of isolation: Why solitary confinement is psychologically harmful. Prison Service Journal, 12.
The locations of isolated confinement at EMCF include approximately 120 prisoners in longterm segregation in Unit 5, approximately 30 prisoners in short-term segregation in Unit 6D, and any or all housing units at EMCF when they are on lock-down status, which occur when prison officials deem that a security problem exists requiring round-the-clock cell confinement of all prisoners, including those in general population. During lockdowns, prisoners are almost entirely isolated and idle and often are not even permitted to go to the yard for recreation. Lockdowns occur frequently at EMCF and can last weeks or even months at a time. (Naidow Declaration, p. 20). I should note that patients in psychiatric observation or the medical unit may also be subjected for extended periods of time to conditions that are the equivalent of isolated confinement. Thus a significant proportion of the prisoner population at EMCF experiences isolated confinement for extended periods of time.
Long-term confinement (greater than three months) in an isolated confinement unit is well known to cause severe psychiatric morbidity, disability, suffering and mortality. 3 It has been known for as long as solitary confinement has been practiced that human beings suffer a great deal of pain and mental deterioration when they remain in solitary confinement for a significant length of time. In 1890, the U.S. Supreme Court found that in isolation units, "[a] considerable number of prisoners fell, after even a short confinement, into a semi-fatuous condition, from which it was next to impossible to arouse them, and others became violently insane; others still, committed suicide; while those who stood the ordeal better were not generally reformed, and in most cases did not recover sufficient mental activity to be of any subsequent service to the community." 4
3 For reviews of this research, see: Smith, P. S. (2006). The effects of solitary confinement on prison inmates: A brief history and review of the literature. Crime and justice, 34(1), 441-528; and Arrigo, B. A., & Bullock, J. L. (2008). The psychological effects of solitary confinement on prisoners in supermax units: Reviewing what we know and recommending what should change. International Journal of Offender Therapy and Comparative Criminology, 52(6), 622-640.
4 In re Medley, 134 U.S. 160 (1890).
It has been known for decades that suicide is approximately twice as prevalent in prison as in the community. Long-term consignment to segregation is a major factor in the high suicide rate among prisoners. Recent research confirms that of all successful suicides that occur in a correctional system, approximately fifty percent involve the 3 to 8 percent of prisoners who are in some form of isolated confinement at any given time. 5
In 2005, in an amicus brief to the United States Supreme Court, leading mental health experts summarized the clinical and research literature about the effects of prolonged isolated confinement and concluded: "No study of the effects of solitary or supermax-like confinement that lasted longer than 60 days failed to find evidence of negative psychological effects." 6
It has been my experience, from prison tours and clinical interviews of prisoners held in longterm near-24-hour cell confinement similar to the segregation pods on Units 5 and 6 at EMCF, that isolated confinement is likely to cause psychiatric symptoms such as severe anxiety, depression and aggression in relatively healthy prisoners, and cause psychotic breakdowns, severe affective disorders and suicide crises in prisoners who have histories of serious mental illness or are prone to mental illness.
There is a rich research literature on the effects of long-term solitary confinement in prison. 7 Hans Toch provided early narrative reports from prisoners at the highest levels of security and
5 Mears, D. P., & Watson, J. (2006). Towards a fair and balanced assessment of supermax prisons. Justice Quarterly, 23(02), 232-270; Way, B. B., Miraglia, R., Sawyer, D. A., Beer, R., & Eddy, J. (2005). Factors related to suicide in New York state prisons. International Journal of Law and Psychiatry, 28(3), 207-221; Patterson, R., & Hughes, K. (2008). Review of completed suicides in the California Department of Corrections and Rehabilitation, 1999 to 2004. Psychiatric Services, 59(6), 676682.
6 Wilkinson v. Austin, U.S. Supreme Court, No. 04-495, Brief of Professors and Practitioners of Psychology and Psychiatry as Amicus Curiae in Support of Respondent, 2005.
Total confinement: Madness and reason in the maximum security prison, Berkeley, CA: University of California Press; and Shalev, S. (2009). Supermax: Controlling risk through solitary confinement, Portland, Oregon: Willan Publishing.
7 For an overview of supermaximum security and isolated confinement, see Rhodes, L. (2004).
Isolation. 8 Craig Haney has researched the detrimental effects of long-term isolation, 9 including feelings of anxiety and nervousness, headaches, troubled sleep, lethargy or chronic tiredness, nightmares, heart palpitations, obsessive ruminations, confused thinking, irrational anger, chronic depression, and fear of impending nervous breakdowns. Nearly half suffered from hallucinations and perceptual distortions, and a quarter experienced suicidal ideation. Stuart Grassian has conducted similar research. 10
Sheilagh Hudgins and Gilles Cote performed a research evaluation of penitentiary inmates in a Super-maximum Security Housing Unit and discovered that 29% suffered from severe mental disorders, notably schizophrenia. 11 David Lovell has described typical disturbed behavior. 12 I have reported my own findings from litigation-related investigations. 13
Whatever form of serious mental Illness the prisoner suffers, there is a strong tendency for it to be exacerbated by long-term isolated confinement such as exists at EMCF on Units 5 and 6 and during lockdown on other units. Prisoners prone to psychotic episodes will predictably have a "breakdown" triggered by the stark isolation and idleness of segregation, and prisoners prone to despair, self-harm and suicide will tend to have crises and harm themselves. On average, I can generalize to a reasonable degree of medical certainty, the longer prisoners suffering from or
8 Toch, H. (1975, 1992). Mosaic of despair: Human breakdown in prison, Washington, D.C.: American Psychological Association.
9 Haney, C. (2003). Mental health issues in long-term solitary and "supermax" confinement. Crime & Delinquency, 49(2), 124-156.
10 Grassian, S., & Friedman, N. (1986). Effects of sensory deprivation in psychiatric seclusion and solitary confinement. International Journal of Law and Psychiatry, 8(1), 49-65.
11 Hudgins, S., & Cote, G. (1991). The mental health of penitentiary inmates in isolation. Canadian Journal of Criminology, 177-182.
12 Lovell, D. (2008). Patterns of disturbed behaviour in a supermax population. Criminal Justice and Behaviour, 35(8), 985-1004.
13 Kupers, T. (1999). Prison madness: The mental health crisis behind bars and what we must do about it. New York: Jossey-Bass/Wiley.
prone to serious mental illness are consigned to isolated confinement, the more severe their mental disorders become and the worse their disability and prognosis.
I.B. MDOC's Awareness of the Damaging Effects of Prolonged Isolated Confinement
MDOC is well aware of the damaging effects of prolonged isolated confinement on all people, and especially on persons with serious mental illness. I testified to those effects in 2003 in the Mississippi death row trial, Russell v. Epps, and again in 2006 in the Unit 32 supermax case, Presley v. Epps. The Presley case resulted in a consent decree reducing the solitary confinement population by eighty-five percent and the creation of a mental health step-down unit, and the publication in 2009 of an article jointly authored by me and MDOC leadership and its mental health providers and classification experts recounting the need for and the success of these reforms. 14
I toured EMCF again in 2011, and met with and made recommendations to MDOC's Deputy Commissioner, and GEO's regional Medical Director for Psychiatry concerning the treatment of prisoners at EMCF. Specifically, I recommended that no prisoner should be consigned to the segregation units, Unit 5, and Unit 6D indefinitely; all prisoners must be provided a series of incremental phases they can traverse to gain transfer out of segregation; the phases must be very brief, and the rate of movement of prisoners out of Unit 5 would be the measure of success for the program. I recommended removing prisoners with serious mental illness from long-term segregation on Unit 5. I also pointed out in no uncertain terms that there were insufficient mental health treatment and rehabilitation programs on Unit 3C, where, I was told, the most intensive mental health treatment programs were located. I also pointed out that it was entirely unacceptable that the men in that unit are almost totally idle and lack meaningful treatment. I explained how psychotropic medications are a part of a mental health treatment plan, but not in themselves adequate treatment. I pointed out problems with the Crisis Intervention component of mental health services, specifically that there was "recycling" whereby prisoners would be
14 Kupers, T. A., Dronet, T., Winter, M., Austin, J., Kelly, L., Cartier, W., ... & McBride, J. (2009). Beyond supermax administrative segregation: Mississippi's experience rethinking prison classification and creating alternative mental health programs. Criminal Justice and Behavior, 36(10), 1037-1050.
transferred from segregation to Observation, and after a brief tenure there would be transferred back to segregation, where there would be too little follow-up treatment and they would again become acutely suicidal and a high risk of self-harm.
In October 2011, after reviewing a remedial proposal submitted by GEO and MDOC, I responded with recommendations, which were well received. There was consensus among all parties to that discussion that no prisoner should be consigned indefinitely to Unit 5, that incremental rewards and advancement to greater freedom and eventually general population should be built into each phase of the program on Unit 5, and that the phases should be relatively short. Because of that consensus, I was hopeful that EMCF might become a model facility for the housing and treatment of prisoners with serious mental illness.
It was therefore with great shock that I witnessed the actual conditions at EMCF today for prisoners housed in isolated confinement, and the treatment of those with serious mental illness. The situation at EMCF has deteriorated badly since the last time I visited in 2011. A large group of prisoners, very many suffering from serious mental illness, are consigned to long-term segregation in Unit 5 for years and seemingly have no exit route. The conditions on Unit 5 are inexcusably horrible. Meanwhile, there is practically nothing in the entire institution that would qualify as mental health treatment other than an occasional stint in an "Observation" cell for prisoners who evidence acute suicide risk, and the administration of high doses of psychotropic medications, often under duress and without informed consent.
I.C. Conditions for Prisoners in Isolated Confinement
Taken as a whole, the conditions in solitary confinement at EMCF are the worst I have witnessed in my 40 years as a forensic psychiatrist investigating jail and prison conditions. These conditions can accurately be described as torture according to international human rights agreements and standards. They press the outer bounds of what most humans can psychologically tolerate.
The treatment of prisoners in isolated confinement at EMCF is likely to cause them significant psychiatric damage. They are subjected to profound isolation from human contact and sensory deprivation, deprived of access to any meaningful activity, and deprived of access to minimally adequate mental health treatment. Staff are shockingly inattentive to the prisoners basic human needs. Furthermore, the toll that isolated confinement takes on these prisoners is enormously exacerbated by appallingly cruel features of the segregation pods at EMCF that cause further psychiatric damage.
A large proportion of prisoners consigned to long-term segregation or isolation in recent decades suffer from serious mental illness, and this is certainly true at EMCF. Security and mental health staff at EMCF are well aware that there are many seriously mentally ill prisoners consigned to the solitary confinement units at EMCF. (Capt. Naidow Deposition, p. 70).
The many prisoners in segregation on Units 5 and 6 whom I interviewed gave me consistent accounts of the classic symptoms of long-term isolated confinement. For prisoners who had not suffered significant symptoms of mental illness prior to being housed in isolated confinement, the conditions of their confinement, especially the profound, unremitting isolation and idleness, the dark cells, the filth, and the neglect by staff caused profound depression and anxiety and in many cases repetitive, compulsive acts of self-harm such as cutting. For those who had preexisting serious mental illness, the conditions in segregation at EMCF greatly exacerbate their psychiatric disorder and worsen their disability and prognosis. These prisoners exhibited many of the psychiatric symptoms that are widely understood to be induced by extended time in isolated confinement.
One of the most shocking conditions in the isolated confinement cells in Units 5 and 6D is the deprivation of light. Many, perhaps most, of the prisoners housed there are forced to live in the dark for weeks or months on end. The solid metal cell doors have a small "window" that does not open and a food port. A prisoner in the cell is isolated behind the solid door even from people passing by on the tier, more so than he would be if the door was constructed of bars. Then, in most cells I visited on Unit 5 and 6D, and in the cells of prisoners I interviewed, the light bulb, which is supposed to be screwed into a fixture on the ceiling of the cell, is broken or entirely missing. The small horizontal window on the exterior wall of the cell is more than six feet high and does not provide significant light in their cell. Thus the cells are in near total
darkness 24 hours per day. During my tour of EMCF, a large majority of the cells in the segregation units were dark in the middle of the day, and most of the inhabitants of the cells were lying on their bunks in darkness. I have never, in my 40 years touring prisons, seen anything like this.
Captain Matthew Naidow, who works as a captain of security at EMCF, confirms that many cells lack light, but explains that the prisoners break the light bulbs. (Naidow Deposition, p. 19 & 45) But many prisoners told me that they have spent weeks or months in total darkness because their light bulb has been missing since they moved into the cell, or it broke because there are no light switches in the cell and they had to screw and unscrew the bulb in order to turn it off or on, and staff either ignore their requests for a replacement or tell them that bulbs are not available.
Depression and paranoid thinking are severely exacerbated by excessive darkness. The prisoner consigned to a dark cell is left entirely alone to ruminate about self-deprecating or paranoid themes, and there his psychiatric condition is almost certain to deteriorate on account of the stark isolation and idleness. Living in excessive darkness also results in loss of diurnal rhythm (the steady alternation of day and night that provides human beings with orientation as to time). Human beings require diurnal changes in lighting to maintain their sanity. These diurnal changes foster the rhythm of night and day that provides not only a sense of orientation, but also makes possible the physiological processes that we require to function as human beings. Individuals suffering from mental illness are especially harmed by a lack of diurnal cycles of light and dark.
Another consequence of the loss of diurnal rhythm is sleep deprivation, which greatly exacerbates the tendency to suffer psychiatric breakdown and become suicidal. Loss of sleep creates fatigue and magnifies cognitive problems, memory deficits, confusion, anxiety, and sluggishness. All of the prisoners I interviewed from the segregation pods on Units 5 and 6 reported great difficulty sleeping at night.
A large proportion of the prisoners in isolated confinement at EMCF suffer from serious mental Illness, and some of these prisoners are prescribed relatively high doses of psychotropic
medications, often by injection and, in some cases, over their objection. Lack of initiative, passivity and lassitude are very disabling symptoms of Schizophrenia, and all of these symptoms are exacerbated when the patient is administered tranquilizing medications and not provided any kind of congregate activity or meaningful productive pursuits. Drugged and sedated, they spend their days in a dark cell, sleeping much of time, and not able to engage in productive activities of any kind. This combination of factors is well known to worsen mental illnesses of all kinds.
Some of the prisoners told me they are glad to be drugged so they can sleep all day as a way of escaping the despair produced by their environment. But the drugging and sleeping all day have very damaging effects on the prisoners' psychiatric condition and their long-term prognosis. Social connections and meaningful productive endeavors are a big part of the treatment for depression, even while psychotropic medications are prescribed. In the short-run, these heavilysedated prisoners in isolated confinement may be relatively quiet and docile, but in the long-term, the extended period of sedation results in the withering away of their social skills and ability to engage in meaningful and productive pursuits. The possibility of their adjusting to life in the general population or the community at the end of their stint in isolated confinement is greatly diminished.
As I toured the segregation pods on Units 5 and 6 I observed portable telephones stored outside the door to the pods. They seem to be phones that can be wheeled to the cells. Yet prisoners in segregation universally told me that they are denied phone calls, and those phones are never wheeled onto the pods and are never made available to the prisoners.
Contact with loved ones is one of the most effective measures to support the mental health and eventual rehabilitation of prisoners. Prisoners who have maintained quality contact with loved ones (parents, partners, children and so forth) throughout a prison term have an impressively lower recidivism rate than those who have lost or been denied contact with family and friends. When a patient in a psychiatric hospital experiences an acute crisis, the staff make every effort to contact the family and involve them in the treatment. It makes no sense at all that prisoners in segregation at EMCF are denied telephone contact with loved ones. Cutting them off from family and friends in the community has the effect of worsening their psychiatric condition.
I was disgusted by the shocking level of filth and lack of sanitation I witnessed in the common areas of the segregation pods and in very many cells in the segregation pods of Units 5 and 6. When I walked onto the pod, I saw Styrofoam trays and food waste scattered all around, mixed with large puddles of water and what appeared to be excrement and/or blood. There was a stench of garbage and excrement. The prisoners I interviewed reported that overflowing toilets are a very common problem, that the unit is infested with rodents and that their cells are filled with rat droppings.
The prisoners I interviewed from the segregation units without exception reported to me that they do not receive basic cleaning materials to keep their cells clean. Prisoners are issued a small bar of soap each week, by their report not even enough soap to clean their bodies; yet many prisoners report using that tiny bar of soap to clean their unbearably filthy toilets and cells. Several prisoners report putting an arm through the food port when an officer opens it to deliver a food tray, and refusing to remove it until someone brings some cleaning supplies (or takes them to medical, or to a shower, etc.), even though they realize that this desperate measure of seeking help will most likely result in a disciplinary report and perhaps a violent take-down and gassing.
Evidence of feces smeared on the walls in the segregation pods on Units 5 and 6 reflect extreme neglect of the prisoners by staff. Compulsive smearing of feces is a commonplace phenomenon in institutions where individuals with mental illness are severely neglected and experience total lack of control over their environment. In the segregation units at EMCF there is so much severe and inadequately treated mental illness, such gross inattention by staff, and such intolerably filthy and harsh conditions that the smearing of feces becomes a predictable response by mentally ill prisoners to their dreadful plight.
There are serious medical and mental health ramifications when living units are as filthy as the ones I viewed at EMCF, where the staff do not clean the units and the prisoners are given no cleaning supplies and must live in cells filled with rat droppings and where toilets have overflowed and feces has been smeared on the walls.
When I toured EMCF in 2011 with nursing expert Madeleine Lamarre, I noticed that many prisoners appeared to be malnourished, and many prisoners reported to me that they were always hungry and had lost significant weight after spending a few months at EMCF. Ms. Lamarre found that significant weight loss, of up to twenty or thirty pounds, was documented in the medical records of a number of prisoners. During my recent tours, I again noticed that many prisoners appeared malnourished, and several prisoners told me that they were always hungry and had lost significant amounts of weight over several months in segregation.
I.D. Abandonment by Staff and Profound Neglect of Prisoners' Basic Human Needs in Solitary Confinement
I do not believe I have ever witnessed in a prison the level of neglect on the part of staff that I witnessed at EMCF. The level of neglect by line staff in the segregation pods on Units 5 and 6 is incredible, abhorrent, and far beneath all standards of correctional care and decency.
The prisoners in segregation unanimously reported that staff rarely come by to check on them, and they are unable to get the staff to pay attention to their basic needs, whether for a light bulb for a dark cell, electricity that shuts down, cleaning supplies, toilet paper, repair of a toilet that is backing up and flooding their cell with excrement, or to see a doctor or mental health clinician for an urgent medical or mental health need. Eldon Vale documents in his report an unconscionable lack of regular 30 minute cell checks by custody officers (see Eldon Vale Report).
Many prisoners report that their emergency call button does not work, or even if it works staff do not respond when they press it. I did a test of the call buttons. I went to the control booth overlooking one of the segregation pods on Unit 5 where an officer is stationed and controls the opening and closing of unit and cell doors, and there are multiple video camera monitors and control technology for the entire Unit. An attorney went to the cells of several prisoners and asked them to press their emergency buttons. Over half of the emergency call buttons did not register in the control booth, and when the call did register, there was no sound so it would only be detected if the officer in the control booth happened to open the window on her computer screen where the call buttons registered.
Often the officers do not even take the prisoners to yard for their allotted recreation time, or to showers, for weeks on end. Furthermore, quite a few prisoners report that when officers do take them to the yard or the shower, they sometimes leave them locked in the exercise area of shower cubicles for many hours. During my tour of Unit 5 I talked to three men locked in the tiny shower cubicles, who told me they had been locked in the shower for a couple of hours. Captain Naidow confirmed that prisoners can be left locked in the showers for hours (Naidow Deposition, p. 46). Madeleine LaMarre and I observed this exact same phenomenon when we visited EMCF in 2011, and reported this issue to MDOC officials.
Over half of the prisoners I interviewed who were housed on Unit 5 or Unit 6D spontaneously and independently told me that not only are the officers absent from the segregation pods most of the time, and not only does no staff come when they scream or bang on their cell door, but also that security is so lax on the pods that it puts them at grave risk. Many prisoners report, and Captain Naidow confirmed, that inmates can manipulate the locks on their cell doors, and that in addition inmate-on-inmate attacks occur when staff permit certain prisoners in the segregation pods to be out of their cells and unsupervised (Naidow Deposition, pp. 37-40).
Prisoners also told me that staff are so inattentive that when they escort a prisoner back to his cell after showers or yard, the prisoner can simply stop in front of a cell that is not his and the officer will unlock that cell door and let him enter, without checking if it is his cell and whether there is another prisoner in that cell. After the officer leaves, the prisoner who has gained entry to another's cell can assault or obtain willing or coerced sex from the inmate who lives there.
Prisoners #3, #8, #9, #10, and #11 independently told me about staff leaving prisoners free on the Pod where they can harm other prisoners. Prisoner #26 reports that while he was being escorted in handcuffs by an officer from his cell in segregation on Unit 5 to the showers, he was forced to walk very close to the cells along the way, and that another prisoner reached through the food port and stabbed him multiple times. Quite a few prisoners told me that they are forced to take
sedating psychotropic medications and then, in a "doped up" state, they are more vulnerable to attack and less able to defend themselves. This fact, added to the lack of security in their segregation cells, makes them quite anxious about their safety.
Captain Naidow testifies that some officers are corrupt, some are involved with the gangs or with individual prisoners in illegal smuggling of contraband and drugs and in extortion, prisoners can defeat the locks on their cell doors in segregation and get loose on the segregation pods to harm other prisoners, and some corrupt officers do let certain prisoners out and collude with their assaults on other prisoners (Naidow Deposition, p. 37-40, 89, 92-93). He does not believe sexual assaults happen often, but they do happen. Eldon Vale documents in his Report that senior officials in the MDOC are aware of the security problems reported by the prisoners and confirmed by Captain Naidow. Eldon Vale also notes that the contraband report for August, 2013 reflects that 62 weapons were found by staff, 20 of them in Units 5 and 6.
Thus the prisoners' perceptions are frighteningly accurate: EMCF is a very dangerous place. This fact weighs very heavily on prisoners with serious mental illness, for example they need to think seriously about how their tranquilizing medications will slow them down and make them more vulnerable to attack, and this concern plays into many prisoners' reluctance to cooperate with the administration of their psychotropic medications. Prisoner #12 explained to me that "the shots slow me down, then I get threatened by other prisoners, and that's why I don't want to get the shots." Prisoner #23 told of being attacked by another prisoner who threw scalding water on him, scarring him on the left arm, "It happened the same day as the shot, you're sleepy, you can't respond when someone attacks you."
The prisoners' reports of custodial staff's indifference to the most basic prison security were also corroborated by the extraordinary amount of contraband openly strewn about the Unit. When I toured Unit 5, I saw many improvised strings or ropes – "fishing lines" - that are used by prisoners to communicate from cell to cell. And many of the windows on cell doors were completely covered, which is also against the rules as a security risk. Staff on the pod at the time I visited seemed entirely unconcerned about the fishing lines and the covered windows, as if they are a frequent occurrence and staff do not remedy the situation.
There is much objective basis for the prisoners' fear and their panic that nobody will heed their cries for help and they will die of a stabbing, or a heart attack. Dr. Marc Stern concluded his report on medical care at EMCF that he found ample evidence that inmates at EMCF do not have timely access to urgent care. 15 Dr. Stern discusses a Patient #23 (for the purpose of my report, he is Prisoner #68). This 43 year old African American man died in the custody of EMCF. He suffered from very severe heart disease with hypertension and anemia, as well as Schizophrenia. He spent several months in Observation in the Medical Department before being sent back to a segregation cell on Unit 5 for a month, and then died there on December 18, 2013. (Stern Report, Prisoner #23) Dr. Stern describes the repeated and systematic neglect of this man's legitimate and emergency medical complaints by both custody staff and medical staff.
This tragic case evidences abominable and inexcusable neglect by staff, both custody and medical. Prisoners universally complain of precisely this kind of neglect and failure to heed prisoners' cries for help, and that neglect then leads many prisoners in segregation cells to commit bizarre, illegal and ineffectual actions they believe to be the only way to get the urgent attention they need. Prisoner #68 (my numbering system) reportedly set fire to his cell the day prior to his death and in the medical record a nurse (L.P.N.) wrote "the patient set fire to his cell to get medical attention." In fact, when someone like Prisoner #68 dies unattended, the prisoners in surrounding cells become very frightened, fearing the same neglect would happen to them if they had a heart attack or other emergency medical crisis, or if they were attacked by another prisoner.
I.E. Punishment for Seeking Staff Attention to Urgent Needs
The prisoners' desperate pleas for help are likely to be either met with staff callousness or even abuse. The staff views these inmates as troublemakers, and responds to them in an increasingly insensitive, punitive or even abusive manner. But when human beings are subjected to extremes of isolation and idleness, and deprived of every vestige of control over their environment, and in addition are denied social contact and all means to express themselves in a constructive manner; then it is entirely predictable that they (or almost any human being) will resort to increasingly
15 Dr. Marc Stern Report, Patient 23
desperate acts to achieve some degree of control of their situation and to restore some modicum of self-respect.
Prisoners are harshly punished for violating the rule against putting their arm through the food port, even when the purpose of the gesture is to summon urgently needed help. The prisoner may be issued a Rule Violation Report (RVR); furthermore, a group of officers in riot gear likely shoot immobilizing gas into the prisoner's cell, or even directly at his face, and then storm his cell to perform a take-down. Often there are injuries sustained during the take-down. All of the prisoners I spoke with on the segregation pods tell me that the use of immobilizing gas is quite frequent and that they be put back in their cells without the opportunity to decontaminate either their bodies or cells. Eldon Vail's analysis of videotapes corroborates the prisoner accounts. Prisoners resort to other extreme behaviors to try to summon help for emergency needs. The prisoner "floods the range," meaning he stops up his toilet or sink and lets water run over the floor of his cell and out onto the common spaces on the pod, or they light fires in an effort to summon help or call for attention. I saw a number of cells with burnt areas on and around the door. Prisoner #23 set a fire in his cell on 12/28/13 and had to be removed from that cell and monitored for breathing problems. In the EMR for that date it is noted "he had set fire in his cell because he felt his life was in danger and that was the only way he could get any help." Or the prisoner resorts to self-harm in an effort to summon urgently needed attention and assistance.
In a prison where staff are this neglectful and prisoners so often perform bizarre acts of self-harm in order to gain staff attention to needs the prisoners consider urgent, it is inappropriate for staff to issue Rule Violation Reports for the inappropriate behavior without actually responding to the needs the prisoner is expressing in an inappropriate way. In other words, it is not acceptable for the staff to fail to ameliorate the neglect, and then merely penalize the prisoner for taking measures to seek needed help.
For example, an RVR was issued to Prisoner #67 by a mental health staff member on April 26, 2013, for "Faking an illness or injury by reporting he was going to cut himself due to securityrelated issues" (RVR No. 01288802). In the electronic medical record for Prisoner #67 there are several entries on April 25 and 26, 2013, reflecting that the prisoner is very upset about being on lockdown on Unit 1 (essentially he is in isolation during lockdown, and he complains he is
experiencing symptoms of isolation), is very fearful that someone is going to die when the lockdown ends, is clearly nervous and agitated, is seen by staff tying a ligature around his neck, asks several times to talk to mental health, and then is seen on rounds by the mental health counselor who wrote the RVR. At the time of their encounter, the prisoner was scraping a razor blade against the wall "to sharpen it" (quote from MHC's note on the EMR).
The mental health counselor ignores the prisoner's anxious, agitated state and very real concerns (i.e., when the lockdown ends, somebody is going to die, which upsets this prisoner quite a lot) and opts to issue a Rule Violation Report (RVR) instead of offering to talk to the prisoner about his anxiety and concerns. At EMCF, where staff are appallingly neglectful of prisoners' urgent needs including the need to talk to a mental health staff member about a perceived deadly situation, the issuing of such an RVR is merely another reflection of staff callousness.
I.F. Degrading and Dehumanizing Treatment by Staff
The extremity of the neglect of prisoners by staff at EMCF comes to a head in a repetitive drama on Unit 5 involving the prisoners who put an arm through the food port of their cell door in order to gain staff attention to their urgent needs. 16
Officers require prisoners who have previously broken the rules by "bucking the tray flap" (refusing an order to remove an arm from the tray slot) to kneel on the floor at the back of their cell and to put their mattress on the floor next to the cell door when it is time for the food tray to be delivered, so the officers can throw the container of food through the food port onto the mattress. If the prisoner refuses to put his mattress on the filthy floor and kneel on the floor behind it the officers refuse to deliver the meal. Some prisoners say that at times they go hungry rather than accept the humiliation of being fed like an animal.
Prisoners # 11, 31, 65 and 66 submitted declarations describing this dreadful procedure. Prisoner #65, confined in segregation on Unit 5B, declares: "When the food tray is thrown into my cell, the food that is on the tray spills out onto the floor. If I refuse to go to the back of my cell, I cannot eat because the officer will refuse to give me my food tray. I have gone without eating
16 See Declarations of Prisoners #11, #31, #65 and #66.
approximately 4 or 5 times in a two week period because I would not go to the back of my cell and have my food thrown onto the floor…. I refuse to go to the back of my cell because having my food thrown at me makes me feel like an animal.." The electronic medical record of Prisoner #65 contains this entry for April 29, 2014: "Chief Complaint: Referred to this provider with report that the offender has cut himself - presents with superficial cut to right forearm. Reports reasons for cutting himself – 'got mad....they messing with our trays..want us to go to the back of the cell and get on our knees...we ain't no dogs...'"
I.G. Some Illustrative Cases
The following examples are typical of the descriptions that prisoners gave me of their existence in the segregation units at EMCF.
Prisoner #2, a 29 year old African American man, has been in long-term segregation on Unit 5 for a year. He reports ongoing hallucinations and on the mental status examination I conducted he is quite obviously suffering from a psychotic process. He is prescribed powerful antipsychotic medication but is not undergoing any kind of congregate activity, talking therapy or rehabilitation, and spends all of his time, 24 hours per day, idle in a dark cell with no light and a solid metal door increasing his isolation. This harsh environment will further damage his mental condition, his disability and his prognosis. In the Electronic Medical Record (EMR) his diagnosis is Schizophrenia, he is prescribed Haldol Decanoate 150 mg. by injection every 28 days. There are notes indicating medication compliance had been an issue and the patient does better when continuity is maintained with 28-day injections. Interspersed between notes about his psychotic symptoms, non-compliance with medications, and assaultiveness, are notes by mental health counselors stating he is not having problems and mental status examination is normal. The alternation between notes reflecting psychiatric crises by the psychiatric nurse practitioner, and notes by mental health counselors stating the prisoner is doing fine, is a problem in many of the EMRs we reviewed.
Prisoner # 7 is a young African American man who has been on Unit 6D (Short-term punitive segregation) only for a few days, though he had been there previously. On mental status exam there is apparent depressed affect and slowness (psychomotor retardation), signs of depression.
He was sentenced to a period in segregation for refusing housing with "gang bangers." He says he did not have a hearing, and does not know how long he will remain in segregation. He has become increasingly depressed even after a few days on his current segregation pod. Not knowing when he will be released from segregation and not being able to do anything to hurry his release make him more depressed. There was no light in his cell when he moved in, and when he pointed that out the officer said they do not have any replacement bulbs. He remembers becoming much more depressed after being moved into the segregation unit. He would think seriously of cutting himself. "It's a dark cell. What do you do? You sit there' (he laughs)."
Prisoner 7 also tells me that there are never any officers around the pod, and the buzzer in his cell does not work, so there would be no way for staff to know if he were in a medical crisis. He adds, "You can yell, but they don't hear you." He tells me mental health staff mostly do not talk to prisoners during rounds. He estimates a mental health counselor enters the pod and leaves within 5 minutes, meanwhile not really talking to anyone.
Prisoner 7 tells me he has a G.E.D. and would like to write letters to his family, but he can't write from 'the hole.' "The guards here don't care about you, they do a lot of gassings (spraying of prisoners with pepper spray or another immobilizing gas)." He tells me that just about every day there's a fire on the pod. "The CO's just put out the fires and leave all the burnt stuff there." He tells me the voices he hears get louder and more persistent when he is in segregation, especially when it is dark in his cell all day, he gets much more anxious and depressed, and he thinks constantly of cutting himself, which happens only when he is in segregation. He shows me a large, ugly scar on his arm from cutting himself while in segregation. In segregation he almost compulsively slashes his arm, he says, to try to get sent to the medical department. He has also attempted suicide by hanging in the past. He avers hearing voices, talking to spirits, and on at least two occasions being imminently suicidal "because of the situation in this prison." He admits he should be in prison, but "I don't deserve the torture going on in this prison."
Prisoner #10, an African American man who is housed in segregation on 5B. He complains that his cell is dark 24 hours per day and it has been like that for months, the officers never respond to requests for supplies or assistance, prisoners with mental illness throw feces on the pod,
officers leave prisoners in situations that are very dangerous, the toilet overflows when the prisoner upstairs flushes his toilet and it backs up into Prisoner #10's toilet, which overflows and then there are no supplies to clean up the mess, and many prisoners are sprayed with immobilizing gas and then the officers do not decontaminate their cells. Prisoner 10 states, "I feel trapped in a box and I can't take it anymore," "I try to stay calm but I'm not very successful at it," "I can't sleep, I have a lot of trouble falling asleep and I wake up very early in the morning," "I get mad and don't want to talk to anyone, then I talk in my cell to my dead grandmother," "I pace constantly in my cell," "there's no light in my cell so I can't read," "I keep getting angry, I can't control it, and I'm afraid I'll go off on someone and get into more trouble," "when I get mad my thoughts become cloudy," "I get paranoid." Prisoner #10 had been in segregation at another prison within the Mississippi DOC, the Southern Mississippi Correctional Institution (SMCI), a prison where physically abusive treatment of prisoners in segregation was prevalent in the period when he was there. But he tells me that Unit 5 at EMCF is much worse even than SMCI.
Prisoner #8 is an African American man who was recently released from segregation on Unit 6. He cut himself a month prior to my visit, on March 18, 2014. When I asked why, he told me he gets desperate to talk to someone who can help him, "but staff don't come to see me, so I have to cut myself to get them to notice I need help - but even in Observation, they don't talk to you." Prisoner #8 has a long history of multiple serious suicide attempts beginning when he was 10. He says he does not want to take psychiatric medications. He cuts himself in order to get someone to talk to him. He says the tendency to cut himself is worse when there is no light in the cell which is most of the time, the cutting is driven by anxiety and not a wish to die, and he has cut himself multiple times while in segregation at EMCF. He tells me that after he cut himself the staff put him in an Observation Cell in the Infirmary. He was naked in Observation and says that no staff came to talk to him and uncover his history. He tells me he was forced to accept injections of Haldol, even though he did not want them. He was not offered a form to document treatment refusal. On Prisoner #8's electronic medical record, he is noted to be manipulative and attempting self-harm as a way of gaining something from staff. He has been diagnosed with serious mental illnesses and he is prescribed several psychotropic medications, including antidepressants and Haldol Decanoate by injection.
Prisoner #5 is a 41-year-old African American man who was housed on Unit 5, D Pod when I encountered him. He says he suffers severe depression. There is no light bulb in his cell. It was missing when he moved into the cell and officers keep telling him no new supply of bulbs has arrived in the months he has been in the cell. He had not been permitted to leave his cell to shower or go to recreation in two to three weeks, so he was in his cell 24 hours per day in the dark. He told me that he was in what is supposed to be a stepdown program, in which some prisoners are permitted to go to recreation in the company of a few other prisoners; after 6 or 12 months on a stepdown unit, prisoners are supposed to be transferred to a general population unit. However, he had been in the "stepdown" unit for over 2 years with no progress toward being transferred out, and he told me that was the case with most of the other prisoners in the stepdown program. Consequently, he feels hopeless about ever getting out of Unit 5, and that has led to despair and thoughts of suicide.
Prisoner #11 is a 25 year old African American man housed in long-term segregation on Unit 5B. There has not been any light in his cell for months. Since being in a segregation cell on Unit 5 he has felt agitated. He admits he puts his arm out the food port when it is opened because, he tells me, he needs emergency medical attention for blood in his stool and weight loss, and he is very anxious that he might have cancer or some other serious condition. He has been sprayed with immobilizing gas repeatedly, the last time a few days prior to our meeting. He was sprayed because he put his arm out of the food port and then he was left in his cell for a couple of hours without medical attention or decontamination of his body or his cell. He tells me that he puts his arm through the food port repeatedly because it is the only way he can think of to get the officers to take him for medical attention, but when he does so he has been beaten by several officers. A month earlier he was held down by several officers and given an injection against his will. He says, "I know I'm doing time, but this is extreme punishment." He has not been permitted to use the phone to call his family, and this increases his anxiety. He reports that other prisoners can get out of their cells and attack him, so he is always anxious. He feels despair, is convinced he will not be moved out of Unit 5 until his sentence is finished, and this causes him to think often of suicide. He saves up his pills and he has tried overdosing several times. He lit a fire outside of his cell the day before our interview, and said this is the only way he can get staff to
come see him when he needs emergency medical attention. "If I get beat up, it's worth it, I need to see a doctor."
OPINION 2: Mental health care at EMCF for prisoners with serious mental health needs is so grossly deficient that it subjects all prisoners with serious mental health needs to significant risks of psychiatric deterioration, worsening prognoses, permanent psychiatric damage, and extreme suffering.
The Mississippi Department of Corrections uses EMCF as a primary mental health facility for housing prisoners with serious mental illness 17 Despite the fact that MDOC houses over a thousand prisoners suffering from serious mental illness at EMCF, it has failed to provide a functioning system for the delivery of basic mental health care for these prisoners' serious mental health needs. The grossly sub-standard mental health care provided by MDOC and its contractor, Health Assurance LLC, subjects all these prisoners to extremely severe risks of serious injury.
What follows is a discussion of the extreme and unacceptable deficiencies in essentially every aspect of the mental health care system at EMCF.
II.A. Staffing Levels and Competency of Staff
The staffing levels at EMCF are grossly inadequate. There are two ways for an investigator or auditor to assess staffing levels. One is to use a standard formula for staff-to-prisoner ratios: For
17 A spokesperson for MDOC was recently quoted in the Jackson Clarion-Ledger saying that the Mississippi Department of Corrections has 3,637 mentally ill inmates, with the largest number of those — 1,193 — at East Mississippi Correctional Facility. 17 The 2010 termination of the Decree in the Presley v. Epps litigation regarding Unit 32 at Mississippi State Penitentiary provides that MDOC "will no longer house any persons with serious mental illness at Unit 32 and they will transfer all persons with serious mental illness to East Mississippi Correctional Facility or, in the rare and extraordinary case where a seriously mentally ill prisoner cannot safely be housed at EMCF, then another appropriate facility." In the 2010 Annual Report of MDOC, EMCF is designated a "Special Needs Facility." Available at
http://www.mdoc.state.ms.us/Annual%20Report%20PDF/AnnualReport2010/12%20%20Institutions.pdf
example, there is the American Psychiatric Association's recommendation that a correctional psychiatrist should have responsibility for no more than 150 patients on psychotropic medications. The other way to assess the adequacy of staffing levels is to evaluate the quality of mental health care: where care is seriously deficient in important areas, these deficiencies are likely to reflect insufficiency in terms of staffing levels.
By either measure, the staffing levels at EMCF are grossly inadequate. There are 844 patients at EMCF on psychiatric medication, and only one psychiatrist working only two days per week, plus one psychiatric nurse practitioner working full time. This would constitute a serious staffing shortfall even if we doubled the American Psychiatric Association's recommendation that a psychiatrist should have no more than 150 patients on the medication caseload.
What is more, there are massive shortfalls in services that provide strong evidence of understaffing. Few mental health treatment options are available other than medications and psychiatric observation. Even in Unit 3C, which is supposed to be the place where the most intensive mental health services are provided, there is little meaningful mental health treatment.
From my review of the medical records and my interviews with prisoners, it appears to me that Nurse Dunn, the psychiatric nurse practitioner, is a caring and conscientious clinician, who is simply overwhelmed with too many patients to treat, and too little time to spend with each. The quality of her notes is far superior to that of other mental health staff. For example, she wrote on the chart of Prisoner #8 (see # 75): "Although thought processes organized and coherent, he presents with severe poor insight/ poor judgment/ poor impulsivity, with severe impulse control issues, which places the offender at a severe danger to himself. Therefore he is being placed on a Level 1 Suicide Watch with 1:1 observation." Here as elsewhere, she writes coherent notes that contrast with the superficial and seemingly 'cut-and-paste' notes about "no problem" that are written repeatedly by mental health counselors as if they either did not see the prisoner (mostly this occurs with prisoners behind solid cell doors in segregation) or they did not take the care to actually examine the prisoner. But even these more rigorous notes usually do not include adequate suicide risk assessments, treatment plans, or ongoing follow-up.
Having carefully considered the patient summaries prepared by Plaintiffs' mental health expert Dr. Bart Ablanalp, the chief psychologist for the Washington Department of Corrections, I conclude that competency of staff it EMCF is extremely inadequate. I agree with Dr. Abplanalp's conclusion that the overwhelming majority of clinical encounters documented in the records "were essentially meaningless and of virtually no diagnostic or therapeutic value whatsoever." Further, I question the ethical fiber and integrity of several of the mental health counselors at EMCF after reading their notes stating "no problem" where there is overt psychosis. I was unable to find any evidence of meaningful supervision, peer review or quality assurance. Staffing at every level needs to be massively upgraded in qualifications, training and supervision, and security staff needs to be upgraded in terms of qualifications and training to manage prisoners with mental illness (Captain Naidow expresses a similar opinion on that latter point).
II.B. Deficiencies in Levels of Mental Health Care
People with mental illness must receive treatment at a level of intensity that meets their individual needs. The basic levels of care for any mental health system are inpatient care, intermediate care, and outpatient care.
Inpatient care is the equivalent of what is provided by a psychiatric hospital in the community: that is, care for people so psychiatrically impaired that they cannot function on their own, and require the highest level of care available. Intermediate level of care is for higher-functioning patients who are able to be in a less restrictive environment but who still need greater supervision and care than they could receive in a general population housing unit. Outpatient mental health care t provides care for patients who can function well on their own but who require periodic or regular treatment that can be provided in a general population setting.
Inpatient care: There is no inpatient level of care at EMCF and I could find no indication that psychiatric patients are ever transferred to psychiatric facilities outside of EMCF. If a prisoner cuts himself badly enough, or has major medical complications from an overdose of medications, he is sent to a nearby hospital for medical attention. But in the several charts I reviewed where that has occurred, there is never any psychiatric attention at the outside hospital, and the prisoner is referred back to EMCF for mental health assessment and treatment – which does not occur.
Unit 3 is the place at EMCF where the most intensive mental services are offered, and supposedly the place where the most seriously mentally ill patients are housed. 18 But it does not qualify as inpatient care. Apart from medication -- sometimes by forced injections of heavy sedating drugs, with insufficient informed consent -- the mental health services provided in Unit 3 are almost nonexistent. I toured Unit 3 repeatedly, at different times of the day on two separate days, and found the men to be entirely idle, roaming the day room of the unit or opting to remain in their cells, often in the dark, even when they are permitted to be in the day room.
I interviewed quite a few men in Unit 3, and they gave consistent accounts of life on the Unit. Practically no group or individual therapy is available. There is a case manager who comes to the unit (she was present the days of my tours), but I am told by the prisoners that she does not come to see them on a regular basis, and their meetings with her are very brief, usually occurring in the day room of Unit 3 and lasting a minute or a few minutes. There are a few groups – including substance abuse groups, anger management, religious meetings, educational classes – but the prisoners tell me that except for religious meetings and classes, they rarely occur; there might be a group on the unit once a month or once every two months. There are no milieu meetings. With an occasional exception, the patients do not receive any individual psychotherapy. There are almost few or no programmatic activities such as vocational rehabilitation, group therapy, psycho-education, or just about any form of psychiatric rehabilitation. And there do not seem to be any vocational rehabilitation programs for any of the prisoners at EMCF. An adequate inpatient unit must be able to provide intensive treatment, including multiple modalities and several hours per day of structured programming and treatment. Psychiatric observation, as practiced at EMCF, does not constitute an inpatient level of care.
Intermediate level of care: The Intermediate Level of Care is a crucial component in any correctional mental health program. The generic term for this type of treatment program is "step-down mental health unit." Whatever they are called, the clinical staffing and the programming in these units are not as rich as in inpatient psychiatric hospitals, but are far richer
18 Capt. Naidow Deposition, p. 68: "Question. The -- is there -- are there special areas of the prison where prisoners with serious mental illness are housed? Answer. Yes. Q. And where are those areas? A. The most highly severe cases are housed on our Housing Unit 3."
than in outpatient clinics. For example, an inpatient unit has nursing staff 24 hours per day, whereas an Intermediate Care Unit might have nursing staff present only during the daytime shift. In the community, equally intensive treatment programs are called halfway houses, day treatment centers or psychiatric rehabilitation programs.
An intermediate level of care is an essential component of an adequate mental health care system in a prison because the safety and encouragement provided in the step-down treatment program helps prisoners remain infraction-free, avoid victimization and avoid punitive or long-term segregation. When prisoners with serious mental illness are placed in an intermediate level of mental health care, they are much less likely than otherwise to be victimized or to run afoul of the disciplinary system, and therefore they are much less likely to be consigned to long-term administrative segregation.
An illustrative example of the critical importance of this level of care is provided by the Presley v. Epps litigation, in which I participated as a psychiatric expert, then as a court-approved monitor, and later wrote about the experience there with the use of Intermediate Treatment. 19 Presley involved conditions of confinement and their destructive effects on prisoners with serious mental illness in the approximately 1,000 bed Unit 32, supermaximum security facility in the Mississippi State Penitentiary at Parchman. The remedy included removal of prisoners with serious mental illness from administrative segregation, and their transfer either to a psychiatric hospital at another facility (EMCF was the first choice) or to a step-down mental health treatment program then being established at Unit 32. The result was a marked decrease of violence as well as a stunning decrease in the number of disciplinary infractions (RVRs or rule violation reports) given to prisoners suffering from serious mental illness. 20
19 T. A. Kupers. (2010). Treating those excluded from the SHU," Correctional Mental Health Report, 12 ,4, 2010.
20 Kupers, T. A., Dronet, T., Winter, M., Austin, J., Kelly, L., Cartier, W., ... & McBride, J. (2009). Beyond supermax administrative segregation: Mississippi's experience rethinking prison classification and creating alternative mental health programs. Criminal Justice and Behavior, 36(10), 1037-1050.
The intermediate level of mental health care is almost entirely lacking at EMCF. EMCF refers to Unit 2A as a "therapeutic community" and offers more programming than in other parts of the facility but still falls short of an adequate intermediate level of care. Also, Unit 2A houses only minimum- and medium-security prisoners who are near their time of release from prison. There are 66 spots in the twelve month program, 21 which is limited to prisoners at minimum and medium security levels. The prisoners on that unit tell me that they are happy to be in this Unit: because there are fewer violent "take-downs" and some groups. But the prisoners also tell me that prisoners with Serious Mental Illness are not admitted to Unit 2A. In other words, the treatment program that seems the richest in programming at EMCF is not available to the many prisoners at EMCF who are higher than Medium security and who suffer with serious mental illness. Thus, most prisoners I interviewed who are housed on Units 5 and 6D are excluded from Unit 2A. Other than Unit 2A there are no mental health treatment programs at EMCF that qualify as "Intermediate Mental Health Treatment."
Furthermore, it appears that the Therapeutic Community on Unit 2A at EMCF excludes prisoners who break the rules or harm themselves. Thus, Prisoner #1, who I interviewed twice during my tour while he was in an Observation Cell in the Medical Department because of life-threatening suicidal behavior (he cut his abdomen very badly), had previously been in Unit 2A's therapeutic community, and then was expelled from that program. A "Final/Behavior Contract" dated 1/24/13 documents that he had been in the Therapeutic Community, but because he "continued to cut on himself" he was expelled. The contract stipulates that inmates in the therapeutic community will not cut themselves, will not be absent from class without an excuse from the medical or substance abuse staff, will not participate in sports, and will not talk about harming himself. In other words, the inmate has to be emotionally stable already in order to remain in the therapeutic community. So it is not a treatment program for prisoners with serious mental illness. Prisoner #1 has on at least two occasions cut his abdomen badly enough to expose his intestines, he repeatedly and compulsively cuts himself badly, and he is a constant risk of killing himself. Obviously he needs more intensive mental health treatment than EMCF is capable of providing.
21 see 2010 MDOC annual report, available at
%20Institutions.pdf>
<http://www.mdoc.state.ms.us/Annual%20Report%20PDF/AnnualReport2010/12%20-
Outpatient Mental Health Treatment: Patients in Outpatient Mental Health Treatment can be housed in any prison setting and receive mental health care. Outpatient mental health care is provided on all of the Units at EMCF, but it is entirely inadequate.
In general population units at EMCF (I will discuss mental health care in segregation next) outpatient care is provided, but it consists of medication alone plus Observation at times of suicidal and other crises. Nursing staff bring a cart with oral medications to the door of each Unit and distribute pills. There is a case manager, but the case manager does not spend more than a few minutes talking to each prisoner, and the prisoners tell me they might not see her for long periods of time. Case management, even when delivered consistently and with adequate time to talk, is not sufficient mental health treatment in itself and does not substitute for the other treatment modalities.
This kind of outpatient mental health treatment is very deficient. There need to be multiple modalities of mental health treatment, including individual and group psychotherapy and a variety of psychiatric rehabilitation programs, which are all lacking at EMCF except in Unit 2A. It is not the case that every patient requires every modality of treatment. But the modalities of treatment must be available so that the patients who require individual or group psychotherapy, for example, can be provided those services. At EMCF, as I have described, there are almost no treatment modalities except medications, short-term Observation, and very thin "case management." This is entirely substandard and unacceptable mental health treatment.
Outpatient mental health treatment in the segregation pods at EMCF is even more deficient. There is a growing national consensus that prisoners with serious mental illness should not be housed in long-term segregation. Their mental illness becomes worse, as does their disability and their prognosis. Yet at EMCF, judging by the large number of prisoners suffering from acute and very disabling mental illness on the segregation pods, segregation seems the very place to which many prisoners with serious mental illness are relegated.
For prisoners in segregation at EMCF there are far too few confidential clinical encounters. There are mental health "rounds" on the segregation pods at EMCF, but these are sadly
inadequate. Prisoners tell me that the mental health counselor conducting the rounds never talks to them or only talks to them for a minute through their solid cell door, and spends only five minutes going through an entire pod. These brief cell-front interviews become the prisoners' only contact with mental health staff absent a crisis where the prisoner is taken to an observation cell in the Medical Area. Cell-front interviews are entirely unacceptable except as a method for mental health clinicians to attempt to identify those who need to be taken to an office for a confidential clinical encounter.
II.C. Gravely Deficient Care for Patients in Psychiatric Crisis
Every mental health care system must have (1) a program for intervening with and stabilizing patients in acute psychiatric crisis, and (2) an active program to prevent suicide. Meaningful crisis intervention and suicide prevention programs do not exist at EMCF.
Crisis Intervention as well as Suicide Prevention and Treatment must include a number of components. One formulation, provided by the National Commission on Correctional Health Care, 22 enumerates the following elements: Training of mental health and custody staff on recognition and intervention regarding prisoners at risk, identification (i.e., screening at admission to the prison or the segregation unit as well as ongoing suicide risk assessment as clinically appropriate), referral (to the appropriate mental health practitioners and programs), evaluation (comprehensive mental health examination including past suicidal and self-harm crises and incidents as well as current stressors), housing (for example, transfer to an Observation cell, or after a period of Observation, to a location where the patient will be safe and appropriately monitored), monitoring (this means not only intensive observation during the immediate crisis, but also ongoing monitoring at incrementally less frequent intervals as the prisoner demonstrates diminishing risk of self-harm), communication (between custody and mental health staff and also between the various mental health and medical providers), intervention (including but not limited to observation and monitoring, for example meaningful talking psychotherapy must occur if the staff are to get to the issues driving the prisoner to despair and contemplate or attempt suicide), notification (of family members, and so forth), reporting (in the electronic medical record according to widely accepted standards in the medical and mental health fields), review (peer review, quality assurance, etc., with the assumption that where programmatic deficiencies or lapses in staff interventions are discovered they will be corrected), and critical incident debriefing (which are essential if flaws in the mental health program are to be addressed). It does not appear that any of these elements are in place at EMCF. I found little or no evidence in the medical records that Dr. Abplanalp and I reviewed of a functioning crisis intervention or suicide prevention program at EMCF. I agree with Dr. Abplanalp that EMCF is a system is a system that breeds crises because it lacks a system to provide adequate care, and yet it is completely incapable of responding to the crises it creates.
At EMCF, the mental health staff rely too much on "self-harm contracts." These are written statements that the prisoner agrees not to harm himself. When a self-harm contract is used instead of talking to the prisoner about his despair and reasons for self-harm, they are almost always useless. As an aide to talking, i.e. when staff ask the prisoner to sign the contract in the context of talking to him and covering the important issues related to his self-harm, the contract can constitute a symbolic act where the prisoner takes a step toward healthy behavior and commitment to the treatment. But the "self-harm contracts" I discovered on the EMRs seem to be signed in the absence of any real face-to-face intervention or treatment, and where that is the case they are next to useless or worse, provide staff a false sense that the prisoner will not harm himself.
Continuity of care is absolutely essential in crisis intervention in prisons. Often prisoners complain to an officer that they are suicidal, the officer refers them to the mental health staff, and they are transferred to an "Observation Cell," often in the Infirmary. But after a few days they tell staff they are no longer feeling suicidal. They are then transferred back to prison housing, perhaps to a segregation cell where they were confined prior to the suicide crisis. When suicides actually happen in prison, it is quite likely this will be the period when they occur.
Thus, a prisoner must not be sent back to his prior housing after his stay in Observation without a detailed treatment plan that includes recommendations on housing (for example, if the prisoner has been known to attempt self-harm in segregation in the past, it could be very dangerous to transfer him back to a segregation cell), the frequency of monitoring, the kind of ongoing mental health treatment he will receive (this might include medications, and must include some talking psychotherapy so the mental health staff can assess ongoing suicide risk and the prisoner can be helped to become more functional).
Unfortunately, at EMCF, following a crisis patients are often transferred from Observation Unit back to population – sometimes back to a segregation cell—without treatment plan or follow-up. This results in patients cycling back and forth from Observation to population, over and over and over. Thus, it is not unusual to see patients housed in the Observation Unit for weeks and months at a time, when the purpose of such a unit should be short-term stabilization.
I briefly interviewed several of the patients on Suicide Observation and Psychiatric Observation in the course of my tour and interviews, and I spoke to quite a few prisoners who had been in suicide observation or psychiatric observation in the past. They universally tell me that staff do not spend much time at all talking to the patients in Observation cells. The prisoners inform me that mental health staff and nursing come by each day to check on them, but nobody really asks them about their past suicidal behaviors or what might be causing the current despair. Nobody other than N.P. Dunn provides more than perfunctory care, or actually spends more than a few minutes talking to the patients. Rather, a prisoner is identified as a suicide risk or noted to be decompensating, and he is sent to Observation in the Infirmary. There are windows on the front of the Observation cells and he is observed by staff each day he is there. But essentially the Crisis Intervention service is deficient in most if not all of the NCCHC-required components I listed above.
These frequent and sometimes long-term stays in the Observation Unit are psychiatrically damaging. Typically, patients on suicide precautions have their clothes removed and they are provided only a suicide-proof gown and blanket; usually there are no other amenities or possessions in the Observation cell, and the patient does not get out of the cell for recreation. He is even more isolated and idle and uncomfortable in the Observation cell than he would be in a segregation cell. These deprivations may be necessary for safety while a patient is being stabilized, but they become problematic when imposed for extended periods of time.
Some prisoners tell me that they eventually say they are no longer suicidal, simply because they are so uncomfortable in the Observation cell and nobody talks to them anyway. They are then sent back to the unit they came from – sometimes to a segregation pod on Unit 5 or Unit 6. There is little or no follow-up except that they may be prescribed psychotropic medications.
The case of Prisoner #29 illustrates the lack of inpatient care as well as the dangers of using the Crisis Unit, that is, the Observation cells in the medical unit or Infirmary, for the treatment of prisoners who clearly need to be admitted to a psychiatric inpatient hospital ward. I encountered Prisoner #29 in the medical unit, where he was locked into an Observation Cell. This 37year old African American man appeared disheveled. On mental status examination he evidenced severe thought disorder with rambling sentences, tangential references and disturbed orientation and judgment, a clinical picture consistent with Schizophrenia or Schizoaffective Disorder. He had been on observation in the medical unit continuously for at least three months, during which time he has spent 24 hours per day in the observation cell with no recreation or other out-of-cell or congregate activities. His medical record contained the diagnosis Schizophrenia. He has been prescribed Haldol Decanoate by monthly injection off and on since August, 2011. There is little documentation in his chart about his symptoms or functional impairment. A Psychiatric Note by Nurse Dunn on 1/17/14 reflects "increased psychotic agitation on the unit." He is given the antipsychotic medication, Haldol, by injection. The psychiatrist writes (4/1/14 & 4/23/14) that Prisoner #29 has been in the Crisis Intervention Unit since January and remains acutely decompensated (psychotic).
There are no adequate treatment plans in Prisoner #29's medical record, and, with a few exceptions, there is little mention of the signs and symptoms that are the focus of specific treatments. For example, it is noted that there are side effects from medications, but the side effects are not listed. Medications are changed with no explanation in the chart of any reason. In other words, treatment plans are either entirely lacking or are deficient.
Prisoner #29 has been suffering a psychotic episode with regressed behavior, thought disorder, hallucinations and delusions almost continuously for three months, and he has been retained in an Observation cell that entire time. Obviously this man belongs in a psychiatric hospital where he can receive adequate mental health treatment. A Crisis Intervention/Suicide Observation bed in a medical unit/infirmary such as the one at EMCF must have a time-limit, for example 24 hours or even 48 hours, and then at the end of that time-limit, the patient must be declared ready for return to a housing unit or a lower intensity mental health program, or if he continues to require intensive mental health treatment he must be admitted to a psychiatric inpatient unit. That is the way Crisis Intervention Units are designed to operate.
Not surprisingly, Prisoner #29 continues to exhibit signs and symptoms of acute psychosis in spite of the very high dosages of psychotropic medications prescribed for him. A patient this regressed and disabled needs to have mental health clinicians spend a significant time talking to him, and he needs a structured therapeutic environment consisting of therapy groups and various supervised activities if he is to regain a sense of orientation and appropriate goal-directed behavior, and if he is to regain the capacity to relate appropriately to others. But the Observation cell where he is confined is simply another kind of isolation cell. He is alone in that cell 24 hours of every day, he does not even get out for recreation. He has practically no possessions or amenities, and no provisions for meaningful activities. He frequently smears feces all over the cell. Staff do not talk to him except for brief visits when he is asked how he is feeling.
Thus, the conditions of isolated confinement in the Observation cell are exacerbating this patient's psychosis, and he is not being provided the kinds of treatment and programs that are needed and only available in a psychiatric hospital, that is, in-patient level of care. The combined effect of the isolation and idleness in an Observation Cell and the shortfalls of treatment are that his psychotic condition is becoming more persistent and disabling, and his prognosis is becoming much worse.
II.D. Inadequate Medication Management and Over-Reliance on Psychotropic Medications as the Only Available Treatment Modality
Over-reliance on psychotropic medications, as the only available treatment modality, is commonplace at EMCF. It appears that the most frequently prescribed psychiatric medications
are the older generation anti-psychotic agent, Haldol, and Tegretol, a seizure medication prescribed in psychiatric practice as an alternative to Lithium for mood stabilization.
Haldol has very dangerous side effects, including Extrapyramidal Syndrome (EPS), Tardive Dyskinesia (TD), and, when given by injection and the accumulated dose is relatively high, neuroleptic malignant syndrome. Extrapyramidal Syndrome (EPS) is an acute neurological side effect of anti-psychotic medications involving muscle spasms, excess salivation and tremor. It can be very frightening and dangerous. It usually disappears when the medication causing it is discontinued, and there are medications, including Cogentin, Benadryl and Artane, that can be given orally to reverse this side effect. Tardive Dyskinesia involves a different set of neurological side effects of Haldol, which take a longer time to appear but usually involve permanent brain damage and do not cease when the medication is discontinued. Other serious side effects include changes in the eyes, heart arrhythmias, other cardiovascular effects including hypotension or dangerously low blood pressure, obesity and diabetes, liver damage and neuroleptic malignant syndrome.
Neuroleptic malignant syndrome is an often fatal side effect of Haldol, which can include high fever, severe muscle rigidity and death. It is a rare side effect except when Haldol is given by injection at high dosage – but injections of relatively high dosages are at issue at EMCF, especially when emergency involuntary injections are added to the standing order for monthly long-acting Haldol.
On some of the electronic medical records I reviewed the dosage of Haldol Decanoate by injection is 100 mg. or 150 mg. every 28 days, which is a relatively high dosage. Then, the same patient might receive several additional injections of 5 mg. of Haldol, and the long-acting and subsequently injected Haldol combine in a relatively high accumulated dosage, which makes neuroleptic malignant syndrome and other side effects much more likely.
I encountered quite a few prisoners who told me how the Haldol "shots" slow them down so they do not feel like doing anything, make them feel "like a zombie," drool or make their jaw muscles cramp (E.P.S.) or cause a tremor (T.D.), and that in their slowed down state they are very vulnerable to assault by other prisoners
Why are so many patients prescribed Haldol while so few are prescribed other anti-psychotic agents such as the new generation atypical anti-psychotic medications? This makes no sense, clinically speaking. A psychiatrist must have a wide choice of psychotropic agents in order to create an individualized treatment plan for each patient, "one size" does not "fit all."
When psychotropic medications are given in the absence of a mental health treatment program, they tend to have the effect of merely tranquilizing the patients, and then long-term prognoses worsen. This was a big problem in the state hospitals, the so-called "snakepits" of the 1940s and 1950s. Many patients were turned into chronic patients or "zombies" in the state hospitals through the administration of high doses of anti-psychotic medications. It was the public's outrage about the warehousing and drugging of mental patients in the asylums that brought on the de-institutionalization movement and the down-sizing of state mental hospitals since the 1960s.
Patients on psychotropic medications must have periodic monitoring and follow-up. The frequency of this monitoring and follow-up must be based on the patient's individual needs. A fixed follow-up interval of ninety days might be adequate for some patients, but extremely inadequate for others. From the records that Dr. Abplanalp and I reviewed, it appears that there is no individualized determination of the intervals for follow-up.
For example, the antipsychotic medication Clozaril requires close monitoring of white blood cell counts, sometimes on a weekly basis or even more frequently. The reason is that Clozaril, often the strongest and most effective anti-psychotic medication for individuals suffering from severe and unremitting psychosis, is also very dangerous. Two of the potentially lethal side effects of this medication are agranulocytosis and suicide. Agranulocytosis is the rapid reduction of white cell count in the blood, a condition that can lead to rapid death from infection. The patient prescribed Clozaril must be monitored closely, laboratory tests including frequent white cell counts must be done and quickly reviewed so that if agranulocytosis occurs, the medication can be halted immediately and precautions can be set up to decrease the risk of death from immune failure.
Dr. Abplanalp reviewed the chart of a patient on Clozaril at EMCF. This patient's medication management was dangerously inadequate. According to the medical record, Prisoner #64, a man in his early twenties with a diagnosis of Paranoid Schizophrenia, had been very psychotic and difficult to manage until he was started on Clozaril in 2009 or 2010. His psychiatric condition improved markedly. But then his white cell count dropped beneath the normal range beginning in October, 2012, indicating a possible evolution of agranulocytosis. When a patient's white cell count begins to fall he must be monitored very closely because the medical team do not yet know whether the slightly lower white cell is the beginning of a plummeting white cell count, which would be a medical emergency and possibly fatal.
But the psychiatrist failed to follow up on these abnormal results for months, even though they caught the attention of the primary care physician at the prison. And six more months passed before the psychiatrist documented a clinically adequate "risk/benefit" analysis, that is, the risk is agranulocytosis (or a continuing and rapid fall in the white cell count) and the benefit is that Clozaril is the only medication that has proved capable of controlling this patient's severe psychotic condition.
The psychiatrist eventually opted to continue the Clozaril at a slightly lower dose and supplement the anti-psychotic effect with another psychotropic agent. This is an acceptable clinical practice. The problem is that there are delays of many weeks or months between the lab tests that reflect a falling white blood cell count and the psychiatrist's attention to and response to the lab tests. Again, I have to conclude from the medical record that the psychiatrist is present at the facility too infrequently or has too many patients to be able to respond in timely manner to the lab tests that indicate a serious and urgent risk. This kind of time delay in responding to blood tests is quite frequent at EMCF (as is discussed in the reports of the other experts) and this makes the prescription of a medication like Clozaril very dangerous.
Another major deficiency in medication management at EMCF is the failure to consistently obtain patients' informed consent for treatment with psychotropic medications.
Informed consent is a fundamental ethical consideration in the practice of medicine, including psychiatry. Patients have a right to accept or reject any recommended treatment, and that right cannot be meaningfully exercised unless the decision is informed: that is, the physician must explain to the patient the material facts about the nature, consequences, and risks of the proposed treatment, examination or procedure; the alternatives to it; and the prognosis if the proposed treatment is not undertaken. This fundamental principle of the requirement of informed consent applies in prisons just as it does in the community.
The National Commission on Correctional Health Care (NCCHC) articulates the requirement of informed consent as follows: "Informed consent is the agreement by a patient to a treatment, examination, or procedure after the patient receives the material facts about the nature, consequences, and risks of the proposed treatment, examination or procedure; the alternatives to it; and the prognosis of the proposed treatment is not undertaken." 23 Further, If at any point the patient indicates refusal, the medication must not be forced: the right to refuse treatment "is inherent in the notion of informed consent…." 24
MDOC's own policy recognizes the right to refuse treatment. 25 MDOC Policy #25-04-A, "Offender Right to Refuse Medical Treatment," spells out the prisoner's right to refuse treatment, including psychotropic medication: "An offender can refuse medical evaluation or treatment being offered by medical staff. Refusal must be in writing using the Release of Responsibility form."
At EMCF, the requirement of obtaining informed consent to treatment is frequently ignored. I was told by very many prisoners taking psychotropic medications that they were never given an explanation of the medications they would receive, they were not permitted to decline the treatment, nobody ever showed them a "Release of Responsibility form" or they would have signed it, and they were never given a hearing to determine if emergency involuntary
23 National Commission on Correctional Health Care, Standards for Mental Health Services in Correctional Facilities. Correctional Mental Health Care: Standards & Guidelines for Delivering Services, 0262008, M-I-104.
25 MDOC Policy #25-04-A.
24 Ibid, M-I-03, p. 146.
medications would be permitted. Instead, they nearly unanimously reported, they witness frequent "take-downs" by the "goon squad" and it is only their fear that the same violent action will be taken against them if they refuse that leads them to comply with medication administration by mouth or by injection.
In some very limited circumstances, it may be clinically appropriate to administer mediation in the absence of consent. The NCCHC standard for Emergency Psychotropic Medication calls for a "protocol for emergency situations when an inmate is dangerous to self or others due to a medical or mental illness and when forced psychotropic medication may be used to prevent harm, based on a provider's order. NCCHC Standards for Mental Health Services in Correctional Facilities (2008) (essential standard MH-I-02). The standard "supports the principle that psychotropic medication may not be used simply to control behavior or as a disciplinary measure. Id. The NCCHC standard requires that the provider document in the inmate's record the inmate's condition, the threat posed, the reason for forcing medication, other treatment modalities attempted, if any, and treatment goals for less restrictive treatment a alternatives as soon as possible. Id.
The required documentation regarding consent and forced medication in the EMRs I reviewed is far from adequate. I saw a few notes about emergency medications, and sporadic mentions that the prisoner is a danger to himself or others. I did not find any reference to consideration of less restrictive alternative interventions (and I know from my tour and interviews that practically no significant alternative treatment modalities exist at EMCF). Occasionally progress notes in the EMR document the acuteness of the prisoner's danger to self - for example, he has cut himself but more often there is insufficient documentation in the chart for the reviewer to figure out the reason for the involuntary injection, and even if it is in fact involuntary. Frequently there is a "p.r.n." or "as needed" order in the EMR The prisoners I interviewed all told me that very little talking and reasoning occur; rather if they refuse to take their medication or become agitated, they are required to have an injection, and if they refuse they are "taken down" by a team of officers.
For example, there is the case of Prisoner #21. This 36 year old African American man was in two mental hospitals before coming to prison. His medical record contains a diagnosis of Paranoid Schizophrenia with suicide ideation, and he is prescribed Haldol Decanoate by injection every 28 days. He evidences an intense, flat stare. He tells me he has received "… the shots, half the guys on 3C get shots." He has received a Haldol injection once a month, and another "shot" if he gets agitated. He does aver hallucinations, and when he sees the psychiatrist they talk about that. Their visits last about 6 to 10 minutes. He sees other prisoners being taken down by the "goon squad" and that frightens him, so when they would come and tell him it is his turn to get a shot he cooperated. But he did not want the shots and told staff he is very willing to take pills. He says he was not given an opportunity to refuse the shots. He has never been presented with a form to refuse medications. There has never been any kind of hearing to determine he needs involuntary medications. He has been in punitive segregation twice in Unit 6 at EMCF, and tells me that if you refuse a shot of medications there they will do a cell extraction where a bunch of officers charge into your cell and hold you down while they give you an injection against your will. He tells me there is no real mental health assessment done on prisoners entering Unit 3C, and mostly nobody from mental health staff to talk to.
More than a few prisoners complain about involuntary medications, and especially about the many "take-downs" that are done where several officers grab the prisoner, force him to the floor and hold him while a nurse pulls his pants down and gives him an injection in his gluteal muscle. Viewing video footage of "take-downs," I have to agree with the prisoners that it may entail an extremely brutal use of force and, besides the physical pain and risk of serious physical injury, it is humiliating for the prisoner.
For example, I watched a video of Prisoner # 23 taken on 5/5/13. There was no evidence in the video or chart that he posed the sort of danger that would have justified involuntary medication. However, the medication was nonetheless administered over his objection.
It might seem that if the patient cuts himself, involuntary medications would be appropriate under the emergency exception to the requirement of consent. But again, the emergency provision requires consideration of less restrictive alternatives. Mental health staff should take the time to talk to the patient, trying to understand the reason for the patient's self-harm, and negotiating a response other than an involuntary injection. For example, the patient might be convinced to take pills orally, or even to halt the unacceptable or self-destructive behavior. That kind of intervention – attempting to find a less-restrictive alternative - is what is required by the standard of care in the community.
There are cases, and they are relatively rare, where non-emergency medication-over-objection is clinically indicated. However, in such cases, due process is required, including an "Involuntary Medication Hearing" and determination, with the prisoner notified in writing 24 hours prior to the hearing. After that, there must be a due process hearing and determination. 26
I believe that the use of involuntary medication is not uncommon at EMCF. I reach this conclusion based on the absence of adequate informed consent, the lack of alternative treatments to exhaust, the coercion implicit in frequent "take-downs" in view of other patients, and the incredibly poor documentation in the EMRs about the reason for the injection or the treatment plan the injection is a part of, and the reports of the prisoners.
An example is Prisoner #20, a 23 year old man housed on Unit 3C who tells me he has been in prison for 7 years. He tells me "I get shots, they slow me down and they don't help me." He tells me he does not see a psychiatrist for a year at a time and, indeed, his chart shows that he went for months without seeing a psychiatric provider in 2011. He thinks he is allergic to Haldol, and the medical staff have switched him to Prolixin, but he gets the kind of "shots" that last a month. He has never been presented with a form to refuse medications, though he would like to refuse the medications and he says he tells that to staff. There has never been any kind of hearing to determine he needs involuntary medications.
In Prisoner 20's medical record he is diagnosed Schizophrenia, Disorganized Type and mild Mental Retardation. He is currently prescribed Prolixin/Fluphenazine Decanoate, 25 mg, by injection every 14 days. A 10/1/13note in his EMR reflects his concern he is allergic to Haldol,
26 Washington v. Harper, 494 U.S. 210 (1990) addresses non-emergency involuntary medication in prison.
and becomes "locked up like the exorcist" (a poignant description of a likely case of EPS or extrapyramidal syndrome, a side effect of Haldol). NP Dunn switched his prescription to Prolixin (Fluphenazine). He is administered anti-psychotic long-acting medications by injection, yet there is no documentation of informed consent or refusal to take the medication. The patient received a Haldol Lactae shot for agitation but it is not clear from the record whether it was voluntary or involuntary. There are notations of visits with the psychiatrist on 2/2/13, psychiatric NP on 10/1/13, and the psychiatrist on 1/11/14.
II. E. Unreliable, Inaccurate and Incomplete Mental Health Records Reflecting Substandard Assessment and Treatment
Accurate, complete and reliable records are the essential foundation for adequate mental health treatment (and indeed for all medical treatment). Screening instruments and all assessments must be carefully documented in the clinical chart. Contacts with prisoners, laboratory reports, diagnoses, medication prescribing, changes in status and so forth must be carefully and accurately recorded according to the accepted standard of care in the community. In addition to the psychiatric history, observed signs and reported symptoms, diagnoses and other pertinent information, there must be a treatment plan on the chart covering every point in time. Shifts in the treatment must be documented as changed treatment plans, and explanations of the changes must be included in the electronic medical record (EMR).
There are very dangerous problems with documentation in the records at EMCF. There are large gaps or absent documentation in Medication Administration Records (MARs). These are forms on which nursing staff document the delivery of medications per orders from the physician or nurse practitioner. The many gaps in the MARs and missing or incomplete notes are consistent with reports from Ms. Madeleine LaMarre about irregularities in the delivery of prescribed medications (see Ms. LaMarre's Report). This kind of inconsistency and error is very dangerous when it comes to psychotropic medications, which must be given in a consistent and continuous manner or there will be great harm to the mental state and safety of the patients.
In addition to gross omissions and gaps in the electronic medical records, Dr. Abplanalp and I found a systemic pattern of utterly unreliable and suspect notes by mental health counselors.
This kind of widespread unprofessional practice and unreliable medical record-keeping at EMCF violates basic professional standards of care and contributes to all of the other utterly unacceptable deficiencies in the provision of mental health care at EMCF.
To illustrate the pattern of unreliable clinical notes: There are a number of notes on Prisoner #29's electronic medical record indicating no mental health problem during times when he was obviously acutely psychotic. Thus, on 2/3/14 there is a note by one provider, "patient too disorganized to participate and has ongoing, nonstop psychotic symptoms." By that time he was in a crisis intervention cell in the Infirmary and noted by another mental health clinician to be "too disorganized to take part in the interview." Still, notes by Mental Health Counselor Roger Davis on 2/17/14 and 2/21/14 indicate "no problem reported or observed." This is incredible, given that on the same day that MHC Davis documented "no problem reported or observed, Prisoner #29 was in an Observation Cell and was noted by another provider to be acutely psychotic ("loose and disorganized thoughts with symptoms of mania - standing on bed at interview - rambling and disorganized conversations…").
Many notes in the EMRs by Mental Health Counselors are entirely useless and misleading. One wonders whether Mr. Davis saw the same patient Ms. Dunn is describing as floridly psychotic and/or manic, or whether he simply left a boilerplate note (where even the typos match the typos in notes he writes about other patients) without even seeing Prisoner #29. In fact, on 4/6/14, Mr. Davis writes: "He is asleep on his mat, no body movement, or response. No… hallucinations, …or any threats to harm self observed. IM (inmate) is able to weigh the risks and consequences of his behaviors. No mental health issues."
This is ludicrous. How can a clinician assess the presence of hallucinations, suicidal thoughts and the patient's ability to weigh risks and consequences when the patient is asleep during the examination? If this kind of egregiously false charting occurred with only this one patient, I would conclude this counselor's unacceptable behavior is an issue his supervisor and the mental health staff need to address in the course of their supervision and peer review process. But he is not the only counselor to write this kind of note, and this kind of falsity in the medical records is not a rare occurrence. In fact, there seems to be a system-wide pattern of this kind of false
documentation, which is quite dangerous – it camouflages the patients' real and possibly urgent mental health problems.
Very many of the entries by mental health counselors are entirely unreliable. Prisoner #56 is a 54 year old African American man on Unit 3C. He is diagnosed in the chart Undifferentiated Schizophrenia and prescribed Depakote 1,000 mg twice daily plus an intramuscular injection of Haldol Decanoate, 200 mg per month. He has delusions involving "pythons and a 72-year-old man living inside (him);" he claims he can hear his ancestors talking and he has been observed talking to himself. He "believes he is a 'mud cat' and a combination of other things." He denies special powers. On 2/14/13, Sergeant Hardy requested that Prisoner #56 be seen by mental health due to his exhibiting "bizarre behaviors." The prisoner was noted to be exhibiting delusional beliefs including both that a python and a "72-year-old man" were living inside of him.
The following day, on 2/15/13, Mental Health Counselor Ms. Lockett conducted rounds and stated that Prisoner #56's mental status was within normal limits. No concerns were noted and there was no indication of any psychotic or delusional processes. It seems readily apparent from this note that MHC Lockett did not see nor interact with Prisoner #56 at all, unless his delusional and psychotic behavior resolved completely within 24 hours – which is clinically very unlikely.
This kind of alternation between notes reflecting psychotic ideas and behaviors and notes indicating no mental health problem continues throughout the chart of Prisoner #56. Thus, for example, in a note reflecting a 03/18/13 Quarterly Treatment Team Review, MHC Lakeisha Prude reported that Prisoner #56 states that he "hears his ancestors daily and believes he is a mud cat" and "can be seen talking to self." That same day there is a note by Marshall Powe: "Inmate is medication compliant, and has no auditory visual or tactile hallucinations. He reports hearing his mother's voice daily. Inmate has eccentric behavior, he describes himself as a 'silver back gorilla.'" On 03/19/13, 03/30/13 and 04/01/13, "Mental Health Rounds" evidenced "no problems." But then a nursing note 04/03/13 indicates Prisoner #56 came to medical for an "as needed" injection of Haldol. If, during rounds for several weeks, there was no problem, why was an "as needed" injection given? There is no explanation to be found in the record.
Part of the ethical and professional duty of psychiatrists as well as other mental health professionals is to carefully review the patient's medical records, identify any irregularities, and bring them to the attention of the proper person to address them. It appears from the medical records that this most basic kind of review and follow-up is simply not occurring at EMCF in the treatment of prisoners with mental illness.
When there are almost simultaneous notes in the medical record, one saying that the prisoner is fine with no complaints, the other describing a serious psychiatric crisis replete with hallucinations or very high suicide risk, this anomalous pattern is a sign of fraudulent recordkeeping. It is the duty of supervising mental health professionals to notice this kind of irregularity and remedy it.
II.F. Effect on Prisoners' Mental Health of Systemic Excessive Force
The general principle that underlies the standard of care in the community as well as correctional health care standards, is that the use of force must be a last resort, and it should only happen very rarely when all other, less restrictive options have been attempted and failed. The first option, always, is to talk, perhaps to negotiate, compromise, whatever it takes to avoid violence.
Eldon Vale comments in his Report about a pattern of use of excessive force at EMCF: "While many of the use of force events occur in units 5 and 6 at the prison, there are many in the other units as well. There is a pattern of dangerous and abusive practices that run through many of these events putting the prisoner population at significant risk of serious harm." Mr. Vale proceeds to analyze several videos of use of force incidents, pointing out the failure of staff to put energy into de-escalating situations so use of force would not be necessary, the failure of staff to provide de-contamination when immobilizing gas is employed, and so forth. He concludes this section of his report: "It is clear from the information made available to me that the incompetence of the custody staff at EMCF is profound, deeply troubling and places the inmates, as well as themselves, at risk of serious and significant injury."
It is very obvious from my review of videos involving use of force and from Eldon Val's very carefully conducted investigation into the use of force at EMCF that there is very little in the way of talk and negotiation that precedes the multiple uses of force portrayed in the videos we reviewed.
The video I reviewed of Prisoner #4, incident date 3/7/13, provides a vivid example of this pattern. The video shows Prisoner #4 being handcuffed, then he is told he will be stripped, and he starts to resist. But the officers do strip him. Then they try to move him to another location, he is thrown to the floor by several officers, one pushing his face into the floor. Prisoner #4 repeatedly insists he is not resisting, saying they are hurting him and he is not resisting. In a little while the prisoner starts to cry, and says on the video: "That man just punched me in the face, too." His lip is bleeding. They stand him up and move him. Prisoner #4 says to a specific officer: "I see you trying to slam my head." Prisoner #4 is upset and about not getting regular showers, being stripped, and that an officer ordered him to be taken down when he wasn't doing anything wrong." He proceeds to threaten the officers. Eventually he is examined by a nurse, and then talks to a mental health counselor, to whom he says "It's just wrong that an officer punched me in the face with my hands behind my back and everyone saw it and didn't do anything." Prisoner #4 confirms he took his medications and says he was just angry, he has been telling people that he has been handled too roughly, choked and threatened with a gun by the officers, and he is afraid they are trying to kill him. The prisoner is crying and talking about how he tried to do better when he moved cells and the mental health counselor gets up and leaves while he is speaking.
Added to the shocking absence of talking, and trying to reason with prisoners on the part of staff at EMCF prior to initiating the use of force, is the dreadful callousness on the part of staff, the insensitivity that is immediately apparent to the visitor or viewer of these videos. Officers, on average, talk very little to the prisoners. The officers on the segregation pods do not even enter the pods much of the time to check on the prisoners' safety. And in the general population units, the officers spend very little time talking to prisoners. Mental health staff usually spend a very short time, minutes, talking to the prisoners, even in the crisis intervention or Observation cells. There is a remarkable callousness that permeates the staff at EMCF, both custody and mental health staff.
The keyword is trauma. Prisoners generally, as a class, have been multiply traumatized throughout their lives. We know that from a large amount of literature about prisoners and traumas that occurred prior to their incarceration. Prisoners with serious mental illness are more susceptible to trauma than the average prisoner in two ways: Prisoners with serious mental illness are disproportionately victimized by fellow prisoners and disproportionately selected for disciplinary action and punishment by Correctional Officers; and trauma in prison, including "take-downs" by officers and involuntary injections, tend to trigger or exacerbate acute breakdowns or self-harm crises in this population. For these and other reasons, prisoners with serious mental illness are very vulnerable to trauma, and the traumas that occur in the prison environment become "re-traumatizations" and cause significant psychiatric damage.
CONCLUSION
MDOC has created a totality of conditions in the segregation units at EMCF so harsh and extreme that they are incompatible with mental health. Prisoners are isolated, abandoned, forced to live in abject filth and darkness, subjected to violence and danger, and denied care for their most basic human needs. Each of these conditions, individually and taken together, inflicts tremendous psychological suffering and places each prisoner at significant risk of serious harm.
There is no functioning mental health care system at EMCF. The availability and quality of care fall far short of what is minimally required to meet the needs of the population. As a result, on a systemic basis and regardless of diagnosis, acuity or history, MDOC denies patients the care necessary to meet their mental health needs. Mental health care at EMCF is inexcusably indifferent, reckless, and provided in a manner that places all patients at risk.
I first placed MDOC on notice of these dangers more than three years ago. Since that time, I have seen no evidence that they have taken responsibility for the safety, wellbeing, or mental health of prisoners at EMCF. The predictable result has been ongoing violence, suicide, and the unconscionable suffering of prisoners with mental illness. Absent remediation on a systemic level, these phenomena will continue unabated.
Respectfully Submitted,
Terry A. Kupers, M.D., M.S.P.
June 16, 2014
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SECURITIES & EXCHANGE COMMISSION EDGAR FILING
Support.com, Inc.
Form: 10-K405
Date Filed: 2002-03-29
Corporate Issuer CIK: 1104855
Symbol:
SPRT
Fiscal Year End:
12/31
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K
(Mark One)
x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the Fiscal Year Ended December 31, 2001
OR
❑ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For The Transition Period From _______________ To _______________
Commission File No. 000-30901
SUPPORTSOFT, INC.
(formerly Support.com, Inc.) (Exact Name of Registrant as Specified in Its Charter)
Delaware
State or Other Jurisdiction of Incorporation or Organization
94-3282005
(I.R.S. Employer
Identification No.)
575 Broadway, Redwood City, CA (Address of Registrant's principal executive offices)
94063 (Zip Code)
Registrant's telephone number including area code (650) 556-9440
Securities registered pursuant to Section 12(b) of the Act: NONE
Securities registered pursuant to Section 12(g) of the Act: Common Stock, $.0001 par value (Title & Class)
Indicate by check mark whether the registrant: (1) has filed all reports required to be filed by Section 13 or 15 (d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes x No ❑
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein and will not be contained, to the best of registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. x
The aggregate market value of the Registrant's common stock, $.0001 par value, held by non-affiliates of the Registrant was approximately $48,741,853 based upon the average high, low and close price, as of March 15, 2002. As of March 15, 2002, there were 33,494,459 shares of Registrant's common stock outstanding. Shares of Common Stock held by each executive officer, director, and 10% stockholder based on Schedule 13G filings, have been excluded since such persons may be deemed affiliates. This determination of affiliate status is not necessarily a conclusive determination for other purposes.
DOCUMENTS INCORPORATED BY REFERENCE
Portions of Registrant's definitive proxy statement (the "Proxy Statement") to be mailed to stockholders in connection with its
2002 annual meeting of stockholders scheduled to be held on May 28, 2002 are incorporated by reference into Part III of this report. Except as expressly incorporated by reference, the Registrant's Proxy Statement shall not be deemed to be part of this report.
FORM 10-K
FOR FISCAL YEAR ENDED DECEMBER 31, 2001
TABLE OF CONTENTS
The statements contained in this Report on Form 10-K that are not purely historical are forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended, including statements regarding our expectations, beliefs, intentions or strategies regarding the future. Words such as "anticipates," "expects," "intends," "plans," "believes," "seeks," "estimates" and similar expressions identify such forward-looking statements. These forward-looking statements are subject to risks and uncertainties that could cause actual results to differ materially from those indicated in the forward-looking statements. These are statements that relate to future periods and include statements relating to anticipated features and benefits of our products and services, statements by independent research firms relating to industry statistics and projections and statements by independent research firms relating to anticipated increases in the number of people using the web, the number of programs on the average personal computer, the amount of business to business infrastructure spending, the market for software support, the integration services industry and customer trends, statements relating to our strategy and components of our strategy, including our intentions to expand our market reach to large software application vendors, to continue to develop advanced support and service technologies, to expand our presence in corporate enterprises to create new sales entry points, to increase our share of the broadband service provider market, to expand our sales and distribution capabilities, to continue to increase customer return on investment, and to meet support requirements around the globe, our expectations as to benefits we may derive from our strategic alliances, as to expected net losses, expected cash flows, expected expenses including those related to sales and marketing, research and development and general and administrative, expected revenue and sources of revenue, expected impact, if any, of legal proceedings, expected increases in headcount, the adequacy of liquidity and capital resources, growth in business and operations and the effect of recent accounting pronouncements. Factors that could cause actual results to differ materially from those predicted, include but are not limited to, the Company's dependence on a small number of relatively large orders, the Company's ability to attract and retain customers for existing and new services and to achieve adoption and acceptance of our products and services, the Company's ability to recruit and retain employees particularly in the areas of sales, engineering and support services, the ability of our products to achieve market penetration, the ability to use or integrate third-party technologies and to expand infrastructure to meet the demand for the Company's services, the Company's ability to expand internationally, the Company's ability to control expenses, the economy and the strength of competitive offerings. Additional factors, which could cause actual results to differ materially, include those set forth in the following discussion, and, in particular, the risks discussed in Item 7, "Management's Discussion and Analysis of Financial Condition and Results of Operations—Other Factors Affecting our Business and Operating Results." These forward-looking statements speak only as of the date hereof. Unless required by law, the Company undertakes no obligation to update publicly any forward-looking statements.
PART I
ITEM 1. BUSINESS
Overview
Effective on March 28, 2002, the company changed its name from Support.com, Inc. to SupportSoft, Inc.
We are a leading provider of support automation software. Our Web-based family of software solutions is designed to help corporations automate and personalize the service and support they provide to their employees, customer and partners. Our software helps reduce manual steps in the service and support process and specializes in automated problem resolution. We believe that as a result, our software accelerates business growth, reduces operational costs and contributes to improved user satisfaction through faster, more precise resolution of problems associated with the use of operating systems, networks, software applications, business processes and other technologies.
Corporations utilize our software in different ways. Corporate information technology departments use our software to provide technical support to their company's employees. Hardware and software manufacturers and
support outsourcers license our software to support their respective products or services used by their customers. Broadband service providers utilize our software to help service their subscribers by streamlining the provisioning and installation of high-speed Internet connections, as well as help provide ongoing service throughout the subscriber's lifecycle.
The common denominator in all cases is our software's ability to solve problems. Our products offer automated, personalized support designed to resolve problems through system self-healing, mass healing, user self-service, and intelligent assisted support— delivered through the Internet. As the diversity of technology increases, the number and types of applications proliferate, and the reliance on technology of all kinds intensifies, we believe that support automation software will play an increasingly essential role in helping enterprises function and compete effectively.
Customers using our products and services include corporate enterprises such as General Electric, Cisco Systems, Bank of America, and Procter & Gamble; broadband service providers such as Comcast Online Communications, SBC Communications, Cox Communications, and Charter Communications; personal computer manufacturers such as IBM and Sony; and support outsourcers such as Computer Sciences Corporation, IBM, and Perot Systems.
Industry Background and Customer Markets
We believe that as technology continues to advance into all aspects of professional and personal life, service and support problems increase proportionately. For example, Gartner research indicates that in 1995 the typical internal help desk analyst supported 20 applications and received 0.8 user calls per month. By 2000 these figures climbed to 200 applications supported by each analyst, while user calls increased to 1.3 user calls per month. Historical approaches to resolving service and support issues are difficult to scale in meeting the growing enterprise and user requirements of tomorrow.
We believe service and support automation can help drive significant cost efficiencies in addressing both employee and customer needs — plus increase the satisfaction associated with each. Moreover, it can help deliver a clear and measurable return on an enterprise's investment in automating their service and support operations. This can provide a significant competitive advantage to companies during a time of tight technology spending and management pressure to demonstrate immediate return on technology investments.
We market and sell our support automation software primarily to corporate enterprises, broadband service providers, support outsourcers, computing device manufacturers and businesses that seek to extend their support or service solutions to their supplier and partner networks. The primary audience for our software is corporate information technology departments that are seeking to improve the productivity of their company's employees and reduce operational expenses associated with providing technical support. Companies license our Resolution Suite to provide a global, scalable support solution with the ability to provide support for a full spectrum of simple to complex technical issues to employees, even if working remotely. A representative sample of our corporate enterprise customers include: Bank of America, Bear Stearns, Belgacom, British Telecom, China American Petroleum, Cisco Systems, Clorox, CompuCom, Computer Sciences Corporation, General Electric, JCPenney, McKesson HBOC, Procter & Gamble, Siebel Systems, Schlumberger Omnes, and Telewest.
Corporations may extend their support capabilities outside their enterprise because suppliers, partners, and customers can also benefit from a company's more efficient support processes. Our new Satisfaction Suite software is designed to help enterprises service their customers over the Internet for questions related to basic technical support issues or simple non-technical "how to" or "how do" questions, such as "what is the status of my insurance claim." In December 2001, we licensed our new Satisfaction Suite software to our first customer, Health Care Service Corporation of America, an insurance provider.
Certain corporate enterprises prefer to outsource their support or service department. Support outsourcers license our products to provide a full range of support to another enterprise's employees or customers. An
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example of support outsourcers utilizing our software include: Computer Sciences Corporation, IBM, Perot Systems, and CompuCom.
Broadband service providers such as cable companies and telecommunications firms address technical issues facing corporate customers and consumers who are seeking high speed Internet connectivity. Such issues start from the time the subscriber makes the decision to purchase a broadband connection for their household or business and continue through the subscriber's ongoing use of the Internet connection including issues such as accessing email and clearing a browser cache. The Broadband Resolution Suite software can help broadband service providers, such as cable companies and telecommunications firms, resolve problems associated with the installation and provisioning of broadband service and facilitate customer service throughout the subscriber's lifecycle. The following customers have licensed our software: BellSouth, Charter Communications, Comcast Cable Communications, Cox Communications, Globo Cabo, Road Runner, a division of AOL/Time Warner, and SBC Communications.
Computing device manufacturers traditionally answered a customer's questions with a telephone call. Support automation software allows them to move users from telephone support to Web-based support, and can reduce costs associated with providing customer service. In addition to supporting personal computers, our Resolution Suite can support hand-held devices running the RIM Blackberry, Microsoft PocketPC, or Palm OS platforms. The following personal computer manufacturers are customers of SupportSoft: IBM, Samsung Electronics, Sony Electronics and Toshiba.
Strategy
SupportSoft's mission is to deliver the premier software platform for technology problem resolution ranging across systems and networks, personal computers, servers, devices and instruments, security, software applications and business processes. Key components of our strategy include:
Continue to Develop Advanced Support and Service Technologies. Our product offerings contain leading technologies that have been awarded with five patents while four additional patents are pending. Our products are designed to solve difficult service and support problems, primarily those revolving around technical issues. We intend to continue investing substantial resources in developing and potentially acquiring innovative Web-based technolo gies that enhance the personalization, automation and overall effectiveness of our solutions. We plan to continue developing technologies to support additional platforms and applications. Our goal is to understand the customers' problems and provide the underlying technology that resolves them. We will continue to foster an environment to obtain feedback from our customers, including ongoing meetings of our Customer Advisory Council, on which several customers from our Fortunate 100 customer base serve to provide us with valuable feedback that we can integrate into future generations of our products.
Expand our Presence in Corporate Enterprises. We intend to deepen our presence within corporate enterprises based on our experience in understanding the solution needs of corporate environments. In addition, we plan to develop new or add-on products to strengthen our customer relationships and generate new revenue opportunities for the company, while allowing existing customers the ability to leverage the investment already made in our underlying software. Potential new product opportunities include those with features addressing asset management, security attack recovery and infrastructure management.
Create New Sales Entry Points. In evolving our product offering, we believe we can create new opportunities to cross-sell our products. For example, a current customer using our Resolution Suite software to provide internal employee support is a candidate customer for our Satisfaction Suite software for external customer support. Similarly, a customer using the Broadband Resolution Suite software is a candidate to purchase our Resolution Suite software for employee support. Offering multiple service and support applications provides more opportunity to sell not just inside to internal information technology departments but to a company's line of business managers as well.
Increase our Share of the Broadband Service Provider Market. We currently count six of the eight largest broadband service providers in the United States as our customers. We intend to further assert our market leadership for support of high-speed connectivity both in the United States and abroad. We believe that the international marketplace is virtually untapped for automated service software in the broadband service provider market.
Extend our Sales and Distribution Reach. We plan to continue developing both our direct sales force and our relationships with indirect sales channels, notably support outsourcers. We work with some of the world's largest, most successful support outsourcing companies, including IBM, Computer Sciences Corporation and Compaq. We believe that our indirect sales channel will add cost efficiencies, extend our reach into current and new market segments, and complement our direct sales efforts. For example, IBM Global Services has adapted our software as an outsourced support solution under their own brand termed the Virtual Help Desk. We believe that a combination of direct and indirect sales channels is the best method of growing our customer base.
Continue to Increase Customer Return on Investment. Automated problem resolution starts with effective technology, however, people and process are critical to ensuring that the technology is deployed correctly and that the customer realizes its full benefits. Our Global Services organization works closely with our customers to develop an in-depth understanding of their businesses, and to help the customers effectively deploy our support solution to increase their return on investment. We plan to continue working with our customers as they use support and service automation, to improve the depth of our product offerings and, to identify new support challenges to address.
Meet Customer Requirements Around the Globe. The demands for better, more efficient user support are understood by leading corporations throughout the world. Accordingly, global deployment has been an essential part of our product development strategy since our inception as a company. Today, many of our products are localized in 10 languages. Sales and marketing of these localized solutions is managed through the company's Pacific Rim offices in Hong Kong, Singapore, Australia and Japan and our European operations in the United Kingdom and Germany.
Products
SupportSoft's products are organized into three software application suites to address the unique needs of different market requirements. These suites include the Resolution Suite, the Broadband Resolution Suite, and the Satisfaction Suite.
The Resolution Suite
The Resolution Suite is our principal product offering for corporate enterprises interested in providing support automation to their employees. In addition, the Resolution Suite is also purchased by support outsourcers and personal computer manufacturers, as well as manufacturers of devices such as the RIM Blackberry, Microsoft PocketPC, or Palm OS platforms, to provide technical support to their customers. The Resolution Suite consists of four key products that provide a modular approach to building comprehensive support solutions.
User Center
The User Center provides users with self-healing and automated self-service capabilities to resolve problems and questions that normally require a call to the call center or help desk. The User Center acts as the user's personalized, context-sensitive support assistant, identifying and automatically solving problems before they cause users to experience problems. The User Center provides a single source of information for addressing software and system malfunctions and responding to users' queries.
Support Center
The Support Center provides a centralized support infrastructure and software components for analysts to provide remote assisted service, enterprise-wide problem resolution and management and administration of the
overall support environment. This product provides support analysts with the ability to deliver context-sensitive diagnosis and resolution of user problems. The Support Center builds on the User Center's support capabilities in an effort to rapidly resolve support requests that are escalated to the call center or help desk. The Support Center provides support for a comprehensive range of call types, including solving problems, answering questions and resolving requests for system modifications.
The Support Center enables support analysts to provide enhanced assisted service with a set of tools for diagnosing and resolving problems from remote locations. By integrating the User Center's knowledge and user history with remote assisted service, the Support Center provides support analysts with appropriate information that they would normally need to gather manually. The Support Center allows support analysts to identify the fundamental causes of problems and enable users and support staff to systematically and rapidly resolve them without desktop visits or lengthy interactions between the user and the analyst. The result is a significant reduction in call times, which can lead to improved service to users and lower support costs.
The enterprise healing capabilities of the Support Center enable the support organization to solve problems for a large number of users across the organization before user productivity becomes impaired. We term this "mass healing." Mass healing allows the IT organization to identify problems, such as a virus outbreak, that could affect large numbers of users and repair them before users suffer downtime.
The administration and management capabilities of the Support Center provide centralized user management, usage and status reporting, storage maintenance, security administration and instructions for the User Center. The Support Center manages characteristics and privileges for users and support analysts and reports on support activities. For instance, periodic maintenance can be performed from the Support Center to manage security parameters and storage requirements.
Support Portal Hub
The Support Portal Hub is the centerpiece of the Resolution Suite. The Support Portal Hub works with the Internet-enabled Support Center and User Center to provide support organizations with the components and infrastructure they need to build interactive, full-service, context-sensitive and personalized online support. Through our SmartIssue technology, information about the user, the user's computing environment and the user's question or problem is provided to the Support Portal Hub. The Hub then analyzes this information for resolution by either self-service or optimized self-service. When appropriate, it can feed the information into call-tracking systems in order to populate trouble tickets or into knowledge bases to automatically enable better solution matching and problem resolution. The Support Portal Hub also provides mechanisms to protect the user's privacy and security. Lastly, the Support Portal Hub acts as a repository in recording the history of all support transactions and information and helps create Scorecard reports, which provide real-time insight into day-to-day operations.
Foundry
The Foundry is a development environment for authoring automated solutions and managing support content that can be utilized by the User Center, Support Center and Support Portal Hub. The Foundry's authoring capabilities enable support organizations to create automated solutions, or SupportActions, that support user applications and operating system components, automate common support activities and schedule jobs to manage user systems. SupportActions can be created for a complete range of support requests.
The Broadband Resolution Suite
The Broadband Resolution Suite has been designed specifically to address the unique needs of broadband service providers, whether the broadband delivery is via digital subscriber line (DSL) or high speed cable. The Broadband Resolution Suite has been developed using SupportSoft's core support automation infrastructure. It is
a fully integrated, end-to-end solution that automates all aspects of subscriber assistance, from connection through the ongoing support during the customer lifecycle. SupportSoft developed and markets the connection management module of the Broadband Resolution Suite along with BroadJump, Inc. The SmartConnect module can be made available only as a joint offering from SupportSoft and BroadJump. The connection management module, namely "SmartConnect," enables the broadband subscribers to easily diagnose and solve their own connection problems.
The Broadband Resolution Suite consists of four modules that together can be used to build a comprehensive, scalable and dynamic support infrastructure for subscriber service and support. The Support Portal Hub, SmartConnect, Support Center and Foundry are the building blocks of a customizable solution that can meet service provider's specific needs.
The Broadband Resolution Suite was designed to provide the following benefits:
* Diagnoses both PC and network/service problems including customer premises equipment (Cable/DSL modems)
* Personalizes the repair and assisted service solutions for the subscriber's personal computing environment
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Offers the subscriber easy access to solutions so that they can solve problems themselves
* Provides targeted solutions based on service status
* Protects subscriber privacy and security by putting the subscriber in control of what information is passed to the service provider. All information gathering is permission-based and initiated by the subscriber.
The Satisfaction Suite
The Satisfaction Suite enables companies to provide service to its customers over the Internet, related to basic technical support issues or simple "how to" or "how do" questions. The Satisfaction Suite offers customers the ability to help themselves and, if the customer's question is still not resolved via self-service, it provides the ability for the customer to automatically escalate to a customer service representative. In doing so, it rewards the customer for their self-service efforts by arming the customer service representative with the self-service steps already taken. The Satisfaction Suite consists of two key components that provide a modular approach to building comprehensive service solutions that make the Internet integral to a customer contact center.
CustomerAdvisor
The CustomerAdvisor provides users with automated self-service help to questions related to the products or services provided by a company, thereby reducing the number of calls into the customer service department and increasing customer satisfaction.
ServiceAdvisor
The ServiceAdvisor provides the customer service representative with information helpful to answer the customer's question, without requesting information already supplied by the customer during the self-service session. In addition, the ServiceAdvisor can be integrated with a third party Customer Relationship Management (CRM) application and automatically populate trouble tickets, shortening the length and reducing the cost of each call.
Add-On Modules
Integration Toolkit
The Integration Toolkit enables customers to integrate our software Suites into a customer's existing website. In addition, the Integration Toolkit allows the customer to customize and brand the user-facing portion of the Suites.
Activators
The Activators enable customers to integrate the Suites with a variety of call tracking systems, including Peregrine Remedy, Siebel Systems, Tivoli, Amdocs (formally Clarify), and PeopleSoft. The Activators enable the call tracking systems to be populated with the user information obtained during the support or service session.
Additional Products
We currently market and sell complementary add-on products from third party vendors for password management, content, and e-learning authoring tools.
Technology
Our core technologies enable our products to easily adapt to varying environments and to reduce the manual labor in the support process. We have five patents related to our SmartIssue, DNA Probe, and Software Vault Technologies. We have four additional patents pending. The following is a summary of our core technologies:
SmartIssue Technology
When a user has a problem or question, our patented SmartIssue technology automatically collects personalized information about the user, the system and the problem. Such information is delivered to the support professional only upon the user's consent to help the user's privacy remain intact. Based on a just-in-time analysis of this information, SmartIssue technology automatically and intelligently connects users to the support tools, personnel and communication channels that best address the support issue.
SmartResult System
The SmartResult system combines SmartIssue information with advanced search technology, to automate problem resolution for "how-to" questions to help deliver the best, most precise answer to a user's inquiry. The SmartResult system can target users based upon defined characteristics such as which department the user is in or whether the user is a mobile user, or whether the user speaks a foreign language.
DNA Probe—Personalized Support
Our patented DNA Probe provides detailed data about users, their system and their software. DNA Probe technology automatically identifies the characteristics of each user's software applications and operating system components and tracks them over time. This personalized data can be used to quickly sift through large amounts of information, compare historical data and highlight potential fundamental causes of problems. For example, the DNA Probe technology automatically identifies all of the network settings for each individual user, including the network address, machine name, Internet configuration and the specific drivers for their network card. The DNA Probe can dynamically learn about an individual computing environment to efficiently provide a user with personalized support solutions.
SupportAction—Point-and-Click Development and Delivery
Many custom support solutions can be packaged as SupportActions, which enable the automation of common support requirements such as solving problems or answering questions. Support analysts use the Foundry to create custom SupportActions using a point-and-click interface. Support organizations can program existing applications, commands and content into SupportActions to turn static information into automated knowledge. For example, the support organization could integrate a diagnostic program into a SupportAction so that the user can automatically perform the steps described by the diagnostics program. SupportActions can accommodate many scripting languages and a wide range of content.
DNA Infrastructure
Our DNA Infrastructure provides a common mechanism for the distribution and application of changes to one or more machines. This infrastructure is used across our products so that changes made to a user's machine are consistent, reversible and recorded. Repair to a user's machine, comparison of one machine to another, installation, modification and distribution can all be achieved using our DNA Infrastructure. Support solutions are easier to develop with this infrastructure because steps that are done manually and are potentially error-prone are replaced by automatic and consistent mechanisms. This can facilitate rapid development and reduce the cost of on-going maintenance.
Nexus—Enhanced Communication Infrastructure
Our products communicate directly with each other using secure protocols, but firewalls and other network components often restrict direct communication across the Internet. If a firewall or other device prevents direct communication between remote parties, our products are designed to communicate indirectly using our Nexus technology as an intermediary. Our Nexus technology allows communication to take place between parties in circumstances where direct communication is unreliable or impossible.
Software Vaults—Efficient Storage Management
Once a user's problem is diagnosed, the solution is delivered to the user from the Software Vault. Support solutions generally require access to a large amount of support content, in the form of files, programs and other information, which must be available locally or across a network. Our patented Software Vault provides efficient and redundant storage, retrieval and management of this support content. Files and programs for supported applications, operating system components and all SupportActions are stored in the Software Vault.
Sales and Distribution
We sell our software through a combination of direct and indirect sales channels. Our direct sales efforts to corporate customers are focused on several industries, including financial services, telecommunications, technology and manufacturing. Our indirect sales channel consists of support outsourcers, live support providers, system integrators, and resellers. We sell to corporate enterprises, service providers and device manufacturers primarily through our direct sales channel. Currently, we manage direct and indirect sales channels from the United States, covering North America, from the United Kingdom and Germany covering Europe, the Middle East and Africa, and from Singapore, Australia, Japan and Hong Kong covering the Asia Pacific region.
We have established sales and distribution alliances with specialized technology and services firms that deliver our solutions to multiple market segments. We believe these distribution relationships allow us to benefit from the marketing and lead generation capabilities of these firms, and are intended to increase geographic sales coverage and to address various customer segments ranging from mid-market businesses to government to large corporate customers complementary to our direct sales efforts.
Included within these distribution alliances are support outsourcers. Support outsourcers seek ways to provide new value and increase service levels to current customers, as well as prospects. SupportSoft's software can help outsourcers increase customer satisfaction and provide ongoing value in the relationship by reducing the time and expense it takes to resolve technical problems for a customer's software applications. For example, IBM Global Services has adapted our software as an outsourced support solution under their own brand termed the Virtual Help Desk.
Technology Alliances
We employ technology alliances to help ensure that our support automation software can be integrated with the applications, software and network solutions of our customers. We also enter into alliances with partners that we believe can enhance our solution or can assist customers in gaining more value from SupportSoft software. These may include companies marketing Internet infrastructure software, operating systems, software tool providers and applications developers. Examples of such alliances include Contrado, with which we partner in selling an integrated solution for deployment and support of software solutions for large enterprises, and BroadJump, with which we have partnered in selling a robust solution to broadband service providers.
We work with our customers to understand where technology alliances can provide the greatest benefit to them, whether their requirements are for ease of integration with legacy applications, providing a complementary solution to their existing user support applications or leveraging a fully developed knowledge base. Through this customer dialogue, we have created technical and other forms of alliances with companies such as Tivoli, Amdocs, and Peregrine Remedy, to complement their call tracking applications, with companies like Serviceware and Primus to add value to their knowledge management solutions, and with software companies like Siebel, MicroMuse, and PeopleSoft which offer software complementary to ours. Our alliances can allow the customer to realize a higher return on a SupportSoft investment, because we work with solutions that they already have in place, or are actively considering for deployment.
Global Services
Our Global Services organization provides professional service offerings to our customers ranging from architectural design to ongoing support. Our Global Services group customizes solutions for our customers that can be used across all or parts of their organizations. Its capabilities are principally divided into five areas:
Implementation. Provides architectural design, transformation, product integration and deployment services.
Education. Trains customers and those parties with whom we have alliances in the design, implementation and use of our products.
Technical Support. Responds to design, feature, implementation and deployment questions.
Customer Care. Provides ongoing assistance to optimize customer communication and feedback for smooth technology deployment, including using our own software to provide an Internet support portal, entitled ExpertExchange, as well as regular user group forums by which customers can assist each other in discussing product issues and opportunities.
Strategic Services. Educates customers on "best practices" for supporting and servicing users and encouraging users to move from traditional support processes, such as a phone call to the help desk, to an automated approach, in order to accelerate the customer's return on investment.
Under a maintenance contract, our customers receive generally available new releases, corrections, enhancements, and updates to the products they have licensed.
Research and Development
We devote a substantial portion of our resources to developing new and enhanced versions of our support automation software, conducting product testing and quality assurance testing and improving our core technologies. Fundamental to our research and development strategy is rapid product develop cycles, continuous improvement, and customer feedback. We believe that customers serve as an extension of our research and
development process by providing us with valuable feedback from their hands-on usage to assist with our product improvements, implementation services and new market opportunities and strategy. We have created a Customer Advisory Council with a representative sample of our customers to formalize this input.
Our research and development expenditures were approximately $12.6 million in 2001, $10.9 million in 2000, and $2.3 million in 1999. We expect to continue to devote significant resources to research and development for the next several years.
Intellectual Property
Patents
We have five patents in the general areas of automated discovery of dynamic configurations, our SmartIssue technology and our software vault technology. We have four patent applications pending in the United States, and we may seek additional patents in the future. We do not know if our patent applications or any future patent application will result in a patent being issued with the scope of the claims we seek, if at all. Also, we do not know whether any patents we have or may receive will be challenged or invalidated. It is difficult to monitor unauthorized use of technology, particularly in foreign countries where the laws may not protect our proprietary rights as fully as in the United States, and our competitors may independently develop technology similar to ours.
Copyright, Trademark and other Proprietary Rights
Our trademarks and service marks include SupportSoft and related designs, Support.com and related designs the "support man" logo, ContextResponse Technology, CustomerAdvisor, DNA, DNA Probe, Mobile Support Suite, Nexus, RapidReset, Resolution Suite, Resolution Suite Integration Toolkit, Satisfaction Suite, ServiceAdvisor, SmartIssue, SupportAction, and SupportTrigger. We claim common law rights for other marks in certain additional markets as well. The adoption of the new trademark and corporate name SupportSoft increases the risk that a prior user could view the mark or name to be confusingly similar to the prior user's mark or name. Although the Company has conducted limited trademark and trade name searches, and does not believe the SupportSoft trademark and corporate name will infringe any known party's trademark rights, it is possible that a third party will claim our use of SupportSoft infringes its trademark. Third parties may infringe or misappropriate our copyrights, trademarks and similar proprietary rights. We rely on a combination of copyright, trade secret, trademark and contractual protection to establish and protect our proprietary rights that are not protected by patent. We also enter into confidentiality agreements with our employees and consultants involved in product development. We routinely require our employees, customers and potential business partners to enter into confidentiality agreements before we will disclose any sensitive aspects of our business. Also, we require employees to agree to surrender to us any proprietary information, inventions or other intellectual property they generate or come to possess while employed by us. Despite these efforts, unauthorized parties may attempt to copy or obtain and use our products or technology. These precautions may not prevent misappropriation or infringement of our intellectual property.
Our Infringement of Others' Intellectual Property
We may be involved in legal proceedings and claims in the ordinary course of our business, including claims of alleged infringement of the patents, trademarks and other intellectual property rights of third parties. Also, patent applications may have been filed which relate to our software products. Intellectual property litigation is expensive and time-consuming and could divert management's attention away from running our business. This litigation could also require us to develop non-infringing technologies or enter into royalty or license agreements. These royalty or license agreements, if required, may not be available on acceptable terms, if at all. Our failure or inability to develop non-infringing technologies or license the proprietary rights on a timely basis would harm our business. In March of 2001, Previo, Inc. filed a patent infringement lawsuit against us. In February of 2002, the parties agreed to an amicable business resolution and the claims of both parties have been dismissed. As of March 15, 2002, SupportSoft is not involved in any infringement lawsuits.
Competition
Our competitors may be able to respond more quickly to new or emerging technologies and changes in customer requirements. Our potential competitors may have longer operating histories, significantly greater
financial, technical and other resources or greater name recognition than we do. We encounter competition from a number of different sources, including internal development, point application vendors and other competitors. Competition could seriously harm our ability to sell additional software, maintenance renewals and services on terms favorable to us. Competitive pressures could also reduce our market share or require us to reduce the price of products and services, which could harm our business, financial condition and operating results.
Internal Development
Our customers and potential customers have developed or may develop support automation software systems in-house. We expect that internally-developed applications will continue to be a principal source of competition in the foreseeable future. The competitive factors in this area require that we produce a product that conforms to the customer's information technology standards, scales to meet the needs of large enterprises, and costs less than the result of an internal development effort.
Point Application Vendors
The market for our products is intensely competitive, subject to rapid change and significantly affected by new product introductions and other market activities of industry participants. Although we do not believe there is one dominant competitor in the market for all aspects of our support automation solution, there are vendors who offer products and services with features that compete with specific elements of our solution.
Other Competition
We may encounter competition from other software companies to the extent that we enter each other's market. These companies may include, customer relationship management, or CRM, solutions companies, including Kana Communications, eGain, Motive Communications and Oracle Corporation; consolidated service desk solution vendors, including Amdocs, and Peregrine Corporation; and software release management companies, such as Novadigm.
We believe that the principal competitive factors in our market include quality of client base, timing of return-on-investment, product functionality, quality and performance, responsiveness of new products to the market in a timely manner, customer service and support; and pricing. Our continued success will depend on our ability to maintain our technological advantage, introduce timely enhanced products to meet the growing support needs, deliver on-going value to our customers and scale our business.
Employees
As of December 31, 2001, we had 155 full-time employees. None of our employees are covered by collective bargaining agreements. We believe our relations with our employees are good.
ITEM 2. PROPERTIES
Our corporate headquarters are located in Redwood City, California, where we lease approximately 23,600 square feet under a lease that expires in May 2003, with an option to extend for an additional two years. As of December 31, 2001, we also leased office space in 14 other cities for our sales and support personnel. The terms of these leases expire beginning in August 2002 and ending in February 2006, and automatically renew unless earlier terminated. We may require additional space to meet our needs within the next 12 months.
ITEM 3. LEGAL PROCEEDINGS
In March of 2001, Previo, Inc. filed a patent infringement lawsuit against us. In February of 2002, the parties agreed to an amicable resolution and the claims of both parties have been dismissed. As of March 15, 2002, SupportSoft is not involved in any infringement lawsuits.
On or about November 30, 2001, Dana [sic] Risley, on behalf of herself [sic] and other similarly situated, filed a lawsuit, styled as a class action, against us in the United States District Court for the Southern District of New York. The complaint alleges, inter alia, that our Registration Statement and Prospectus dated July 18, 2000 for the issuance and initial public offering of 4,250,000 shares of the Company's common stock contained material misrepresentations and/or omissions, related to alleged inflated commissions received by the underwriters of the offering. The lawsuit seeks unspecified damages as well as interest, fees and costs. The defendants named in the lawsuit are the Company, Radha Basu, Brian Beattie, Credit Suisse First Boston Corporation, Bear, Stearns & Co. Inc., and FleetBoston Robertson Stephens Inc. While it is too early to predict with certainty the outcome of the litigation, we believe that the claims against the Company and its directors are without merit and we intend to defend the lawsuit vigorously.
We are not currently a party to any other material legal proceedings. We are involved, and may from time to time become involved, in legal proceedings arising in the ordinary course of business or incidental to our business.
ITEM 4. SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS
No matters were submitted to a vote of security holders during the fourth quarter of the year ended December 31, 2001.
Executive Officers of the Registrant
Our executive officers and their ages as of March 15, 2002, are:
Radha R. Basu. Ms. Basu has served as President, Chief Executive Officer and as a director of SupportSoft since July 1999 and became Chairman of the Company's Board of Directors in January 2001. Ms. Basu worked at Hewlett-Packard Company, a computing and imaging solutions provider company, from November 1978 to January 1999, and held various general management positions, most recently the general manager of the electronic business software organization. Ms. Basu also serves as a director of Seec, Inc., an eBusiness solutions company. Ms. Basu holds a B.S. in engineering from the University of Madras, a masters degree in electrical engineering and computer science from the University of Southern California and is a graduate of the Stanford University executive management program.
Brian M. Beattie. Mr. Beattie has served as Executive Vice President of Finance and Administration and Chief Financial Officer of SupportSoft since October 1999. From May 1998 to May 1999, he served as Vice President of Finance, Mergers and Acquisitions of Nortel Networks Corporation, a voice and data networking company. From July 1996 to April 1998, Mr. Beattie served as Group Vice President of Meridian Solutions of Nortel Networks Corporation. From February 1993 to June 1996, Mr. Beattie served as Vice President of Finance, Enterprise Networks, for Nortel Networks Corporation. Mr. Beattie holds a bachelor of commerce and an MBA from Concordia University in Montreal.
Scott W. Dale. Mr. Dale co-founded SupportSoft and has served as the Chief Technical Officer of SupportSoft since its incorporation in December 1997, and assumed the role of Vice President of Engineering in April 2000. From January 1997 to December 1997, Mr. Dale served as a software consultant for M&I Data
Services, a financial transaction software company. From July 1992 to January 1997, Mr. Dale served as a software consultant to Hewlett-Packard Company, a computing and imaging solutions provider company. Mr. Dale holds a B.S. in computer science from Stanford University.
Cadir B. Lee. Mr. Lee co-founded SupportSoft and has served as the Chief Software Officer of SupportSoft since its incorporation in December 1997. From 1995 to 1997, Mr. Lee served as a software consultant to Hewlett-Packard Company, a computing and imaging solutions provider company. Mr. Lee holds a B.S. in biological sciences and a B.A. in music from Stanford University.
Lucille K. Hoger. Ms. Hoger has served as the Vice President of Operations of SupportSoft since February 2000. From 1996 to 2000, Ms. Hoger served as the Chief Operating Officer at ConnectInc.com, an e-commerce software company. From 1992 to 1995, she served as a principal for Gemini Consulting, an affiliate of Cap Gemini, a consulting company. Ms. Hoger holds a B.A. in accounting from Southwest Texas State University.
Bruce Mowery. Mr. Mowery has served as the Vice President of Marketing at SupportSoft since January 2001. From 1999 to 2000, Mr. Mowery served as Executive Vice President for More.com, an eCommerce company. From 1995 to 1997, Mr. Mowery served as Vice President of Marketing for Visioneer, a leading manufacturer of computer imaging systems. From 1994 to 1995, Mr. Mowery served as Vice President of Marketing for MusicNet, an online music company. From 1984 to 1993, Mr. Mowery held various senior marketing positions at Apple Computer, most recently as Senior Director of Marketing for its personal computing products. Mr. Mowery holds a B.S. from Ohio State University, a masters in management from the American Graduate School of International Management, and a diploma from INSEAD, Europe's leading business management school.
David Duckwitz. Mr. Duckwitz has served as Senior Vice President of Sales since March 2001. From May 2000 to March 2001, he served as a Senior Vice President and General Manager of Stamps.com, an online provider of shipping and mailing solutions. From April of 1996 until March of 2000, Mr. Duckwitz served as a Senior Vice President of Sales for enterprise business applications solutions at Computer Associates International, a software company. Mr. Duckwitz holds a B.S. in computer information systems from California State Polytechnic University.
ITEM 5. MARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS
Market of Common Stock
Our common stock has been traded publicly on the Nasdaq National Market under the symbol "SPRT" since July 19, 2000. Before July 19, 2000, there was no public market for the common stock. The following table sets forth for the periods indicated the highest and lowest sale price of the common stock during each quarter since July 19, 2000:
Holders of Record
As of March 15, 2002, there were approximately 467 holders of record (not including beneficial holders of stock held in street name) of the common stock.
Dividend Policy
We did not declare or pay any cash dividends on our capital stock since our inception and do not expect to do so in the foreseeable future. We anticipate that all future earnings, if any, generated from operations will be retained by us to develop and expand our business. Any future determination with respect to the payment of dividends will be at the discretion of the Board of Directors and will depend upon, among other things, our operating results, financial condition and capital requirements, the terms of then-existing indebtedness, general business conditions and such other factors as the Board of Directors deems relevant.
ITEM 6. SELECTED CONSOLIDATED FINANCIAL DATA
The information set forth below is not necessarily indicative of results of future operations and should be read with "Management's Discussion and Analysis of Financial Condition and Results of Operations" and the consolidated financial statements and related notes included in Items 7 and 8 of Part II of this Form 10-K.
ITEM 7. MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS
The following discussion and analysis should be read with "Selected Consolidated Financial Data" and our Consolidated Financial Statements and the related notes included elsewhere in this Form 10-K. The statements contained in this Report on Form 10-K that are not purely historical are forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended, including statements regarding our expectations, beliefs, intentions or strategies regarding the future. Words such as "anticipates," "expects," "intends," "plans," "believes," "seeks," "estimates" and similar expressions identify such forward-looking statements. These forward-looking statements are subject to risks and uncertainties that could cause actual results to differ materially from those indicated in the forward-looking statements. These are statements that relate to future periods and include statements relating to anticipated features and benefits of our products and services, statements by independent research firms relating to industry statistics and projections and statements by independent research firms relating to anticipated increases in the number of people using the web, the number of programs on the average personal computer, the amount of business to business infrastructure spending, the market for software support, the integration services industry and customer trends, statements relating to our strategy and components of our strategy, including our intentions to expand our market reach to large software application vendors, to continue to develop advanced support and service technologies, to expand our presence in corporate enterprises to create new sales entry points, to increase our share of the broadband service provider market, to expand our sales and distribution capabilities, to continue to increase customer return on investment, and to meet support requirements around the globe, our expectations as to benefits we may derive from our strategic alliances, as to expected net losses, expected cash flows, expected expenses including those related to sales and marketing, research and development and general and administrative, expected revenue and sources of revenue, expected impact, if any, of legal proceedings, expected increases in headcount, the adequacy of liquidity and capital resources, growth in business and operations and the effect of recent accounting pronouncements. Factors that could cause actual results to differ materially from those predicted, include but are not limited to, the Company's dependence on a small number of relatively large orders, the Company's ability to attract and retain customers for existing and new services and to achieve adoption and acceptance of our products and services, the Company's ability to recruit and retain employees particularly in the areas of sales, engineering and support services, the ability of our products to achieve market penetration, the ability to use or integrate third-party technologies and to expand infrastructure to meet the demand for the Company's services, the Company's ability to expand internationally, the Company's ability to control expenses, the economy and the strength of competitive offerings. Additional factors, which could cause actual results to differ materially, include those set forth in the following discussion, and, in particular, the risks discussed in "Other Factors Affecting our Business and Operating Results" and elsewhere in this Form 10-K. These forward-looking statements speak only as of the date hereof. Unless required by law, the Company undertakes no obligation to update publicly any forward-looking statements.
Overview
General
SupportSoft, Inc. ("SupportSoft"), formerly known as Support.com, Inc. and Tioga Systems, Inc., was incorporated in the state of Delaware on December 3, 1997. We are a leading provider of support automation software. Our Web-based family of software solutions is designed to help corporations automate and personalize the support they provide to their employees, customers and partners. Our software helps reduce manual steps in the service and support process.
Corporations utilize our software in different ways. Corporate information technology departments use our software to provide technical support to their company's employees. Hardware and software manufacturers and support outsourcers license our software to support their respective products or services used by their customers. Broadband service providers utilize our software to help service their subscribers by streamlining the provisioning and installation of high-speed Internet connections, as well as help provide ongoing service throughout the subscriber's lifecycle.
The common denominator in all cases is our software's ability to solve problems. Our products offer automated, personalized support designed to resolve problems through system self-healing, mass healing, user self-service, and intelligent assisted support— delivered through the Internet. As the diversity of technology increases, the number and types of applications proliferate, and the reliance on technology of all kinds intensifies, we believe that support automation software will play an increasingly essential role in helping enterprises function and compete effectively.
Results of Operations
The following table presents certain consolidated statement of operations data for the periods indicated as a percentage of total net revenue.
Years Ended December 31,
Years ended December 31, 2001, 2000 and 1999
Revenue
We generate revenue primarily from software licenses and related professional services. We market our products through a combination of direct sales, resellers and service providers. Through 2001, most of our revenue was derived from direct sales. Although we believe direct sales will continue to account for most of our license revenue for the foreseeable future, our strategy is to continue to increase the level of indirect sales activities. Revenue from customers outside the United States accounted for approximately 19% of our total revenue in 2001, 15% of our total revenue in 2000 and 1% of our total revenue in 1999.
Total revenue was $30.4 million in 2001, $18.7 million in 2000 and $3.2 million in 1999. Total revenue increased by approximately $11.8 million or 63%, in fiscal 2001 from fiscal 2000 and increased approximately $15.5 million or 481%, in fiscal 2000 from fiscal 1999. These increases were primarily because of greater market acceptance of our software products, expansion of our product line, a full year of term-based license revenue in 2001 and 2000 for arrangements entered into in the previous year and the increase in maintenance revenue and professional services performed.
License revenue
License revenue was $22.5 million in 2001, $13.7 million in 2000 and $2.6 million in 1999. License revenue increased by approximately $8.8 million or 64%, in fiscal 2001 from fiscal 2000 and increased approximately $11.1 million or 420%, in fiscal 2000 from fiscal 1999. These increases were primarily due to greater market acceptance of our software products, a full year of term based license revenue in 2001 and 2000 for arrangements entered into in the previous year and expansion of our product line. For the years ended December 31, 2001, 2000, and 1999, revenue from perpetual licenses as a percentage of total revenue was 20%, 24% and 65% and as a percentage of license fees was 27%, 33% and 79%, respectively.
Services revenue
Services revenue was $7.9 million in 2001, $4.9 million in 2000 and $569,000 in 1999. Services revenue increased by approximately $3.0 million or 60%, in fiscal 2001 from fiscal 2000 and increased approximately $4.4 million or 767%, in fiscal 2000 from fiscal 1999. These increases were primarily due to increased maintenance revenue and increased implementation, training and consulting services performed.
Cost of revenue
Total cost of revenue was $6.9 million in 2001, $7.3 million in 2000 and $969,000 in 1999. Cost of revenue decreased approximately $460,000 or 6%, in fiscal 2001 from fiscal 2000 and increased approximately $6.3 million or 655%, in fiscal 2000 from fiscal 1999. The decrease in cost of revenue in fiscal 2001 from fiscal 2000 was primarily due to a license fee payment of $1.0 million paid to ePeople in the third quarter of fiscal 2000. Since our purchase of the technology which we were previously licensing from ePeople, our consolidated statement of operations includes amortization of purchased technology. The increase in cost of revenue in fiscal 2000 from fiscal 1999 was primarily due to increased costs associated with growth in our professional services organization and royalties paid to third party software vendors including the one-time payment of $1.0 million mentioned above.
Cost of license revenue
Cost of license revenue consists primarily of fees paid to third parties under technology license arrangements. Cost of license revenue was $621,000 in 2001, $1.4 million in 2000 and $4,000 in 1999. Cost of license revenue decreased approximately $784,000 in fiscal 2001 from fiscal 2000 and increased $1.4 million in fiscal 2000 from fiscal 1999. The decrease in cost of license revenue in fiscal 2001 from fiscal 2000 and the increase in cost of license revenue in fiscal 2000 from fiscal 1999 were primarily due to a onetime license fee payment of $1.0 million paid to a third party in fiscal 2000. For the years ended December 31, 2001, 2000 and 1999, we incurred minimal shipping, packaging and documentation costs, as our product was delivered electronically over the Internet.
Cost of services revenue
Cost of services revenue includes salaries, travel costs net of reimbursements, related overhead expenses and payments made to third parties for consulting services. Cost of services revenue was $6.2 million in 2001, $5.9 million in 2000 and $965,000 in 1999. Cost of services revenue increased $324,000 in fiscal 2001 from fiscal 2000 and increased $4.9 million in fiscal 2000 from fiscal 1999. The increase in cost of services revenue in fiscal 2001 from fiscal 2000 was primarily due to an increase in salary expenses offset by a reduction in travel, consulting and recruiting expenses. The increase in cost of services revenue in fiscal 2000 from fiscal 1999 was primarily due to the growth in the number of employees in our professional services organization and to consulting and other fees paid to third parties.
Amortization of purchased technology
Amortization of purchased technology was $2.8 million in 2001, $1.2 million in 2000 and zero in 1999. These increases were attributable to the amortization of purchased technology from the acquisition of source code and related intellectual property rights from ePeople, Inc. in September 2000. We expect to amortize approximately $598,000 per quarter for the next three quarters related to this technology acquisition.
Operating expense
Research and development. Research and development expense consists primarily of payroll expense and related costs for research and development personnel. Research and development expense is expensed as incurred. Research and development expense was $12.6 million in 2001, $10.9 million in 2000 and $2.3 million in 1999. Research and development expense increased approximately $1.7 million or 16%, in fiscal 2001 from fiscal 2000 and increased approximately $8.6 million or 365%, in fiscal 2000 from fiscal 1999. The increases in research and development expense in fiscal 2001 from fiscal 2000 and in fiscal 2000 from fiscal 1999 were primarily due to an increase in payroll expense, an increase in consulting costs and other costs incurred in connection with the development of new products and the expanded functionality of our support automation software as well as our increased investment in quality assurance. In fiscal 2001, the increases in research and development expense were offset by a reduction in travel and recruiting costs.
Sales and marketing. Sales and marketing expense consists primarily of payroll expense, including salaries and commissions and related costs for sales and marketing personnel and promotional expenses, including public relations, advertising and trade shows. Sales and marketing expense was $27.5 million in 2001, $22.8 million in 2000 and $7.9 million in 1999. Sales and marketing expense increased by approximately $4.7 million or 21%, in fiscal 2001 from fiscal 2000 and increased approximately $14.8 million or 187%, in fiscal 2000 from fiscal 1999. The increases in sales and marketing expense in fiscal 2001 from fiscal 2000 and in fiscal 2000 from fiscal 1999 were due to a number of factors, including an increase in payroll expense, the opening of new sales offices in the United States, Europe and Asia and commission expense associated with increased revenue in both fiscal 2001 and fiscal 2000. In fiscal 2001, the increases in sales and marketing expense were offset by a reduction in travel and recruiting costs.
General and administrative. General and administrative expense consists primarily of payroll expense and related costs of administrative personnel and professional fees for legal, accounting and other professional services. General and administrative expense was $6.1 million in 2001, $4.3 million in 2000 and $1.8 million in 1999. General and administrative expense increased approximately $1.8 million or 42% in fiscal 2001 from 2000 and approximately $2.5 million or 134% in fiscal 2000 from fiscal 1999. The increases in general and administrative expense in fiscal 2001 from fiscal 2000 and in fiscal 2000 from fiscal 1999 were primarily because of an increase in payroll expense and from additional legal, accounting and other professional services costs incurred in connection with supporting business activities.
Amortization of deferred compensation. Deferred stock compensation represents the difference between the exercise price of options granted to employees and board of directors and the deemed fair value for financial statement reporting purposes of our common stock on their respective grant dates. Deferred stock compensation also includes the fair value of options and restricted stock granted to non-employees as determined under the Black Scholes model. We amortized deferred compensation expense related to employee and board of director option grants of approximately $4.3 million during the year ended December 31, 2001, $10.3 million during the year ended December 31, 2000 and $3.6 million for the year ended December 31, 1999. We reduced deferred stock compensation by $2.0 million in 2001 and $4.3 million in 2000 to reflect the cancellation of unvested stock options.
We also recorded variable accounting expense related to the amortization of deferred compensation for options to nonemployees and the acceleration of vesting of certain restricted stock arrangements of zero for the
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year ended December 31, 2001, $501,000 for the year ended December 31, 2000 and $255,000 for the year ended December 31, 1999.
Interest income, net. Interest income, net was $1.6 million in 2001, $1.7 million in 2000 and $170,000 in 1999. Interest and other income decreased approximately $140,000 or 8%, in fiscal 2001 from fiscal 2000 and increased approximately $1.5 million or 911%, in fiscal 2000 from fiscal 1999. The decrease in interest income, net in fiscal 2001 from fiscal 2000 was primarily attributable to the reduction in interest income earned on our cash, cash equivalents and investments due to lower cash, cash equivalents and short-term investment balances. The increase in interest income, net in fiscal 2000 from fiscal 1999 was primarily because of increased average cash balances resulting from our initial public offering in July 2000.
Provision for income taxes. For the years ended December 31, 2001 and December 31, 2000, we incurred net losses for federal and state tax purposes and have not recognized any tax provision or benefit. As of December 31, 2001, we had federal and state net operating loss carryforwards of $34.4 million and $12.8 million, respectively. The net operating loss carryforwards expire on various dates beginning in 2005 through 2021. Given our limited operating history, our losses incurred to date and the difficulty in accurately forecasting our future results, management does not believe that the realization of the related deferred income tax asset meets the criteria required by generally accepted accounting principles. Therefore, we have recorded a 100% valuation allowance against the deferred income tax asset.
Liquidity and Capital Resources
Operating Activities
Net cash used in operating activities was $24.3 million in 2001, $16.5 million in 2000 and $8.0 million for 1999. Amortization of deferred stock compensation and amortization of purchased intangibles, which is included in the net loss, but does not require the use of cash, amounted to $7.1 million for the year ended December, 31, 2001 compared to $11.9 million and $3.8 million for 2000 and 1999. Net cash used in operations during 2001 was primarily the result of $28.2 million in net losses and a $5.0 million increase in accounts receivable and a combined decrease in accrued compensation and other accrued liabilities of $2.2 million, offset by a $1.4 million increase in deferred revenue. The increase in accounts receivable and deferred revenue for 2001 is primarily the result of increased sales at the end of the year and to a lesser extent anniversary billings from term deals closed in previous years.
Investing Activities
Net cash provided by investing activities was $28.9 million in 2001 and net cash used in investing activities was $35.8 million in 2000 and $8.7 million in 1999. Net cash provided by investing activities for the year ended December 31, 2001, was primarily due to the sale and maturity of $65.5 million in short-term investments offset by the purchase of $34.2 million in short-term investments.
Financing Activities
Net cash provided by financing activities was $1.3 million for 2001, $60.1 million in 2000 and $17.9 million in 1999. For fiscal 2001, cash provided by financing activities was attributable primarily to the purchase of common stock under the Employee Stock Purchase Plan and to a lesser extent the repayment of notes receivable from stockholders. For fiscal 2000, cash provided by financing activities was primarily attributable to the $61.8 million from the issuance of our common stock in our initial public offering in July 2000. In 1999, cash provided by financing activities included $15.4 million in proceeds from the issuance of preferred stock. In 1999, we borrowed $2.0 million from one financial institution which was repaid with the proceeds from our initial public offering.
Commitments
The following summarizes our contractual obligations at December 31, 2001 and the effect these contractual obligations are expected to have on our liquidity and cash flows in future periods (in thousands).
Payments Due By Period
Subsequent to December 31, 2001, we signed a new lease for our corporate headquarters in Redwood City, California. In conjunction with the new lease, we have future lease commitments of $720,000 in 2002 and $300,000 in 2003.
Working Capital and Capital Expenditure Requirements
We believe that our existing cash balances will be sufficient to meet our working capital and capital expenditure requirements for at least the next 12 months. We have no present understandings, commitments or agreements for any material acquisition of other businesses, products and technologies. We continually evaluate potential acquisitions of other businesses, products and technologies and may in the future require additional equity or debt financings to accomplish any potential acquisition.
If we require additional capital resources to grow our business internally or to acquire complementary technologies and businesses at any time in the future, we may seek to sell additional equity or debt securities. The sale of additional equity or convertible debt securities could result in more dilution to our stockholders. Financing arrangements may not be available to us, or may not be available in amounts or on terms acceptable to us.
Critical Accounting Policies and Estimates
The preparation of our consolidated financial statements in conformity with accounting principles generally accepted in the United States requires us to make estimates and assumptions that affect the amounts reported in our financial statements and accompanying notes. Our significant accounting policies are described in Note 1 to the consolidated financial statements. The items in our financial statements requiring significant estimates and judgments include revenue recognition and allowance for bad debt.
Revenue Recognition
We license our software under term and perpetual licenses. License revenue is generally recognized when a customer agreement has been signed, the software product has been delivered, there are no uncertainties surrounding product acceptance, the fees are fixed or determinable, and collection is considered probable. If any of these criteria are not met, revenue recognition is deferred until all of the criteria are met. We sell our term licenses with maintenance for which we do not have vendor specific objective evidence to determine fair value. As a result, license revenue for term licenses is recognized ratably over the service period of the agreement, and license revenue includes maintenance for term licenses. We do not allocate maintenance revenue from term licenses to services revenue as we do not believe there is an allocation methodology that provides a meaningful and supportable allocation between license and maintenance revenues. SupportSoft considers all arrangements with payment terms extending beyond 12 months and other arrangements with payment terms longer than normal not to be fixed or determinable. If the fee is determined not to be fixed or determinable, revenue is recognized as
payments become due from the customer. License revenue from arrangements with resellers is recognized ratably over the term of the arrangement commencing when payments are made or become due limited by guaranteed minimum amounts due under the arrangement or sell through activity.
Term licenses typically have a duration of 36 months, with pre-payments generally billed to the customer at the beginning of each 12 month period. If we receive an order from a customer for a 36-month term license in December of a year, we would recognize only one month of license fees for that year even if that customer prepaid 12 months of the 36-month term. Pursuant to this agreement, the Company would record one year of contract fees in accounts receivable upon signing a new term license agreement, while recognizing only one month of revenue. As a result, our accounts receivable balance could represent a significant portion of our total revenue and increase our days sales outstanding (DSO) calculation. We began licensing software under term arrangements in June 1999. A majority of the licenses executed to date have been term-based.
Term and perpetual licensing arrangements may include service elements. Services revenue is primarily comprised of revenue from professional services, such as consulting services, training, maintenance and support. Arrangements that include software services are evaluated to determine whether those services are essential to the functionality of other elements of the arrangement. When software services are considered essential, revenue under the arrangement is recognized using contract accounting. When software services are not considered essential, the revenue related to the software services is recognized as the services are performed.
Allowance for Bad Debt
SupportSoft maintains reserves for estimated credit losses resulting from the inability of its customers to make required payments. A considerable amount of judgment is required when we assess the realization of receivables, including assessing the probability of collection and the current credit-worthiness of each customer. If the financial condition of SupportSoft's customers were to deteriorate, resulting in an impairment of their ability to make payments, additional reserves may be required.
Recent Accounting Pronouncements
In July 2001, the FASB issued SFAS 141, "Business Combinations." SFAS 141 supersedes APB 16, "Business Combinations," and SFAS 38, "Accounting for Preacquisition Contingencies of Purchased Enterprises." SFAS 141 requires the purchase method of accounting for all business combinations initiated after June 30, 2001 and eliminates the pooling-of-interests method. The Company does not expect the adoption of SFAS 141 to have a material effect on its financial condition or results of operations.
In July 2001, the FASB issued SFAS 142, "Goodwill and Other Intangible Assets." SFAS 142 supersedes APB 17, "Intangible Assets," and requires the discontinuance of goodwill amortization. In addition, SFAS 142 includes provisions regarding the reclassification of certain existing recognized intangibles as goodwill, reassessment of useful lives of existing recognized intangibles, reclassification of certain intangibles out of previously reported goodwill and the testing for impairment of existing goodwill and other intangibles. SFAS 142 is required to be applied for fiscal years beginning after December 15, 2001, with certain early adoption permitted. The Company does not expect the adoption of SFAS 142 to have a material effect on its financial condition or results of operations.
In August 2001, the FASB issued SFAS 143, "Accounting for Asset Retirement Obligations." SFAS 143 addresses financial accounting and reporting for obligations associated with the retirement of tangible long-lived assets and the associated retirement costs. The Company is in the process of assessing the effect of adopting SFAS 143, which will be effective for the Company's fiscal year ending December 31, 2002.
In October 2001, the FASB issued SFAS 144, "Accounting for the Impairment or Disposal of Long-Lived Assets," which supersedes SFAS 121, "Accounting for the Impairment of Long-Lived Assets and for Long-Lived
Assets to be Disposed Of." SFAS 144 addresses financial accounting and reporting for the impairment of long- lived assets and for long-lived assets to be disposed of. However, SFAS 144 retains the fundamental provisions of SFAS 121 for: 1) recognition and measurement of the impairment of long-lived assets to be held and used: and 2) measurement of long-lived assets to be disposed of by sale. SFAS 144 is effective for fiscal years beginning after December 15, 2001. The Company does not expect the adoption of SFAS 144 to have a material effect on its financial condition or results of operations.
Other Factors Affecting our Business and Operating Results
We have a history of losses and if we do not become profitable, we may not be able to continue to operate.
We incurred net losses of approximately $81.3 million for the period from December 3, 1997 through December 31, 2001. Although we anticipate that we will reach quarterly profitability during third quarter of 2002, if we do not become profitable within the timeframe we predicted or expected by securities analysts or investors, the market price of our stock will likely decline. If we continue to incur net losses, we may not be able to increase our number of employees or our invest ment in capital equipment, sales, marketing and research and development programs. We do not know when or if we will become profitable. If we do achieve profitability, we may not sustain or increase profitability in the future and therefore may not be able to continue to operate. However, we believe that our existing cash balances will be sufficient to meet our working capital and capital expenditure requirements for at least the next twelve months.
Our quarterly results are difficult to predict and may fluctuate. If we do not meet quarterly financial expectations, our stock price would likely decline.
Because of our limited operating history, our quarterly revenue and operating results are difficult to predict and may fluctuate from quarter to quarter. Our operating results in some quarters may fall below our predictions or the expectations of securities analysts or investors, which would likely cause the market price of our common stock to decline.
Several factors are likely to cause fluctuations in our operating results, including:
* demand for our support automation software;
* the price and mix of products and services we or our competitors offer;
* our ability to retain customers; and
* the amount and timing of operating costs and capital expenditures relating to expansion of our business, infrastructure and marketing activities.
Our quarterly results depend on the size of a small number of orders, so the delay or loss of any single large order during a quarterly period, and especially an order for a perpetual license rather than a term license, could harm that quarter's results and cause our stock price to decline.
Our operating results could suffer if any large orders are delayed or cancelled in any future period. Each quarter, we derive a significant portion of our license revenue from a small number of relatively large orders for the licensing of our support automation software. We license our support automation software under perpetual and term licenses. Perpetual licenses typically result in our recognition of a larger amount of revenue in the quarter in which the license is granted as compared with term licenses. Revenue from a perpetual license is generally recognized upon delivery of a product. Revenue from a term license is recognized on a monthly basis over the agreement term, which is typically three years. We expect that we will continue to depend upon a small number of large orders for a significant portion of our license revenue.
Because a small number of customers has historically accounted for and may in future periods account for substantial portions of our revenue, our revenue could decline because of delays of customer orders or the failure of existing customers to renew licenses.
For the year ended December 31, 2001, no single customer accounted for 10% or more of our total revenue. Because we have a small number of customers and a few customers are likely to continue to account for a significant portion of our revenue, our revenue could decline because of the loss or delay of a single customer order or the failure of an existing customer to renew its term license. We may not obtain additional customers. The failure to obtain additional customers, the loss or delay of customer orders and the failure of existing customers to renew licenses will harm our operating results.
We must achieve broad adoption and acceptance of our support automation products and services or we will not increase our market share or grow our business.
We must achieve broad market acceptance and adoption of our products and services or our business and operating results will suffer. Specifically, we must encourage our customers to transition from using traditional support methods. To accomplish this, we must:
* continually improve the performance, features and reliability of our products and services to address changing industry standards and customer needs; and
* develop integration with other support-related technologies.
Our product innovations may not achieve the market penetration or price stability necessary for profitability.
If we fail to develop, in a timely manner, new or enhanced versions of our support automation software or to provide new products and services that achieve rapid and broad market acceptance or price stability, we may not become profitable. We may fail to identify new product and service opportunities successfully. Our existing products will become obsolete if we fail to introduce new products or product enhancements that meet new customer demands, support new standards or integrate with new or upgraded versions of packaged applications. We may have little or no control over the factors that might influence market acceptance of our products and services. These factors include:
* the willingness of enterprises to transition to automated support and
* acceptance of competitors' automated support solutions.
Our software may not operate with the hardware and software platforms that are used by our customers now or in the future, and as a result our business and operating results may suffer.
We currently serve a customer base with a wide variety of constantly changing hardware, packaged software applications and networking platforms. If there is widespread adoption of other operating system environments, and if we fail to release versions of our support automation software that are compatible with these other operating systems, our business and operating results will suffer. Our future success also depends on:
* our ability to integrate our product with multiple platforms and to modify our product as new versions of packaged applications are introduced;
* the number of different operating systems and databases that our product can work with; and
* our management of software being developed by third parties for our customers or for use with our product.
We rely on third-party technologies and our inability to use or integrate third-party technologies could delay product or service development.
We intend to continue to license technologies from third parties, including applications used in our research and development activities and technologies, which are integrated into our products and services. Our inability to obtain or integrate any of these licenses could delay product and service development until equivalent technology can be identified, licensed and integrated. These technologies may not continue to be available to us on commercially reasonable terms or at all. We may fail to successfully integrate any licensed technology into our products or services. This would harm our business and operating results. Third-party licenses also expose us to increased risks that include:
* risks of product malfunction after new technology is integrated;
* the diversion of resources from the development of our own proprietary technology; and
* our inability to generate revenue from new technology sufficient to offset associated acquisition and maintenance costs.
We may engage in future acquisitions or investments that could dilute our existing stockholders, or cause us to incur significant expenses.
We may acquire or invest in complementary businesses, technologies or products. If we are unable to use or integrate any newly acquired entities or technologies effectively or profitably, our operating results could suffer. Acquisitions by us could also result in large and immediate write-offs, incurrence of debt and contingent liabilities or amortization of expenses related to goodwill and other intangibles, which could harm our operating results. Additional funds to finance any acquisitions may not be available on terms that are favorable to us, or at all, and, in the case of equity financings, may dilute our stockholders.
We may lose the services of our key personnel, which in turn would harm the market's perception of our business and our ability to achieve our business goals.
Our success will depend on the skills, experience and performance of our senior management, engineering, sales, marketing and other key personnel. The loss of the services of any of our senior management or other key personnel, including our chief executive officer, Radha R. Basu, our chief financial officer, Brian Beattie, our chief technical officer, Scott W. Dale, and our chief software officer, Cadir B. Lee, could harm the market's perception of our business and our ability to achieve our business goals.
Our failure to establish and expand strategic alliances would harm our ability to achieve market acceptance of our support automation software.
If we fail to maintain, establish or successfully implement strategic alliances, our ability to achieve market acceptance of our automation software will suffer and our business and operating results will be harmed. Specifically, we must establish and extend existing distribution alliances with specialized technology and services firms such as support outsourcers. We must also establish and extend existing solutions alliances with leading providers of complementary support technologies, including call center or help desk management companies, knowledge management companies and systems management firms.
Our products depend on and work with products containing complex software and if our products fail to perform properly due to errors or similar problems in the software, we may need to spend resources to correct the errors or compensate for losses from these errors and our reputation could be harmed.
Our products depend on complex software, both internally developed and licensed from third parties. Also, our customers may use our products with other companies' products which also contain complex software. Complex software often contains errors. These errors could result in:
* delays in product shipments;
* unexpected expenses and diversion of resources to identify the source of errors or to correct errors;
* damage to our reputation;
* lost sales;
* product liability claims; and
* product returns.
Our system security is important to our customers and we may need to spend significant resources to protect against or correct problems caused by security breaches.
A fundamental requirement for online communications, transactions and support is the secure transmission of confidential information. Third parties may attempt to breach our security or that of our customers. We may be liable to our customers for any breach in security and any breach could harm our business and reputation. Also, computers are vulnerable to computer viruses, physical or electronic break-ins and similar disruptions, which could lead to interruptions, delays or loss of data. We may be required to expend significant capital and other resources to further protect against security breaches or to correct problems caused by any breach.
We may face claims of invasion of privacy or inappropriate disclosure, use or loss of our customers' information and any liability imposed could harm our reputation and cause us to lose customers.
Our software contains features which may allow us or our customers to control, monitor or collect information from computers running the software without notice to the computing users. Therefore we may face claims about invasion of privacy or inappropriate disclosure, use or loss of this information. Any imposition of liability could harm our operating results.
Our sales cycle can be lengthy and if revenue forecasted for a particular quarter is not realized in that quarter, significant expenses incurred may not be offset by corresponding sales.
Our sales cycle for our support automation software can range from one week to nine months or more and may vary substantially from customer to customer. While our customers are evaluating our products and services, we may incur substantial sales and marketing expenses and spend significant management effort. Any delay in completing sales in a particular quarter could cause our operating results to be below expectations.
We have limited experience in international operations and if our revenue from international operations does not exceed the expense of establishing and maintaining our international operations, our business could suffer.
We intend to expand further into international markets. We have limited experience in international operations and may not be able to compete effectively in international markets. If we do not generate enough revenue from international operations to offset the expense of these operations, our business could suffer. Risks we face in conducting business internationally include:
* difficulties and costs of staffing and managing international operations;
* differing technology standards;
* longer sales cycles and collection periods;
* changes in currency exchange rates and controls;
* dependence on local vendors;
and
* the effects of the terrorist attacks in the United States and the effects of the war on terrorism and any related conflicts or similar events worldwide.
Any system failure that causes an interruption in our customers' ability to use our products or services or a decrease in their performance could harm our relationships with our customers and result in reduced revenue.
Our software may depend on the uninterrupted operation of our internal and outsourced communica tions and computer systems. These systems are vulnerable to damage or interruption from computer viruses, human error, natural disasters and intentional acts of vandalism and similar events. We have no formal disaster recovery plan and business interruption insurance may not be enough to compensate us for losses that occur. These problems could interrupt our customers' ability to use our support automation products or services which could harm our reputation and cause us to lose customers and revenue.
We may not obtain sufficient patent protection, and this could harm our competitive position and increase our expenses which would harm our business.
Our success and ability to compete depend to a significant degree upon the protection of our software and other proprietary technology. It is possible that:
* our pending patent applications may not be issued;
* competitors may independently develop similar technologies or design around any of our patents;
* patents issued to us may not be broad enough to protect our proprietary rights; and
* our issued patents could be successfully challenged.
We rely upon trademarks, copyrights and trade secrets to protect our proprietary rights and if these rights are not sufficiently protected, it could harm our ability to compete and to generate revenue.
We also rely on a combination of laws, such as copyright, trademark and trade secret laws, and contractual restrictions, such as confidentiality agreements and licenses, to establish and protect our proprietary rights. Our ability to compete and grow our business could suffer if these rights are not adequately protected. Our proprietary rights may not be adequately protected because:
* laws and contractual restrictions may not prevent misappropriation of our technologies or deter others from developing similar technologies; and
* policing unauthorized use of our products and trademarks is difficult, expensive and time-consuming, and we may be unable to determine the extent of this unauthorized use.
Also, the laws of other countries in which we market our products may offer little or no protection of our proprietary technologies. Reverse engineering, unauthorized copying or other misappropriation of our proprietary technologies could enable third parties to benefit from our technologies without paying us for them, which would harm our competitive position and market share.
We may face intellectual property infringement claims that could be costly to defend and result in our loss of significant rights.
Other parties may assert intellectual property infringement claims against us and our products may infringe the intellectual property rights of third parties. Intellectual property litigation is expensive and time-consuming and could divert management's attention from our business. If there is a successful claim of infringement, we may be required to develop non-infringing technology or enter into royalty or license agreements which may not be available on acceptable terms, if at all. Our failure to develop non-infringing technologies or license the proprietary rights on a timely basis would harm our business. Our products may infringe issued patents that may relate to our products. Also, patent applications may have been filed by third parties which relate to our software products. The adoption of the new trademark and corporate name SupportSoft increases the risk that a prior user
could view the mark or name to be confusingly similar to the prior user's mark or name. Although the Company has conducted limited trademark and trade name searches, and does not believe the SupportSoft trademark and corporate name will infringe any known party's trademark rights, it is possible that a third party will claim our use of SupportSoft infringes its trademark.
We must compete successfully in the support automation market or we will lose market share and our business will fail.
The market for our products is intensely competitive, rapidly changing and significantly affected by new product introductions and other market activities of industry participants. Competitive pressures could reduce our market share or require us to reduce the price of products and services and therefore our gross margin, which could harm our business and operating results. Our integrated software solution competes against various vendors' software products designed to accomplish specific elements of a complete support automation solution. For example,in the market for automated delivery of support solutions, we compete with Motive Communications, Inc.
We may encounter competition from companies such as:
* customer communications software companies;
* question and answer companies;
* customer relationship management solution providers;
* consolidated service desk solution vendors;
* Internet infrastructure companies; and
* operating systems providers.
Our potential competitors may have longer operating histories, significantly greater financial, technical, and other resources or greater name recognition than we do. Our competitors may be able to respond more quickly to new or emerging technologies and changes in customer requirements. If we fail to compete effectively, we may lose or be unable to expand our market share and our business and operating results would suffer.
Because our support automation software is designed to support businesses operating over the Internet, our success depends on the continued growth and levels of performance of Internet usage.
Because a majority of our products are designed to support businesses operating over the Internet, the success of our business will depend on the continued improvement of the Internet as a convenient means of consumer interaction and commerce, as well as an efficient medium for the delivery and distribution of information by enterprises to their employees and extended enterprise. Because global commerce on the Internet and the online exchange of information is evolving, we cannot predict whether the Internet will continue to be a viable commercial marketplace.
We may experience a decrease in market demand due to the slowing economy in the United States which has been further stymied by the recent outbreak of terrorism, war and social and political instability.
Economic growth has slowed significantly, and some analysts believe the United States economy will experience a recession. In addition, the recent terrorists attacks in the United States may further add to the decline in the United States economy. The war on terrorism, along with the effects of the terrorist attack and other similar events, could have contributed to the further slowdown of the already slumping market demand for goods and services, including support automation software. If the economy continues to decline as a result of the recent economic, political and social turmoil, or if there are further terrorist attacks in the United States or elsewhere, we may experience decreases in the demand for our products and services, which may harm our operating results.
Governmental regulation and legal changes could impair the growth of the Internet and decrease demand for our products or increase our cost of doing business.
The laws and regulations that govern our business change rapidly. Any change in laws and regulations could impair the growth of the Internet and could reduce demand for our products, subject us to liability or increase our cost of doing business. The United States government and the governments of states and foreign countries have attempted to regulate activities on the Internet and the distribution of software. Also, in 1998, Congress passed the Internet Freedom Act, which imposes a three-year moratorium on state and local taxes on Internet-based trans actions. Failure to renew this moratorium would allow states to impose taxes on e-commerce. This might harm our business directly and indirectly by harming the businesses of our customers, potential customers and the parties to our business alliances. The applicability to the Internet of existing laws governing issues is uncertain and may take years to resolve. Evolving areas of law that are relevant to our business include privacy laws, intellectual property laws, proposed encryption laws, content regulation and sales and use tax laws and regulations.
We may experience power blackouts and higher electricity prices if there is a recurrence of California's recent energy crisis, which could disrupt our operations and increase our expenses.
California recently experienced an energy crisis. If this were to occur again, it could disrupt our operations and increase our expenses. We rely on the major Northern California public utility, Pacific Gas & Electric Company, or PG&E, to supply electric power to our headquarters in Northern California. Due to problems associated with the de-regulation of the power industry in California and shortages in wholesale electricity supplies, customers of PG&E have been faced with increased electricity prices, power shortages and, in some cases, rolling blackouts. If blackouts interrupt our power supply, we may be temporarily unable to continue to operate our central computer, hardware and support systems. Any interruption in our ability to continue our operations could delay our ability to develop or provide our products and support services, which could damage our reputation and result in lost revenue, either of which could substantially harm our business and results of operations.
ITEM 7A. QUALITATIVE AND QUANTITATIVE DISCLOSURES ABOUT MARKET RISK
We develop products in the United States and market and sell in North America, South America, Asia and Europe. As a result, our financial results could be affected by factors such as changes in foreign currency exchange rates or weak economic conditions in foreign markets. As all sales are currently made in U.S. dollars, a strengthening of the dollar could make our products less competitive in foreign markets. Our interest income is sensitive to changes in the general level of U.S. interest rates, particularly since the majority of our investments are in short-term instruments. Because of the nature of our short-term investments, we have concluded that there is no material market risk exposure.
Our investment policy requires us to invest funds in excess of operating requirements in:
* obligations of the U.S. government and its agencies;
* investment grade state and local government obligations;
* money market funds or deposits issued or guaranteed by U.S. and non-U.S. commercial banks, meeting credit rating and net worth requirements with maturities or reset dates of less than two years.
At December 31, 2001, our cash and cash equivalents consisted primarily of money market funds held by large institutions in the U.S. and our short-term investments consisted of government debt securities maturing in less than eighteen months.
ITEM 8. CONSOLIDATED FINANCIAL STATEMENTS AND SUPPLEMENTARY DATA
SUPPORTSOFT, INC.
INDEX TO CONSOLIDATED FINANCIAL STATEMENTS
REPORT OF ERNST & YOUNG LLP, INDEPENDENT AUDITORS
The Board of Directors and Stockholders SupportSoft, Inc.
We have audited the accompanying consolidated balance sheets of SupportSoft, Inc. (formerly Support.com, Inc.), as of December 31, 2001 and 2000, and the related consolidated statements of operations, stockholders' equity, and cash flows for each of the three years in the period ended December 31, 2001. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audits.
We conducted our audits in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.
In our opinion, the financial statements referred to above present fairly, in all material respects, the consolidated financial position of SupportSoft, Inc. at December 31, 2001 and 2000, and the consolidated results of its operations and its cash flows for each of the three years in the period ended December 31, 2001, in conformity with accounting principles generally accepted in the United States.
/s/ Ernst & Young LLP
Palo Alto, California January 17, 2002
CONSOLIDATED BALANCE SHEETS
(in thousands except share and per share data)
December 31,
282
957
620
241
—
3
—
See accompanying notes.
CONSOLIDATED STATEMENTS OF OPERATIONS
(in thousands except per share data)
Years Ended December 31,
(1) Amortization of deferred compensation relates to the following:
Years Ended December 31,
53
See accompanying notes.
Common Stock
SUPPORTSOFT, INC.
CONSOLIDATED STATEMENTS OF STOCKHOLDERS' EQUITY (DEFICIT)
(in thousands except share and per share data)
Convertible
Preferred Stock
Shares Amount
Notes
Additional
Paid-In
Capital
Receivable from
Stockholders
Deferred
Stock
Compensation
Accumulated
Other
Comprehensive
Income
Accumulated
Deficit
Total
Stockholders'
Equity
(Deficit)
Shares Amount
—
—
62
—
See accompanying notes.
CONSOLIDATED STATEMENTS OF CASH FLOWS (in thousands)
Year Ended December 31,
2001
2000
1999
—
30
(89)
99
—
— —
(39)
See accompanying notes.
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS
1. Organization and Summary of Significant Accounting Policies
Nature of Operations
SupportSoft, Inc. ("SupportSoft," "the Company," "We" or "Our"), formerly known as Support.com, Inc. and Tioga Systems, Inc., was incorporated in the state of Delaware on December 3, 1997. SupportSoft is a leading provider of support automation software. SupportSoft sells to corporate enterprises, service providers and personal computer and device manufacturers that utilize its software platform to increase the efficiency and effectiveness of their support operations, while improving user responsiveness and satisfaction. Our headquarters are in Redwood City, California.
Basis of Presentation
The consolidated financial statements include the accounts of the Company and its wholly owned subsidiaries. The Company has export sales from the United States and has operations in Asia Pacific and Europe. All significant intercompany transactions and balances have been eliminated.
Foreign Currency Translation
Assets and liabilities of the Company's wholly owned foreign subsidiaries are translated from their respective functional currencies at exchange rates in effect at the balance sheet date, and revenues and expenses are translated at average exchange rates prevailing during the year. Any material resulting translation adjustments are reflected as a separate component of stockholders' equity. The translation adjustment for the year ended December 31, 2001 was $33,000. For the year ended December 31, 2000, the translation adjustment was immaterial.
Use of Estimates and Reclassifications
The preparation of consolidated financial statements in conformity with generally accepted accounting principles requires management to make estimates and assumptions that affect the amounts reported in the consolidated financial statements and the accompanying notes. Actual results could differ materially from these estimates. In addition, certain amounts that were previously reported have been reclassified to conform to the current period presentation.
Concentration of Credit Risk and Significant Customers
Financial instruments that potentially subject SupportSoft to concentration of credit risk consist principally of cash equivalents, short term investments and trade receivables. SupportSoft invests cash which is not required for immediate operating needs principally in money market funds, municipal bonds and notes and bills issued by the United States government and its agencies. SupportSoft's customers are currently concentrated in the United States. SupportSoft performs ongoing evaluations of its customers' financial condition and generally does not require collateral. SupportSoft maintains reserves for credit losses, and such losses have been within management's expectations. If the financial condition of SupportSoft's customers were to deteriorate, resulting in an impairment of their ability to make payments, additional reserves may be required. The Company had reserves for credit losses in the years ended December 31, 2001, 2000 and 1999 of $828,000, $469,000 and $40,000, respectively. Credit losses for the years ended December 31, 2001, 2000 and 1999 were $438,000, $163,000 and zero, respectively.
For the years ended December 31, 2001, no single customer accounted for 10% or more of total revenue. For the year ended December 31, 2000, one customer accounted for 13% of total revenue.
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS—(Continued)
Fair Value of Debt Obligations
The fair value of short-term and long-term obligations is estimated based on current interest rates available to SupportSoft for debt instruments with similar terms, degrees of risk and remaining maturities. The carrying values of these obligations approximate their fair values.
Cash, Cash Equivalents and Short-Term Investments
SupportSoft considers all liquid instruments with an original maturity at the date of purchase of three months or less to be cash equivalents. At December 31, 2001, cash equivalents and short-term investments consist primarily of money market funds and notes and bills issued by the United States government and its agencies. All short-term investments mature within 18 months. SupportSoft's cash equivalents and short-term investments are classified as available-for-sale in accordance with the provisions of Statement of Financial Accounting Standards No. 115, "Accounting for Certain Investments in Debt and Equity Securities."
For the year ended December 31, 2001, SupportSoft reported its securities at fair market value and for the year ended December 31, 2000, SupportSoft reported its securities at amortized cost which approximated fair value. Material unrealized gains and losses, if any, are reported in stock holders' equity and included in other comprehensive income. The amortized cost of debt securities is adjusted for amortization of premiums and accretion of discounts to maturity, both of which are included in interest income. Realized gains and losses are recorded using the specific identification method. For the year ended December 31, 2001, the Company recorded unrealized gains on available-for-sale securities of $62,000 and for the year ended December 31, 2000, gross unrealized gains and losses on available-for-sale securities were immaterial.
The following is a summary of available-for-sale securities (in thousands):
December 31,
Property and Equipment
Property and equipment is stated at cost, less accumulated depreciation which is provided using the straight-line method over the estimated useful lives of 2 to 3 years.
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS—(Continued)
Purchased Intangible Assets
SupportSoft records purchased intangible assets at fair value as determined by amortized costs. The original cost is amortized on a straight-line basis over the estimated life of each asset as determined by management. SupportSoft regularly performs reviews to determine if the carrying value of the intangible asset is impaired. The reviews look for the existence of facts or circumstances, either internal or external, which indicate that the carrying value of the asset cannot be recovered. If and when indicators of impairment exist, the Company assesses the need to record an impairment loss.
Purchased intangible assets were generated from the purchase of the source code and other intellectual property rights from a third party and are being amortized on a straight-line basis over 2 years. As of December 31, 2001, the Company noted no impairment indicators related to this asset.
Revenue Recognition
SupportSoft has applied Statement of Position ("SOP") 97-2, Software Revenue Recognition, as amended by SOP 98-4 and SOP 98-9, since its inception. License revenue is generally recognized when a customer agreement has been signed, the software product has been delivered, there are no uncertainties surrounding product acceptance, the fees are fixed or determinable, and collection is considered probable. License revenue is comprised of fees for term and perpetual licenses of SupportSoft's software by corporate customers and resellers. Term licenses are sold with maintenance for which SupportSoft does not have vendor specific objective evidence (VSOE) to determine fair value. As a result, license revenue for term licenses is recognized ratably over the service period of the agreement and license revenue includes maintenance for term licenses. We do not allocate maintenance revenue from term licenses to services revenue as we do not believe there is an allocation methodology that provides a meaningful and supportable allocation between license and maintenance revenues. SupportSoft considers all arrangements with payment terms extending beyond twelve months and other arrangements with payment terms longer than normal not to be fixed or determinable. If the fee is determined not to be fixed or determinable, revenue is recognized as payments become due from the customer. License revenue from arrangements with resellers is recognized ratably over the term of the arrangement commencing when payments are made or become due limited by guaranteed minimum amounts due under the arrangement or sell through activity.
Services revenue is primarily comprised of revenue from professional services, such as consulting services, training, maintenance and support. Arrangements that include software services are evaluated to determine whether those services are essential to the functionality of other elements of the arrangement. When software services are con sidered essential, revenue under the arrangement is recognized using contract accounting. When software services are not considered essential, the revenue related to the software services is recognized as the services are performed.
Perpetual license revenues are recognized using the residual method described in SOP 98-9 for arrange ments in which licenses are sold with multiple elements. For perpetual licensing arrangements, maintenance revenue is deferred and recognized over the service period of the arrangement, which is typically one year. Fees related to contracts that require the Company to deliver unspecified additional products are deferred and recognized ratably over the contract term.
Research and Development
Research and development expenditures are generally charged to operations as incurred. Statement of Financial Accounting Standards No. 86, "Accounting for the Costs of Computer Software to Be Sold, Leased or
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS—(Continued)
Otherwise Marketed," requires the capitalization of certain software development costs subsequent to the establishment of technological feasibility. Based on SupportSoft's product development process, technological feasibility is established upon the completion of a working model. Costs incurred by SupportSoft between the completion of the working model and the point at which the product is ready for general release have been insignificant. Accordingly, SupportSoft has charged all such costs to research and development expense in the accompanying statement of operations. SupportSoft did not incur any cost related to software developed or for software obtained for internal use as defined in SOP 98-1.
Sales Commissions
Commission expense is recognized over the period that the related revenue is recognized. Commissions are paid to sales agents at the time amounts become billable to the customer or when payment is received regardless of the timing of revenue recognition. Commissions paid to sales agents in advance of the recognition of commission expense is recorded as a prepaid asset. All commission payments made to sales agents are non-refundable unless amounts due from a customer are determined to be uncollectible in which case commissions paid are recoverable by SupportSoft.
Advertising Costs
Advertising costs are recorded as sales and marketing expense in the period in which they are incurred. Advertising expense was $253,000 for the year ended December 31, 2001, $556,000 for the year ended December 31, 2000 and $71,000 for the year ended December 31, 1999.
Stock-Based Compensation
SupportSoft accounts for stock-based compensation using the intrinsic value method prescribed in Accounting Principles Board Opinion No. 25, "Accounting for Stock Issued to Employees" ("APB 25"), and has adopted the disclosure only alternative of Statement of Financial Accounting Standards No. 123, "Accounting for Stock-Based Compensation" ("FAS 123"). Any deferred stock compensation calculated according to APB 25 is amortized over the vesting period of the individual options, generally four years, using the graded vesting method. The graded vesting method provides for vesting of portions of the overall awards at interim dates and results in greater vesting in earlier years than straight-line.
All stock-based awards to non-employees, are accounted for at their fair value, as calculated using the Black Scholes model, in accordance with FAS 123 and Emerging Issues Task Forces Consensus No. 96-18 ("EITF 96-18"). The options and restricted stock purchase arrangements are subject to periodic re-valuation over their vesting terms.
Net Loss Per Share
Basic and diluted net loss per share are presented in conformity with the FASB's Statement of Financial Accounting Standards No. 128, "Earnings Per Share" ("FAS 128"), for all periods presented. In accordance with FAS 128, basic and diluted net loss per share had been computed using the weighted-average number of shares of common stock outstanding during the period, less shares subject to repurchase.
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS—(Continued)
The following table sets forth the computation of basic and diluted net loss per share (in thousands, except per share amounts):
Years Ended December 31,
Had SupportSoft been in a net income position, diluted earnings per share would include outstanding shares subject to repurchase, the conversion of outstanding preferred stock into shares of SupportSoft's common stock and the dilutive impact of outstanding options and warrants to purchase common stock. Excluded from the computation of basic and diluted net loss per share attributable to common stockholders are approximately 8,885,000, 6,915,000 and 19,666,000 shares related to preferred stock and options and warrants to purchase common stock at December 31, 2001, 2000 and 1999, prior to the application of the treasury stock method. Such shares have been excluded because they are anti-dilutive for all periods presented.
Comprehensive Loss
Comprehensive loss includes net loss, unrealized gains on available-for-sale securities and foreign currency translation adjustments. Unrealized gains on available-for-sale securities and foreign currency translation adjustments were $62,000 and $33,000 respectively for the year ended December 31, 2001, and was not material for any other period.
Segment Information
SupportSoft operates in one segment, the development and marketing of support automation software and related services. SupportSoft's foreign offices are primarily sales and marketing offices and also support the Company's overseas reseller network. Operating losses generated by the foreign operations of SupportSoft and their corresponding identifiable assets were not material in any period presented. Revenue from customers located outside the United States was approximately $5,730,000 for the year ended December 31, 2001, $2,819,000 for the year ended December 31, 2000, and $46,000 for the year ended December 31, 1999.
Sales by the Company to customers in different geographic areas, expressed as a percentage of revenue, for the periods ended were:
Years Ended December 31,
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS—(Continued)
Recent Accounting Pronouncements
In July 2001, the FASB issued SFAS 141, "Business Combinations." SFAS 141 supersedes APB 16, "Business Combinations," and SFAS 38, "Accounting for Preacquisition Contingencies of Purchased Enterprises." SFAS 141 requires the purchase method of accounting for all business combinations initiated after June 30, 2001 and eliminates the pooling-of-interests method. The Company does not expect the adoption of SFAS 141 to have a material effect on its financial condition or results of operations.
In July 2001, the FASB issued SFAS 142, "Goodwill and Other Intangible Assets." SFAS 142 supersedes APB 17, "Intangible Assets," and requires the discontinuance of goodwill amortization. In addition, SFAS 142 includes provisions regarding the reclassification of certain existing recognized intangibles as goodwill, reassessment of useful lives of existing recognized intangibles, reclassification of certain intangibles out of previously reported goodwill and the testing for impairment of existing goodwill and other intangibles. SFAS 142 is required to be applied for fiscal years beginning after December 15, 2001, with certain early adoption permitted. The Company does not expect the adoption of SFAS 142 to have a material effect on its financial condition or results of operations.
In August 2001, the FASB issued SFAS 143, "Accounting for Asset Retirement Obligations." SFAS 143 addresses financial accounting and reporting for obligations associated with the retirement of tangible long-lived assets and the associated retirement costs. The Company is in the process of assessing the effect of adopting SFAS 143, which will be effective for the Company's fiscal year ending December 31, 2002.
In October 2001, the FASB issued SFAS 144, "Accounting for the Impairment or Disposal of Long-Lived Assets," which supersedes SFAS 121, "Accounting for the Impairment of Long-Lived Assets and for Long-Lived Assets to be Disposed Of." SFAS 144 addresses financial accounting and reporting for the impairment of long-lived assets and for long-lived assets to be disposed of. However, SFAS 144 retains the fundamental provisions of SFAS 121 for: 1) recognition and measurement of the impairment of longlived assets to be held and used: and 2) measurement of long-lived assets to be disposed of by sale. SFAS 144 is effective for fiscal years beginning after December 15, 2001. The Company does not expect the adoption of SFAS 144 to have a material effect on its financial condition or results of operations.
2. Property and Equipment
Property and equipment are stated at cost and consist of the following (in thousands):
December 31,
As of December 31, 2001 and 2000, property and equipment included amounts acquired under capital leases of approximately $2,500,000 and approximately $1,112,000 as of December 31, 1999. Depreciation expense on fixed assets was $2,416,000, $1,497,000 and $294,000, which includes amortization of fixed assets acquired under capital lease obligations of $976,000,
$1,108,000 and $267,000 for the years ended December 31, 2001, 2000 and 1999, respectively.
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS—(Continued)
3. Purchased Intangibles
On September 20, 2000, SupportSoft purchased source code and other related intellectual property rights from ePeople, Inc. for $6.8 million. The purchase price was recorded as purchased intangibles and included as an other asset in the Company's consolidated balance sheet. The Company paid approximately $1.2 million and $3.4 million during the years ended December 31, 2001 and December 31, 2000, respectively, and will be required to pay approximately $1.4 million and $927,000 in 2002 and 2003, respectively. Total amortization for the period ended December 31, 2001 was $2.8 million.
4. Capital Leases, Borrowings, Commitments and Contingencies
In October 1999, SupportSoft entered into loan and lease agreements with a financial institution. The loan agreement allowed SupportSoft to borrow up to $2,500,000 in aggregate. During the year ending December 31, 2000, the amounts borrowed under this agreement were fully repaid. The lease agreement allowed SupportSoft to borrow up to $2,500,000 to finance purchases of equipment, software and tenant improvements. Amounts available under this lease line were fully utilized at December 31, 2000. Advances are secured by the assets acquired and each equipment advance is payable in 48 monthly installments of principal and interest, computed at the monthly rate of 2.9% of the principal balance.
SupportSoft leases its facilities under noncancelable operating lease agreements which expire at various dates through 2002. In conjunction with the signing of two office building lease agreements, we signed two letters of credit for security deposits for an aggregate amount of $340,000. Total facility rent expense was approximately $2,510,000 for the year ended December 31, 2001, $1,764,000 for the year ended December 31, 2000 and $783,000 for the year ended December 31, 1999. SupportSoft received sublease rental income of zero for the year ended December 31, 2001, $217,000 for the year ended December 31, 2000 and $162,000 for the year ended December 31, 1999.
As of December 31, 2001, minimum payments due under noncancelable lease agreements were as follows (in thousands):
Subsequent to December 31, 2001, we signed a new lease for our corporate headquarters in Redwood City, California. In conjunction with the new lease, we have future lease commitments of $720,000 in 2002 and $300,000 in 2003.
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS—(Continued)
In March of 2001, Previo, Inc. filed a patent infringement lawsuit against us. In February of 2002, the parties agreed to an amicable resolution and the claims of both parties have been dismissed.
On or about November 30, 2001, Dana [sic] Risley, on behalf of herself [sic] and other similarly situated, filed a lawsuit, styled as a class action, against us in the United States District Court for the Southern District of New York. The complaint alleges, inter alia, that our Registration Statement and Prospectus dated July 18, 2000 for the issuance and initial public offering of 4,250,000 shares of the Company's common stock contained material misrepresentations and/or omissions, related to alleged inflated commissions received by the underwriters of the offering. The lawsuit seeks unspecified damages as well as interest, fees and costs. The defendants named in the lawsuit are the Company, Radha Basu, Brian Beattie, Credit Suisse First Boston Corporation, Bear, Stearns & Co. Inc., and FleetBoston Robertson Stephens Inc. While it is too early to predict with certainty the outcome of the litigation, we believe that the claims against the Company and its directors are without merit and we intend to defend the lawsuit vigorously.
5. Stockholders' Equity
Initial Public Offering
On July 19, 2000, SupportSoft completed an initial public offering of its common stock. All 4.9 million shares covered by SupportSoft's Registration Statement on Form S-1, including shares covered by an over-allotment option that was exercised, were sold by SupportSoft at a price of $14.00 per share. Net proceeds to the Company from the issuance of common stock in the initial public offering were $61.8 million.
Common Stock
SupportSoft has reserved shares of common stock for issuance at December 31, 2001 as follows:
Through December 31, 2001, certain option holders have exercised options to purchase 2,638,730 shares of common stock at prices ranging from $0.40 to $9.00, with a weighted-average exercise price of $0.78 per share in exchange for full recourse promissory notes bearing interest at 6.5%. SupportSoft has the right to repurchase all unvested shares purchased by the option holders at the original exercise price in the event of the option holders termination. The number of shares subject to this repurchase right decreases as the shares vest under the original option terms, generally over four years. As of December 31, 2001, $528,000 has been repaid (see also Note 7. Related Party Transactions).
Stock Warrants
In February 2000, SupportSoft issued a warrant to a customer in conjunction with a software license agreement which allows the customer to purchase 119,167 shares of SupportSoft's common stock at an exercise price of $18.00 per share. The warrant is immediately exercisable, non-forfeitable and expires in August 2002. The value of the warrant, which was less than amounts due under the license agreement, was recorded as additional paid-in capital and a reduction to revenue.
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS—(Continued)
Stock Option Plans
During fiscal 1998, SupportSoft adopted the 1998 Stock Option Plan (the "Plan"). Under the Plan, up to 9,424,434 shares of SupportSoft's common stock may be granted as options or sold to eligible participants. Under the Plan, options to purchase common stock may be granted at no less than 85% of the fair value on the date of the grant (110% of fair value in certain instances), as determined by the board of directors. Options under the Plan are immediately exercisable; however, shares issued are subject to SupportSoft's right to repurchase such shares at the original issuance price, which lapses in a series of installments measured from the vesting commencement date of the option.
In February 2000, the board of directors approved the adoption of SupportSoft's 2000 Omnibus Equity Incentive Plan (the "2000 Incentive Plan"). A total of 4,000,000 shares of common stock were initially reserved for issuance to eligible participants under the 2000 Incentive Plan. On January 1 of each year, the number of shares reserved automatically increases by the lesser of 2,000,000 shares, 5% of outstanding shares, or an amount determined by the board of directors. All shares that had not yet been issued under SupportSoft's 1998 Stock Option Plan as of July 19, 2000, the date of SupportSoft's IPO, were made available for grant under the 2000 Incentive Plan. The exercise price for incentive stock options may not be less than 100% of the fair market value of SupportSoft's common stock on the date of grant (85% for nonstatutory options). Under both of SupportSoft's option plans, options generally vest over a 48-month period from the date of grant and have a maximum term of 10 years.
A summary of SupportSoft's stock option activity under all Stock Plans and related information follows:
At December 31, 2001, 2000 and 1999, 1,580,679, 2,963,652 and 3,299,905 shares which had been issued upon exercise of options were subject to repurchase, respectively. At December 31, 2001, 2000 and 1999 options to acquire 1,328,749, 331,606, and 444,899 shares were vested but not exercised, respectively.
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS—(Continued)
Exercise prices for options outstanding as of December 31, 2001 and the weighed-average remaining contractual life are as follows:
2001 Employee Stock Purchase Plan
In February 2000, the board of directors approved the adoption of SupportSoft's 2000 employee stock purchase plan (the "2000 Purchase Plan"). A total of 2,000,000 shares of common stock were initially reserved for issuance under the 2000 Purchase Plan. On January 1 of each year, the number of shares reserved automatically increases by the lesser of 2,000,000 shares, 3% of the outstanding shares, or an amount determined by the board of directors. Accordingly, an additional 994,525 shares were added to the 2000 Purchase Plan on January 1, 2001. The 2000 purchase plan permits eligible employees to acquire shares of SupportSoft's common stock through periodic payroll deductions of up to 15% of total compensation. Purchases occur on the last day of each July and January following the end of each participation period. The price at which the common stock may be purchased is 85% of the lesser of the fair market value of SupportSoft's common stock on each employee's applicable enrollment date or on the last day of the respective participation period. As of December 31, 2001, 191,000 shares have been issued under the 2000 Purchase Plan at prices ranging from $1.88 to $11.90.
Deferred Compensation
SupportSoft recorded deferred stock compensation in connection with the grant of certain stock options and restricted stock to employees, board members and consultants representing the difference between the exercise price and the deemed fair value of SupportSoft's common stock on the date such stock options were granted ("intrinsic value method") as prescribed in APB 25. Deferred compensation amounts are included as a reduction of stockholders' equity. The Company recorded zero, $7.6 million and $18.4 million in deferred compensation associated with these grants during the years ended December 31, 2001, 2000 and 1999, respectively. The rights to purchase restricted stock granted to the board members were valued using the intrinsic value method. The rights to purchase restricted stock and stock options granted to non-employees were valued using the Black Scholes model prescribed in FAS 123 and EITF 96-18. Awards relating to consulting and advisory services have been revalued over the vesting period of the options ("fair value method"). Deferred compensation related to these grants is being amortized by charges to operations on a graded vesting method. At December 31, 2001, SupportSoft had approximately $997,000 remaining to be amortized over the corresponding vesting period of each respective option, generally four years.
SupportSoft recorded amortization of deferred stock compensation expense in connection with the grant of certain stock options to employees and board of directors of approximately $4.3 million in 2001, $10.3 million in 2000
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS—(Continued)
and $3.6 million in 1999. SupportSoft also recorded variable accounting expense associated with the amortization of deferred stock compensation related to non-employee stock option grants, the grant of options to purchase restricted stock to non-employees and the acceleration of vesting of certain stock options to non-employees of zero in 2001, $501,000 in 2000, and $255,000 in 1999.
Pro Forma Disclosure of the Effect of Stock-Based Compensation
SupportSoft has elected to follow APB Opinion No. 25 and related interpretations in accounting for its employee and director stock-based awards, because, as discussed below, the alternative fair value accounting pro vided under FAS 123 requires use of option valuation models that were not developed for use in valuing employee stock-based awards. Under APB Opinion No. 25, SupportSoft does not recognize compensation expense with respect to such awards if the exercise price equals or exceeds the fair value of the underlying security on the date of grant and other terms are fixed.
Prior to December 31, 1999, the fair value for these awards was estimated at the date of grant using the minimum value method. Subsequent to this date, SupportSoft estimated fair value based on the Black-Scholes valuation model. The following weighted average assumptions were used:
December 31,
For purposes of pro forma disclosures, the estimated fair value of the options is amortized to expense over the vesting period of the options using a graded vesting method. The effects of applying FAS 123 for pro forma disclosures are not likely to be representative of the effects on reported net loss for future years.
SupportSoft's pro forma information follows (in thousands, except per share amounts):
The weighted-average fair value of options granted was $2.97 during 2001, $5.48 during 2000 and $0.12 during 1999.
6. Income Taxes
The difference between the amount of income tax benefit recorded and the amount of income tax benefit calculated using the U.S. federal statutory rate of 35% is primarily due to net operating losses not being
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS—(Continued)
benefited. Accordingly there is no provision for income taxes for the years ended December 31, 2001, December 31, 2000, and December 31, 1999.
Significant components of SupportSoft's deferred tax assets are as follows (in thousands):
December 31,
The Financial Accounting Standards Board's Statement of Financial Accounting Standards No. 109 "Accounting for Income Taxes," provides for the recognition of deferred tax asserts if realization of such assets is more likely than not. Based upon the weight of available evidence, which includes SupportSoft's historical operating performance and reported cumulative net losses in all periods, the Company provided a full valuation allowance against its net deferred tax assets.
The valuation allowance increased by approximately $9.6 million and $13.7 milllion for the years ended December 31, 2001 and December 31, 2000, respectively.
Approximately $849,000 of the valuation allowance resulted from tax deductions under the stock option plans and will be credited to Common Stock when recognized.
As of December 31, 2001, the Company had federal and state net operating loss carryforwards of approximately $34.4 million and $12.8 million, respectively. The Company also had federal and state research and development tax credit carryforwards of approximately $840,000 and $790,000, respectively. The net operating loss and tax credit carryforwards will expire at various dates beginning in 2005 through 2021, if not utilized.
Utilization of the net operating loss and tax credit carryforwards may be subject to a substantial annual limitation due to the "change in ownership" provision of the Internal Revenue Code and similar state provisions. The annual limitation may result in the expiration of net operating loss and tax credit carryforwards before utilization.
7. Related Party Transactions
As of December 31, 2001 and 2000, the Company held notes receivable due from officers and a director in the amount of $1.5 million and $2.1 million, respectively, which are classified in stockholders' equity. All loans are secured by shares of the Company's common stock and mature in July 2002.
None.
SUPPORTSOFT, INC.
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS—(Continued)
8. Quarterly Financial Information (Unaudited)
Summarized quarterly financial information for 2001 and 2000 is as follows:
Fiscal Year 2001 Quarter Ended
PART III
ITEM 10. DIRECTORS AND EXECUTIVE OFFICERS OF THE REGISTRANT
The information required by Item 10 of Form 10-K with respect to identification of directors is incorporated herein by reference from the information contained in the section entitled "Election of Directors" in the Company's definitive Proxy Statement for the 2002 Annual Meeting of Stockholders (the "Proxy Statement"), a copy of which will be filed with the Securities and Exchange Commission on or before April 30, 2002. For information with respect to the executive officers of the Company, see "Executive Officers of the Registrant" at the end of Part I of this report.
ITEM 11. EXECUTIVE COMPENSATION
The information required by Item 11 of Form 10-K is incorporated herein by reference from the information contained in the section entitled "Executive Compensation and Related Information" in the Proxy Statement.
ITEM 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS
The information required by Item 12 of Form 10-K with respect to Item 403 of Regulation S-K regarding security ownership of certain beneficial owners and management is incorporated herein by reference from the information contained in the section entitled "Security Ownership of Certain Beneficial Owners and Management" in the Proxy Statement.
Securities Authorized for Issuance Under Equity Compensation Plans
Equity Compensation Plan Information
As of December 31, 2001
(1) Includes:
1998 Stock Option Plan
2000 Omnibus Equity Incentive Plan
Does not include an outstanding warrant to purchase 119,167 shares of SupportSoft issued to a customer on February 17, 2000.
(2) The number of shares reserved for issuance under the 2000 Omnibus Equity Incentive Plan is subject to an annual increase as follows:
The aggregate number of Options, SARs, Stock Units and Restricted Shares that may be awarded under the Plan shall automatically increase by a number equal to the lesser of (i) 2,000,000 Shares, (ii) 5% of the
(b)
outstanding shares on such date or (iii) a lesser amount determined by the Board. The aggregate number of Shares which may be issued under the Plan shall at all times be subject to adjust ment pursuant to Section 16. The number of Shares which are subject to Options or other rights out standing at any time under the Plan shall not exceed the number of Shares which then remain available for issuance under the Plan. The Company, during the term of the Plan, shall at all times reserve and keep available sufficient Shares to satisfy the requirements of the Plan.
(3) None.
ITEM 13. CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS
The information required by Item 13 of Form 10-K is incorporated herein by reference from the information contained in the section entitled "Certain Relationships and Related Transactions" in the Proxy Statement.
PART IV
ITEM 14. EXHIBITS, FINANCIAL STATEMENTS SCHEDULE AND REPORTS ON FORM 8K
(a) The following documents are filed as part of this Report:
(1) Financial Statements—See Index to the Consolidated Financials Statements and Supplementary Data in Item 8 of this Report.
(2) Financial Statement Schedules—No schedules have been filed because the information required to be set forth therein is not applicable or is shown in the financial statements or related notes included as part of this Report.
(3) Exhibits—See Exhibit Index in Item 14(c) of this Report.
Reports on Form 8-
K
None.
(c) See Exhibit Index at page 54 of this Report, which index of exhibits is incorporated herein by reference.
(d) See the Consolidated Financial Statements and Supplementary Data beginning on page 32 of this Report.
SIGNATURES
Pursuant to the requirements of the Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized, on this 29 day of March, 2002.
SUPPORTSOFT, INC.
By:
/s/ RADHA R. BASU
Radha R. Basu President and Chief Executive Officer
POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Radha Basu and Brian Beattie, and each of them individually, as his or her attorney-in-fact, each with full power of substitution, for him or her in any and all capacities, to sign any and all amendments to this Report on Form 10-K, and to file the same, with exhibits thereto and other documents in connection therewith, with the Securities and Exchange Commission, hereby ratifying and confirming all that said attorney-in-fact, or his or her substitute, may do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the Registrant in the capacities indicated:
Edward S. Russell
EXHIBIT INDEX
(1) Incorporated by reference from Exhibits 4.2, 10.4, 10.8 and 10.9, respectively, of Registrant's Registration Statement on Form S1 (File No. 333- 30674) filed with the Securities and Exchange Commission on February 18, 2000.
(2) Incorporated by reference from Exhibit 10.1 of Amendment No. 1 to Registrant's Registration Statement on Form S-1 (File No. 333- 30674) filed with the Securities and Exchange Commission on March 9, 2000.
(3) Incorporated by reference from Exhibit 10.18 of Amendment No. 2 to Registrant's Registration Statement on Form S-1 (File No. 333- 30674) filed with the Securities and Exchange Commission on March 31, 2000.
(4) Incorporated by reference from Exhibits 4.1, 10.5, 10.7, 10.10, 10.12 and 10.14, respectively, of Amendment No. 3 to Registrant's Registration Statement on Form S-1 (File No. 333- 30674) filed with the Securities and Exchange Commission on April 26, 2000.
(5) Incorporated by reference from Exhibit 4.3 of Amendment No. 5 to Registrant's Registration Statement on Form S-1 (File No. 333- 30674) filed with the Securities and Exchange Commission on June 27, 2000.
(6) Incorporated by reference from Exhibits 10.3, 10.22 and 10.23, respectively, of Amendment No. 7 to Registrant's Registration Statement on Form S-1 (File No. 333- 30674) filed with the Securities and Exchange Commission on July 11, 2000.
(7) Incorporated by reference from Exhibit 10.2 of Amendment No. 8 to Registrant's Registration Statement on Form S-1 (File No. 333- 30674) filed with the Securities and Exchange Commission on July 13, 2000.
* Denotes an executive or director compensation plan or arrangement.
+ Confidential Treatment Requested. Confidential portions of the exhibit have been omitted and filed separately with the Commission.
CONSENT OF ERNST & YOUNG LLP, INDEPENDENT AUDITORS
We consent to the incorporation by reference in the Registration Statements (Form S-8 Nos. 333-48726 and 333-65964) pertaining to the Amended and Restated 1998 Stock Option Plan, the 2000 Omnibus Equity Incentive Plan and the 2000 Employee Stock Purchase Plan of our report dated January 17, 2002, with respect to the consolidated financial statements of SupportSoft, Inc. (formerly Support.com, Inc.) included in the Annual Report (Form 10-K) for the year ended December 31, 2001.
/s/ ERNST & YOUNG LLP
Palo Alto, California March 26, 2002
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